Discover FSI Sponsors

BNY | Pershing (member FINRA, NYSE, SIPC) is a leading provider of clearing and custody, trading and settlement, advisory and investment solutions, data insights, business consulting and other services to wealth management and institutional firms looking to grow their businesses. To learn more, visit www.pershing.com.

Broadridge Financial Solutions (NYSE: BR), is a global technology leader with the trusted expertise and transformative technology to help clients and the financial services industry operate, innovate, and grow. Broadridge powers investing, governance, and communications for its clients – driving operational resiliency, elevating business performance, and transforming investor experiences. Their technology and operations platforms underpin the daily trading of more than $10 trillion of equities, fixed income and other securities globally. A certified Great Place to Work®, Broadridge is part of the S&P 500® Index, employing over 14,000 associates in 21 countries. To learn more, visit www.broadridge.com.

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 December 31, 2023, Capital Group manages $2.5 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 9,000 associates and has offices in Europe, Asia, Australia and the Americas. For more than 90 years, its goal has remained the same: to improve people’s lives through successful investing. To learn more, visit www.capitalgroup.com.

Envestnet, Inc. (NYSE: ENV) is transforming the way financial advice and insight are delivered. Their mission is to empower financial advisors and service providers with innovative technology, solutions and intelligence. Envestnet’s clients include more than 110,000 advisors, 17 of the 20 largest U.S. banks, 48 of the 50 largest wealth management and brokerage firms, over 500 of the largest RIAs and hundreds of FinTech companies, all of which leverage Envestnet technology and services that help drive better outcomes for enterprises, advisors and their clients. To learn more, visit www.envestnet.com.

Orion Advisor Solutions is the premier provider of the tech-enabled fiduciary process that transforms the advisor-client relationship — it enables financial advisors to Prospect, Plan, Invest, and Achieve within a single, connected, technology-driven experience. Brand entities Orion Advisor Tech, Orion Portfolio Solutions, Brinker Capital Investments, Redtail Technology and TownSquare Capital offer solutions that empower 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. With the addition of Redtail and TownSquare, the combined platform services $3 trillion in assets under administration and $59 billion of wealth management platform assets. Supporting over 5 million technology accounts and thousands of independent advisory firms, Orion is the choice platform for growth-focused advisory firms looking to help strengthen their client relationships, gain a competitive edge in a crowded marketplace, and build profitable businesses. To learn more, visit www.orion.com.

Kessler Collins P.C. regularly defends broker dealers, investment advisory firms and their agents in arbitration, regulatory matters and litigation. They employ a team approach to the defense of such matters specifically designed with the clients to achieve a favorable outcome. To learn more, visit www.kesslercollins.com.

Kuvare is on a mission to serve hardworking consumers overwhelmed by the complexities of retirement and is built from the ground up to do so. Its unified financial hub protects the retirement of everyday Americans and the distributors, carriers and investors that serve them. Kuvare creates life insurance and annuity products that protect consumers’ retirements and are simplified for distributor partners and financial professionals to sell and service. Its flagship retail insurance carriers, Guaranty Income Life and United Life, offer annuity and life insurance products via three primary channels: financial institutions, Independent Marketing Organizations and independent agents. Both retail companies are rated A- Excellent by AM Best. To learn more, visit www.kuvare.com.

Lincoln Financial Group provides advice and solutions that help people take charge of their financial lives with confidence and optimism. Today, more than 17 million customers trust our retirement, insurance and wealth protection expertise to help address their lifestyle, savings and income goals, and guard against long-term care expenses. Headquartered in Radnor, Pennsylvania, Lincoln Financial Group is the marketing name for Lincoln National Corporation (NYSE:LNC) and its affiliates. To learn more, visit www.lincolnfinancial.com.

MyVest builds enterprise wealth management technology for the digital age. Driven by a vision for client-centric advice, MyVest empowers firms to deliver personalized portfolios at scale. MyVest’s Strategic Portfolio System™ (SPS) enables holistic, client-centric wealth management across a firm in a single unified system. MyVest’s SPS automates the entire investment process from client proposals and onboarding to model-based tax-aware portfolio management, monitoring and rebalancing and trade order management through performance reporting and billing. To learn more, visit www.myvest.com.

