2024 FSI Sponsor Highlight: Q1

AMBASSADOR SPONSORS

BNY | Pershing

BNY Mellon’s Pershing is a leading provider of clearing and custody services. We are uniquely positioned to help complex financial services firms transform their businesses, drive growth, maximize efficiency, and manage risk and regulation. Wealth management and institutional firms outsource to us, or one of our affiliates, trading and settlement services, investment solutions, bank and brokerage custody, middle- and back- office support, data insights and business consulting. Pershing brings together high-touch service, an open digital platform and the BNY Mellon enterprise to deliver a differentiated experience for every client.

Fidelity

Fidelity’s mission is to strengthen the financial well-being of our customers and deliver better outcomes for the clients and businesses we serve. With assets under administration of $11.7 trillion, including discretionary assets of $4.5 trillion as of June 30, 2023, we focus on meeting the unique needs of a diverse set of customers. Privately held for over 75 years, Fidelity employs over 70,000 associates who are focused on the long-term success of our customers.

PREMIER SPONSORS

Assetmark

Our company’s mission is centered around helping financial advisors make a difference in the lives of their clients. To help them do that, we aim to provide advisors with holistic support. Whether that’s through compelling technology that facilitates a better client experience, consulting services that ensure advisors’ businesses are running at their best, or offering a comprehensive suite of investment solutions. AssetMark’s platform empowers advisors to provide the highest level of service possible to their clients.

Broadridge Financial Solutions

Broadridge Financial Solutions, Inc. (NYSE: BR), is a global Fintech leader delivering technology-driven solutions that drive digital transformation for banks, broker-dealers, asset and wealth managers and public companies. At Broadridge, we are committed to making a difference. Our unique culture is guided by the Service-Profit Chain—the idea that success is mutual, directly connecting employee engagement, client satisfaction, and the creation of stockholder value. We enable better financial lives by providing the critical infrastructure that powers investing, corporate governance and communications. A certified Great Place to Work®, Broadridge is part of the S&P 500® Index, employing over 14,000 associates in 21 countries.

CAIS

CAIS is the leading alternative investment platform for financial advisors who seek improved access to, and education about, alternative investment funds and products. CAIS provides financial advisors with a broad selection of alternative investment strategies, including hedge funds, private equity, private credit, real estate, digital assets, and structured notes, allowing them to capitalize on opportunities and/or withstand ever-changing markets. CAIS also offers custom solutions for advisors seeking to create custom fund vehicles around ideas they source. CAIS also provides an industry-leading learning system, CAIS IQ, to help advisors learn faster, remember longer, and improve client outcomes.

Capital Group

Since 1931, Capital Group, home of American Funds®, has been singularly focused on delivering superior results for long-term investors using high-conviction portfolios, rigorous research and individual accountability. As of March 31, 2023, Capital Group manages $2.3 trillion in equity and fixed income assets for millions of individual and institutional investors around the world. Capital Group is a private firm that employs more than 8,000 associates and has offices in Europe, Asia, Australia and the Americas. For more than 90 years, our goal has remained the same: to improve people’s lives through successful investing.

Envestnet

Envestnet (NYSE: ENV) is transforming the way financial advice is delivered through an ecosystem of technology, solutions and intelligence. By establishing the connections between people’s daily financial decisions and long-term financial goals, Envestnet empowers them to make better sense of their finances and live an Intelligent Financial Life™. Nearly 106,000 advisors and approximately 6,900 companies including: 16 of the 20 largest U.S. banks, 47 of the 50 largest wealth management and brokerage firms, over 500 of the largest RIAs and hundreds of FinTech companies, leverage Envestnet technology and services that help drive better outcomes for their businesses and for their clients.

Orion

Orion is a premier provider of the tech-enabled fiduciary process that transforms the advisor-client relationship by enabling financial advisors to Prospect, Plan, Invest, and Achieve within a single, connected, technology-driven experience. Combined, our brand entities, Orion Advisor Tech, Orion Portfolio Solutions, Brinker Capital Investments, Redtail Technology, and Orion OCIO create a complete offering that empowers firms to attract new clients seamlessly, connect goals more meaningfully to investment strategies and outcomes, and ultimately track progress toward each investor’s unique definition of financial success. Orion services $4.1 trillion in assets under administration and $65.9 billion of wealth management platform assets (as of December 31, 2023) and supports over six million technology accounts and thousands of independent advisory firms. Today, 12 out of the Top 15 Barron’s RIA firms 2 rely on Orion’s technology to power their businesses and win for investors. Learn more at Orion.com.

