Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, wealth management and investment management services. With offices in more than 41 countries, the Firm's employees serve clients worldwide including corporations, governments, institutions and individuals. For further information about Morgan Stanley, please visit www.morganstanley.com/wealth
Nationwide, a Fortune 100 company based in Columbus, Ohio, is one of the largest and strongest diversified insurance and financial services organizations in the United States. Nationwide is rated A+ by both A.M. Best and Standard & Poor’s. An industry leader in driving customer-focused innovation, Nationwide provides a full range of insurance and financial services products including auto, business, homeowners, farm and life insurance; public and private sector retirement plans, annuities and mutual funds; excess & surplus, specialty and surety; pet, motorcycle and boat insurance. For more information, visit www.nationwide.com.
Northern Trust Asset Management is a global investment manager that helps investors navigate changing market environments, so they can confidently realize their long-term objectives.
Entrusted with more than $900 billion of assets, we understand that investing ultimately serves a greater purpose and believe investors should be compensated for the risks they take — in all market environments and any investment strategy.
That’s why we combine robust capital markets research, expert portfolio construction and comprehensive risk management to craft innovative and efficient solutions that deliver targeted investment outcomes.
As engaged contributors to our communities, we consider it a great privilege to serve our investors and our communities with integrity, respect, and transparency.
*Assets under management as of June 30, 2018.
As the industry’s leading custodian for independent registered investment advisors (RIAs), Schwab Advisor Services is dedicated to helping advisors achieve their business goals. For more than 25 years we have supported firms of all types and sizes and earned the trust of over 7,500 advisors. Visit advisorservices.schwab.com. Schwab Advisor Services serves independent investment advisors and includes the custody, trading, and support services of Schwab.
Fidelity Clearing & Custody Solutions® provides a comprehensive clearing and custody platform, brokerage services, trading capabilities and practice management and consulting to registered investment advisors (RIAs), including strategic acquirers and professional asset managers, as well as retirement recordkeepers, broker-dealer firms, and banks. The goal of Fidelity Clearing & Custody Solutions® is to help clients ensure that they are always future-ready by providing knowledgeable consulting, exceptional people and transformative technology. For more information about Fidelity’s services, please visit https://clearingcustody.fidelity.com/
Founded in 1937, Baltimore-based T. Rowe Price Group, Inc. is a global investment management organization with $1.04 trillion in assets under management as of May 31, 2018. The organization provides a broad array of mutual funds, subadvisory services, and separate account management for individual and institutional investors, retirement plans, and financial intermediaries. The company also offers sophisticated investment planning and guidance tools. T. Rowe Price’s disciplined, risk-aware investment approach focuses on diversification, style consistency, and fundamental research. For more information, visit troweprice.com or our Twitter, YouTube, LinkedIn, and Facebook sites.
TD Ameritrade Institutional is a leading provider of comprehensive brokerage and custody services to more than 4,500 fee-based, independent Registered Investment Advisors and their clients. Our advanced technology platform, coupled with personal support from our dedicated service teams, allows investment advisors to grow their businesses more efficiently and effectively, while optimizing time spent with clients. We provide a robust offering of products, programs, and services designed to help advisors build their businesses and help their clients reach their financial goals. Learn more at tdainstitutional.com or call us at 800-934-6124.TD Ameritrade Institutional, Division of TD Ameritrade, Inc., member FINRA/SIPC
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BNY Mellon’s Pershing and its affiliates provide a comprehensive network of global financial business solutions to advisors, broker-dealers, family offices, hedge fund and ’40 Act fund managers, registered investment advisor firms and wealth managers. Many of the world’s most sophisticated and successful financial services firms rely on Pershing for clearing and custody; investment, wealth and retirement solutions; technology and enterprise data management; trading services; prime brokerage and business consulting. Pershing helps clients improve profitability and drive growth, create capacity and efficiency, attract and retain talent, and manage risk and regulation. With a network of 23 offices worldwide, Pershing provides business-to-business solutions to clients representing approximately 7 million investor accounts globally. Pershing LLC (member FINRA, NYSE, SIPC) is a BNY Mellon company.
