NAPA Top DC Advisor Team

Established in 2017, nominees had to be individual advisor team/offices with a defined contribution book of business.  To be considered, firms had to submit responses to an application form, including information about their practices, notably their defined contribution (DC) assets under advisement.  The list is created and conducted by the National Association of Plan Advisors, an affiliate organization of the American Retirement Association, a non-profit association. No fee is charged to participate.  The rating is not indicative of the nominee’s future performance. Teams are ranked by assets under advisement, self-reported by advisor firm/teams.  Approximately 300 submissions were received and 250 were selected.

NAPA Top Women Advisors

Established in 2015, nominations from the list were provided by NAPA Broker-Dealer/RIA Firm Partners.  Nominees had to be women, had to be retirement plan advisors with their own book of business.  Nominees were required to submit responses to an application comprised of a series of quantitative and qualitative questions about their experience, size and composition of their practice, awards and recognitions, and industry contributions, which were then reviewed by a panel of senior advisor industry experts, who, based on those criteria, and following a broker-check review, selected the top women advisors.

Within the group of top women advisors, those who were principals, owners or team captains of their organizations were designated as “Captains.”

The list is created and conducted by the National Association of Plan Advisors, an affiliate organization of the American Retirement Association, a non-profit association.  No fee is charged to participate.  The rating is not indicative of the nominee’s future performance.

In 2015, 450 nominations were received and 227 were considered.

In 2016, 395 nominations were received and 191 were considered. 50 Captains, 50 All-Stars and 10 Rising Stars were selected.

In 2017, 587 nominations were received and 201 were considered.  50 Captains, 50 All-Stars and 10 Rising Stars were selected.

In 2018, we received just over 600 nominations, and considered 225. There were 50 Captains, 50 All-Stars, and 15 Rising Stars on the final list.

Financial Times - Top Financial Advisors

The Financial Times 401 Top Retirement Plan Advisors is an independent listing produced by the Financial Times (September 2016). To qualify as a candidate for the FT 401, an advisor must: manage at least $75 million in assets under management in DC plans; and have DC plan assets account for at least 20% of total AUM. Once an advisor applies, The Financial Times score seach applicant on seven different factors to arrive at the final list. Those factors are: DC assets under management (AUM); Growth in DC plan business; Specialization in DC business; Years of experience; Industry certifications; Participation rate in DC plans; Compliance record. The FT 401 is based on data gathered from financial advisors, regulatory disclosures, and the FT’s research. The FT 401 ranking highlights the top defined contribution (DC) plan advisors across the U.S. In 2016, The Financial Times had over 540 pre-qualified advisors apply; 401 (74%) were named to the final list. This award does not evaluate the quality of services provided to clients and is not indicative of this advisor’s future performance. Neither the advisors nor their parent firms pay a fee to Financial Times in exchange for inclusion in the FT 401. The FT 401 ranking is produced by the Financial Times and Ignites Research, a subsidiary of the FT.

NAPA Young Guns

Nominations from the list were provided by NAPA Broker-Dealer/RIA Firm Partners.  Nominees had to be retirement plan advisors with their own book of business, and had to be less than 40 years of age (born after January 1, 1977.) 

Nominees were required to submit responses to an application comprised of a series of quantitative and qualitative questions about their experience, size and composition of their practice, awards and recognitions, and industry contributions, which were then reviewed by a panel of senior advisor industry experts, who, based on those criteria, and following a broker-check review, selected the top young advisors. The list is created and conducted by the National Association of Plan Advisors, an affiliate organization of the American Retirement Association, a non-profit association.  No fee is charged to participate. The rating is not indicative of the applicant’s future performance

In 2018, 588 nominations were received.  75 were ultimately selected.