Sammons Institutional Group

Sammons Institutional Group®, Inc. is a member of Sammons Financial Group—whose member companies, Midland National® Life Insurance Company and North American Company for Life and Health Insurance® —enjoy a century-long history built on a foundation of integrity and trust. Sammons Institutional Group is comprised of two divisions: Sammons Retirement Solutions® and Midland Retirement Distributors®.

SEI

SEI (NASDAQ:SEIC) delivers technology and investment solutions that connect the financial services industry. With capabilities across investment processing, operations, and asset management, SEI works with corporations, financial institutions and professionals, and ultra-high-net-worth families to solve problems, manage change and help protect assets—for growth today and in the future.

ASSOCIATE SPONSORS

MyVest

MyVest builds enterprise wealth management technology for the digital age. Driven by a vision for client-centric advice, we empower firms to deliver personalized portfolios at scale. A subsidiary of TIAA since 2016, we are headquartered in San Francisco with offices in Austin and Philadelphia. MyVest serves broker-dealers, banks, RIAs, and service providers through a SaaS-based delivery model. MyVest’s Strategic Portfolio System™ (SPS) is a cloud-based enterprise platform that enables holistic wealth management across the enterprise in a single unified system. SPS automates the entire portfolio process, from client proposals and onboarding, through model-based portfolio management, monitoring & tax-aware rebalancing, order management, to performance reporting & billing.

Paperclip Inc.

Paperclip is a proven technology partner that continues to revolutionize data security, and content and document management for Fortune 1,000 companies worldwide. Every second of every day, our innovative solutions are securely processing, transcribing, storing, and communicating sensitive content across the internet. Paperclip has a decades-long reputation for maximizing efficiency to save millions annually, while maintaining absolute security and compliance. For more information, visit paperclip.com.

Phoenix American

Phoenix American provides back-office outsourcing, fund administration services, fund accounting, investor services and sales and marketing reporting services to fund companies in the alternative investment industry. The Phoenix American Aviation ABS Group, including its Irish subsidiary, PAFS Ireland Ltd, provides managing agent and accounting services for asset-backed securitizations (ABS) and other structured finance in the commercial aircraft and aircraft engine leasing industry. The company is an affiliate of Phoenix American Incorporated along with Phoenix American SalesFocus Solutions. Phoenix American has five offices worldwide, was founded in 1972 and is headquartered in San Rafael, CA.

Pontera

Pontera is dedicated to helping individuals retire with greater wealth and financial security. Founded in 2012, we work with Registered Investment Advisors (RIAs), Broker-Dealers, and some of the largest financial institutions in the country. We deliver a secure and seamless platform for financial advisors to manage 401(k) and other held away accounts.

Prudential Annuities

Prudential is one of the world’s largest financial institutions with $1.7 trillion in assets under management(1) and with one of the most recognized brands in the United States: The Rock®. We are known for our ability to deliver on our promises to our customers and are recognized as one of the world’s most admired companies.

RegEd

RegEd is the market-leading provider of RegTech enterprise solutions with relationships with more than 200 enterprise clients that represent 80% of the top 25 financial services firms. Established in 2000 by former regulators, the company is recognized for continuous regulatory technology innovation with solutions hallmarked by workflow-directed processes, data integration, regulatory intelligence, automated validations, business process automation and compliance dashboards. The aggregate drives the highest levels of operational efficiency and enables our clients to cost-effectively comply with regulations and continuously mitigate risk.

SMArtX Advisory Solutions

SMArtX is revolutionizing managed account administration in wealth management. Through cutting-edge technology that automates investment processes and simplifies client account management, it’s the future-forward solution for advisory firms, asset managers, TAMPs, and custodians seeking to defy the limitation of managed account technology as it exists today.