“AXA” is the brand name of AXA Equitable Financial Services, LLC and its family of companies. AXA companies offer financial protection and wealth management and are premier providers of advice, retirement strategies and life insurance. AXA has been providing stability and reliability to our clients since 1859 to help them live their lives with confidence, and enable them to realize dreams for their loved ones and their legacy. AXA’s primary life insurance company, AXA Equitable Life Insurance Company, is among the largest life insurance and retirement savings companies in the United States, with nearly 2.7 million customers nationwide. More than 5,100 AXA Advisors financial professionals assist individuals, families and business owners in creating strategies that help them move forward on the road to financial security. We are the primary U.S. subsidiary of the global AXA Group, a worldwide leader in financial protection strategies and wealth management with 102 million clients in 56 countries and ranked the #1 insurance brand in the world for six consecutive years.
Cambridge Investment Group, Inc. is a privately-controlled financial solutions firm focused on serving independent financial advisors and their investing clients. Cambridge is also a national corporation with a registered investment adviser as well as an industry leading independent broker-dealer. Cambridge offers a broad range of choices regarding advisor-focused financial solutions, and its national reach includes: Cambridge Investment Research Advisors, Inc. – a large corporate RIA; and Cambridge Investment Research, Inc. – an independent broker-dealer, member FINRA/SIPC, that is among the largest privately-controlled independent broker-dealers in the country. Overall, Cambridge supports over 3,000 independent financial professionals nationwide who serve their thousands of clients as registered representatives and investment advisor representatives, choosing to use either Cambridge’s firm Registered Investment Adviser or their own.
LPL Financial is the nation’s largest independent broker-dealer, a leading retail investment advisory (RIA) firm and a top RIA custodian. LPL Financial provides independent financial advisors and financial institutions the technology, research, clearing and compliance services, and practice management support and capabilities that empower them to be successful serving the needs of their clients. LPL Financial supports advisors across a range of business models, enabling them to provide objective financial guidance to millions of Americans seeking wealth management, retirement planning, financial planning and asset management solutions. For more information about LPL Financial, visit www.lpl.com.
Ariel was founded in 1983 by John W. Rogers, Jr. in Chicago. At age 24, John started the company with a focus on investing in small- and medium-sized U.S. companies. Since then, Ariel has diversified its product offerings and now covers the world with its international and global strategies. Today, Ariel has 99 employees, over $13.6 billion in assets under management, and additional offices in New York City and Sydney, Australia.
Over the past 35 years, Ariel has maintained its belief that a focused, patient outlook will drive long-term results. In fact, we adopted the motto, “slow and steady wins the race” from Aesop’s fable, to highlight our discipline and conviction in these principles. This philosophy is embedded in the research process and shapes the way we build investment portfolios.
We believe the experience and expertise of our team provides deep institutional knowledge of the individual companies we follow. We manage three strategies—traditional value, deep value and international/global—in separate accounts and no-load mutual fund offerings, which are available to institutional and individual investors, financial intermediaries and defined contribution plans.
For more information about the firm, please visit Ariel’s award-winning website, arielinvestments.com.
OppenheimerFunds, Inc., a leader in global asset management, is dedicated to providing solutions for its partners and end investors. OppenheimerFunds, including its subsidiaries, manages more than $248 billion in assets for over 13 million shareholder accounts, including sub-accounts, as of July 31, 2018.Founded in 1959, OppenheimerFunds is an asset manager with a history of providing innovative strategies to its investors. The firm’s 16 investment management teams specialize in equity, fixed income, alternative, multi-asset, and factor and revenue-weighted-ETF strategies, including ESG as a signatory of the UN PRI. OppenheimerFunds and its subsidiaries offer a broad array of products and services to clients, who range from pensions and endowments to financial advisors and individual investors. OppenheimerFunds and certain of its subsidiaries provide advisory services to the Oppenheimer family of funds, and OFI Global Asset Management offers solutions to institutions. The firm is also active through its Philanthropy & Community initiative: 10,000 Kids by 2020, reaching children with introductions to math literacy programs.
The Foundation for Financial Planning (FFP) is proud to be a strategic partner of InvestmentNews, whose partnership is instrumental in helping raise awareness of our mission to bring free, quality financial advice to people in need. FFP is the nation’s only charitable organization solely dedicated to advancing pro bono financial planning for at-risk individuals and families, including wounded veterans, domestic violence survivors, people with serious medical diagnoses, and many others. FFP has provided $7 million in grants to community-based nonprofits to support local programs; worked with partners to activate more than 20,500 volunteer financial planners; and acted as a leader and catalyst to embed a rich tradition of and commitment to pro bono across the financial planning profession. Visit FoundationForFinancialPlanning.org to learn more.
Excellence in Diversity & Inclusion Awards Luncheon
September 24th, 2019 | Edison Ballroom | New York, NY