Professional Associations and Awards
NAPA Top DC Advisor Firm 2017 (Inaugural)*
FT Times, Top 401(k) Advisers 2015 (Inaugural), 2016, 2017, 2018**
National Association of Plan Advisors (NAPA) - Founding Member
NAPA Fly-In Qualifying Firm 2013, 2014, 2015, 2016, 2017***
NAPA, Top 50 Plan Advisors Under 40 2015 Bradley Araki****
PLANADVISER magazine - 2012, recognized as of the of top 60 teams in the country*****
401kWire - 2010****** and 2011*******, recognized as of the of the 300 Most Influential Defined
Contribution Advisors in the country
*The 2017 NAPA Top DC Advisor Firms List is a compilation of individual advisor firms, or teams, solely ranked by DC (Defined Contribution) assets under advisement. Firms were asked to complete an application and provide information concerning their DC business to NAPA. 325 qualified firms were considered of which 250 (77% of candidates) were recognized. This award is not indicative of the future performance of the firm or its advisors. Your experience may vary. For more information, please visit: www.napa-net.org.
**The Financial Times 401 Top Retirement Plan Advisors is an independent listing produced annually by the Financial Times (September 2017). The FT 401 is based on data gathered from advisors, regulatory disclosures, and the FT's research. The listing reflects each advisor's status in seven primary areas: DC plan assets under management (AUM), DC AUM growth rate, specialization in DC plans, years of experience, advanced industry credentials, compliance record and DC plan participation rate. 550 qualified applicants were nominated, of which 401 were recognized (73% of candidates). This honor is not indicative of the advisor's future performance. Your experience may vary. Neither the advisors nor their parent firms pay a fee to the Financial Times in exchange for inclusion in the FT 401. For the full methodology, please visit FT.com
***In order to participate in the NAPA DC Fly-In Forum, delegates were required to be a NAPA member; to be responsible for $100M+ in plan assets, 10+ plans and 2,000+ participants; and to have at least five years of experience servicing retirement plans.
****The NAPA Top Retirement Plan Advisors Under 40 list includes plan advisors who have built a solid practice—either alone or as part of a team—and are established leaders ready to take their defined contribution (DC) and 401(k) plans to the next level. Nominations were solicited by NAPA members. Nominees were asked to complete an application and winners were chosen based on criteria that include: current and new DC assets under management, DC plans for the past 12 and 24 months, DC/DB plan revenue. Votes were utilized to break ties, if applicable. The nominated advisor need not be a NAPA member. 217 advisors were considered for the award 50 (23 % of candidates) were recognized. This award is not indicative of the wealth manager's future performance. Your experience may vary. For more information, please visit: www.napa-net.org
*****Nominations were solicited online from retirement plan advisors, their employers and broker/dealers, and plan sponsors, as well as from working partners of these advisors, including investment vendors, accountants and attorneys, and pension administrators—advisors who have attained the PLANSPONSOR Retirement Professional (PRP) designation receive an automatic nomination. To enter the awards process, nominees must complete a form providing various details of their practice, including the details displayed here. These lists are based solely on quantitative factors, while the PLANSPONSOR Retirement Plan Adviser and Adviser Team of the Year awards consider both qualitative and quantitative factors, including factors not considered in determining the most successful lists.
******The list is based on nominations from the industry and the editorial staff. The final list was selected based on input from those advisors nominated for the list and an analysis of objective criteria, including the statistics about the advisors' practices gathered directly from the advisors.
*******The list is based on almost 3,000 nominations from the industry and our editorial staff. The final list was selected based on more than 120,000 reader votes as well as input from last year's Top 40 Advisors and from distributors working with the advisors and an analysis of objective criteria, including statistics about the advisors' practices gathered directly from the nominees.