The Pacific Financial Group

The Pacific Financial Group, Inc. (TPFG) is a dynamic WealthTech innovator that blends three decades of traditional asset management experience with leading-edge financial technology know-how. The firm focuses on the group retirement space and was an early pioneer in the evolution of Self-Directed Brokerage Account Management (SDBA) for 401(k), 403(b), and 457 plans. Strategy PLUS™ is the firms next gen investment platform that taps the intellectual capital of world-class investment managers to create a suite of 36 model strategies built especially for retirement plan participants. A unique blend of choice, talent, and sophisticated modeling not found in traditional retirement plans.

Transamerica Capital, Inc.

Transamerica was built on the idea that financial security should be available to everyone. When we were founded in 1904, this was a novel concept. Since then, we’ve continued to pursue innovative ways to help people live long, healthy lives with the financial means to do so. Today, we offer a wide range of solutions with that end in mind, and partner with key industry thought leaders to bring the connection between wealth and health to life. We’re proud of the trust we’ve earned helping people protect their financial future, generation after generation.

Vestmark

Founded in 2001, Vestmark is a leading provider of portfolio management solutions and outsourced services for financial institutions and their advisors, enabling them to efficiently manage customized client portfolios through an innovative technology platform. Supporting over $1.5 trillion in assets and 5.5 million accounts, Vestmark is a trusted partner to some of the largest and most respected wealth management firms.

YCharts

Recognized as the “Investment Research” market leader, surpassing industry competitors in customer satisfaction and perceived value according to the 2023 Kitces Report, YCharts is a fast-growing investment research platform that enables smarter investment decisions and better client communications. Serving advisors, financial planners and asset managers overseeing more than $750 billion in assets, YCharts helps wealth managers demonstrate their value to clients and prospects with intuitive tools that enhance client engagements and simplify complex financial topics.

ASSOCIATE LAW/CPA SPONSORS

Armstrong Teasdale LLP

For more than a century, Armstrong Teasdale’s focus has been on providing excellent service to our clients. Our mission statement—“Always exceed expectations through teamwork and excellent client service”— carries through everything we do. We are proud of the results our firm has achieved for our clients in the boardroom and the courtroom. In practice, we strive to operate as a team with boldness, creativity, transparency and passion to provide the highest level of service, efficiency and value to our clients. We embrace the following values: integrity, teamwork, entrepreneurship, investment, celebration, perspective, accomplishment and inclusiveness. We focus on our clients’ success and we are deeply appreciative of our clients’ trust in us to handle their most complex legal matters. We look forward to continuing to serve our clients in pursuit of their business objectives by delivering on our mission.

Crowe LLP

Crowe LLP (www.crowe.com) is a public accounting, consulting and technology firm that uses its deep industry expertise to provide audit services to public and private entities. The firm and its subsidiaries also help clients make smart decisions that lead to lasting value with its tax, advisory and consulting services.

Freeman, Mathis & Gary, LLP

Freeman Mathis & Gary, LLP is a leading litigation firm with attorneys servicing clients in 36 offices in 21 states. FMG attorneys serve as trusted counsel to our clients throughout the country, providing practical, efficient, and cost-effective solutions for legal issues. FMG believes in the power of concentrated legal experience. Explore the power our FMG professionals can bring to your legal issues by practice section, interdisciplinary team, and industry.

Kessler Collins P.C.

In practice, we strive to operate as a team with boldness, creativity, transparency and passion to provide the highest level of service, efficiency and value to our clients. We embrace the following values: integrity, teamwork, entrepreneurship, investment, celebration, perspective, accomplishment and inclusiveness.

O’Hagan Meyer LLP

Pension Resource Institute, LLC

PRI makes retirement compliance accessible and affordable for banks, broker-dealers and RIAs by identifying the right services to deliver to your clients, and building resources from there. Our retirement advantage service is delivered through a turnkey compliance, practice management and training platform, backed by unlimited consulting to grow your business. Our member firms have unique needs to balance risk management and growth. To meet these challenges, PRI’s innovative platform features a library of configurable model forms, agreements, policies and procedures, and disclosures; the ability to identify conflicts under ERISA and the Code, and strategies to address them properly; a proprietary 401(k) plan sponsor governance program; and training and exam administration, all included in a single program fee.