O’Hagan Meyer LLP‘s lawyers have broad experience handling a variety of litigation and employment related matters, including traditional labor, employment class actions, employment practices liability, professional liability, commercial litigation and claims against Directors and Officers claims, fiduciary litigation, class actions and collective actions, cyber liability, intellectual property and other civil claims. With over 300 attorneys in 26 offices nationwide, O’Hagan Meyer is well positioned to handle all your needs in a full range of litigation matters. To learn more, visit www.ohaganmeyer.com.

Oyster Consulting LLC provides a range of services to help financial services industry clients navigate complex regulatory and operational challenges. Oyster’s experienced consultants offer expert guidance on operations, compliance, risk management, and strategic planning. Oyster’s outsourcing solutions enable clients to access skilled consultants, streamline their operations, and reduce costs. Oyster Consulting also offers software solutions that automate key processes such as trade surveillance, customer onboarding, and regulatory reporting. By combining deep industry knowledge with innovative technology, Oyster helps firms improve their efficiency, effectiveness, and agility in a rapidly evolving market. To learn more, visit www.oysterllc.com.

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. The Retirement Advantage service includes a turnkey compliance, practice management, and training platform, with unlimited consulting to help grow your business. PRI’s platform meets unique member needs by balancing risk management and growth. It offers a library of customizable forms, agreements, policies, and disclosures; conflict identification under ERISA and the Code; strategies for resolution; a proprietary 401(k) governance program; and training, all for one fee. FLC provides comprehensive regulatory compliance, governance, and financial product solutions to financial institutions. It assists with M&A, joint ventures, and white-label arrangements. Experienced attorneys, with deep industry knowledge, support broker-dealers and investment advisers in areas like registration, supervision, anti-money laundering, ERISA and DOL regulations, trading and sales practices, and more, amid regulatory and technological changes. To learn more, visit www.pension-resources.com.

Pontera is dedicated to helping individuals retire with greater wealth and financial security. Founded in 2012, Pontera works with Registered Investment Advisors (RIAs), broker-dealers, and some of the largest financial institutions in the country. They deliver a secure and seamless platform for financial advisors to manage 401(k) and other held away accounts. To learn more, visit www.pontera.com.

Prudential Annuities is one of the world’s largest financial institutions with $1.7 trillion in assets under management 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. As you plan for a more secure tomorrow for your clients, you’ll want to work with a company you know and trust. Prudential has helped millions of people prepare for their future. With a solid reputation for product innovation, investment expertise and financial strength, Prudential continues its commitment to helping Americans meet their financial challenges. To learn more, visit www.prudential.com.

RegEd, Inc. 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. Trusted by the nation’s top financial services firms, RegEd’s proven, holistic approach to RegTech meets firms where they are on the compliance and risk management continuum, scaling as their needs evolve and amplifying the value proposition delivered to clients. To learn more, visit www.reged.com.

SMArtX Advisory Solutions 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 wealth management and advisory firms, broker dealers, RIA’s, asset managers, and custodians seeking to defy the limitation of managed account technology as it exists today. To learn more, visit www.SMArtXadvisory.com.

The Pinnacle Group is an independent wholesale distributor specializing in life insurance and annuities. The Pinnacle Group partners with financial advisors to deliver innovative planning solutions addressing clients’ most complex needs, including creative marketing, advanced planning, annuities and efficient business processing. By providing intuitive technology platforms and targeted lead generation, they empower advisors to deepen client relationships, elevate their practices, and achieve growth—all while navigating wealth management intricacies with confidence. Whether you’re fee-based or fee-only, the Pinnacle Group supports financial advisors in growing and retaining assets while enhancing their competitive edge in the marketplace. Recognized for growth by Inc. Magazine and celebrated as a 2024 Best Place to Work, The Pinnacle Group is your trusted partner for long-term success. To learn more, visit www.thepinnaclegroup.com.

Transamerica Capital, Inc. was built on the idea that financial security should be available to everyone. When the company was founded in 1904, this was a novel concept. Since then, Transamerica Capital has continued to pursue innovative ways to help people live long, healthy lives with the financial means to do so. Today, it offers a wide range of solutions with that end in mind, and partners with key industry thought leaders to bring the connection between wealth and health to life. Transamerica Capital is proud of the trust it’s earned helping people protect their financial future, generation after generation. To learn more, visit www.transamerica.com.

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 partner to some of the largest and most respected wealth management firms. To learn more, visit www.vestmark.com.