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.
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.
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.
With $1.7 trillion in client assets as of June 30, 2018, Wells Fargo Advisors provides investment advice and guidance to clients through 14,226 full-service financial advisors and referrals from 4,796 licensed bankers. This vast network of advisors, one of the nation’s largest, serves investors through locations in all 50 states and the District of Columbia. Wells Fargo Advisors is the trade name used by Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC, Members SIPC, separate registered broker-dealers and non-bank affiliates of Wells Fargo & Company. All data includes Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC, as of June 30, 2018.
“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.
Founded by Harmon Kong and Mark Iwamoto in 1998, Apriem Advisors is a registered investment advisor firm in Southern California with over $700 million in assets under management. The firm stays true to its Latin-based namesake – the highest degree of service. Our clients receive one-on-one advice and individualized, strategic planning coupled with investment management, culminating in a unique boutique experience that is far above what large corporate firms can offer. In addition to our customized wealth management services, we employ targeted strategies to provide the “big picture” of investing and diversifying portfolios for our clients.
Apriem strives to be a real change leader in the industry through our signature initiatives. Firstly, Apriem President, Rhonda Ducote started Women of Wisdom (WOW) in 2014 to encourage, embrace and educate women to become more involved in their family finances. Secondly, through ‘Apriem Cares’ the firm is deeply involved with causes that benefit underrepresented groups of women, children, and elders. Lastly, our Industrial Retiree Service specializes in the industrial sector, managing assets for blue collar workers in Southern California. As with the rest of our diverse clientele, Apriem is honored to serve and build the road to a bright financial future for our clientele.
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.
FS Investments is a leading asset manager dedicated to helping individuals, financial professionals and institutions design better portfolios. The firm provides access to alternative sources of income and growth, and focuses on setting industry standards for investor protection, education and transparency. FS Investments is headquartered in Philadelphia, PA, with offices in New York, NY, Orlando, FL, and Washington, DC. Visit www.fsinvestments.com to learn more.
Founded in 1962 and a public company since 1983, Raymond James Financial, Inc. is a Florida-based diversified holding company providing financial services to individuals, corporations and municipalities through its subsidiary companies engaged primarily in investment and financial planning, in addition to capital markets and asset management. The firm's stock is traded on the New York Stock Exchange (RJF).
Through its three broker/dealer subsidiaries, Raymond James Financial has approximately 7,200 financial advisors serving in excess of 3 million client accounts in more than 2,900 locations throughout the United States, Canada and overseas. Total client assets are approximately $643 billion.
Raymond James has been recognized nationally for its community support and corporate philanthropy. The company has been ranked as one of the best in the country in customer service, as a great place to work and as a national leader in support of the arts.
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
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