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 * LUMINARIES Class of 2021
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CATEGORIES

You may submit your nominee for consideration in any of the applicable FOUR
Programs. Nominees may be individuals, firms, and professionals from small and
large firms. They can span from the entire investment advisory ecosystem
including:


 * Asset/Portfolio Management Firms
 * Retirement Product Companies
 * Retirement Planning Firms
 * Broker-Dealers
 * Corporate RIAs

 * RIA/IAR Firms
 * Clearing/Custodial Firms
 * Fintech/Tamp Platforms
 * Partnerships
 * Consulting Firms



Please keep in mind that each nomination must be unique to the specific segment.
Within each submission, outline how the nominee exemplifies the relevant
characteristics and accomplishments.




DIVERSITY & INCLUSION

INDIVIDUALS

Open to those professionals leading diversity efforts that serve as role models
of excellence. Ideal candidates have put into practice innovative, internal
diversity practices, and they are uniting their own firms and the industry
around diversity and inclusion goals. At the same time, they strive to share the
strengths of these efforts more broadly with others through transparent
educational and informative activities. Influential and supportive to many,
these nominees relentlessly pursue gender and racial equality and powerfully
cultivate change. We will also acknowledge rising stars in this category.

FIRMS

Applicable companies demonstrate how they go above and beyond in their efforts
to ensure equality and unleash the untapped potential of all employees, advisors
and executives. They have a proven track-record of attracting and advancing
individuals of different ethnicities, genders, ages, religions, disabilities and
sexual orientations, and with differences in education, personalities, skill
sets, experiences and knowledge bases. At the same time, they strive to share
the strengths of these efforts more broadly with others through transparent
informative and educational activities.

PROGRAMS & SERVICES

Open to firms and organizations that meaningfully embrace and genuinely strive
to incorporate individuals of different ethnicities, genders, ages, religions,
disabilities and sexual orientations through creative and effective programs
within their organizations and within their community. Their programs
demonstrate strong participation, and those using their products and services
advocate vigorously in the broader financial services industry to strengthen
diversity and inclusion.  




THOUGHT LEADERSHIP & EDUCATION

INDIVIDUALS

This category will honor those working to better understand, shape and improve
industry practices, as well as those who strive to educate advisors and
investors in timely and informative ways to improve client outcomes. It is open
to professionals conducting valuable research and leading educational efforts
across a variety of platforms -- social media, online apps, videos, podcasts,
white papers, etc. -- that are focused on topics such as behavioral finance,
retirement income, ESG and other topics. Influential to many, these nominees
relentlessly support the industry’s efforts to educate both advisors and clients
in beneficial ways that improve financial security, retirement security,
financial literacy and related efforts. We will also acknowledge rising stars in
this category.

FIRMS

Open to firms making outstanding efforts to better understand and train new and
existing industry participants -- including advisors, as well as their investor
clients. We also will honor companies at the forefront of areas like behavioral
finance, retirement income, ESG and other innovative topics and which are
producing independent research and tools to help the industry connect new
understanding with practical applications and positive impacts for all investors
and communities. These efforts should include (but are not limited to) valuable
research, new approaches and educational outreach that encompass social media,
online apps, videos, podcasts, white papers, etc., and that seek to improve
financial security or have other broad impacts.

PRODUCTS, PROGRAMS & SERVICES

Open to all firms and organizations propelling the financial advisory industry
in new directions through unique thinking, innovative data visualization and
research, as well as ground-breaking financial tools. This work includes new
understanding and approaches to topics such as ESG/sustainable investing,
retirement income and planning (i.e., accumulation and decumulation), wealth
transfers, behavioral finance and financial literacy.   These efforts should
encompass (but are not limited to) valuable research, new tools, products and
services, as well as educational outreach via social media, online apps, videos,
podcasts, white papers, etc., that seek to improve financial security or have
other broad impacts.




EXECUTIVE LEADERSHIP

INDIVIDUALS

Economic, regulatory, technological and other issues are influencing the
industry landscape as never before, making leadership and its responsiveness
critical. This category acknowledges those leading and guiding key decisions,
including strategy, product development, hiring, the use of technology and more,
in successful, innovative and dynamic ways. It will recognize those making the
decisions that matter most in this fast-changing environment and that support
bold strategies producing both quantitative and qualitative results for their
practices, teams, firms and the broader financial-services community. We will
also acknowledge rising stars in this category.

FIRMS

Open to organizations that can demonstrate they are truly changing the industry
in innovative and dynamic ways through their growth strategies, product
development efforts, hiring, use of technology and other steps. These firms are
taking impressive and unique steps that produce quantitative and qualitative
results for their practices, teams, organizations and the broader financial
services community.

PRODUCTS, PROGRAMS & SERVICES

This category will honor specific examples of how firms and individuals have
produced tangible forward-facing and competitive responses to industry trends
and developments. These efforts can include measures that capitalize on the use
of technology and communications or similarly bold steps that have led to
products, programs and services making a dramatic quantitative and qualitative
impact on the financial services industry.




DEALMAKING

INDIVIDUALS

This category honors those individuals who have been part of moves to acquire,
merge, invest in, form or otherwise support powerful partnerships and
transactions between different industry players. It also recognizes those in the
industry that are uniting firms in different industry segments -- such as
fintech and portfolio management or technology and retirement -- to make a
difference for investor clients, advisors, organizations and the broader
financial services industry. We will also acknowledge rising stars in this
category.

FIRMS

Nominees should have an established and recent record of achievement in  guiding
and developing innovative dealmaking. Their work in this area should include
deals of various types and sizes, as well as transactions and/or partnerships
that unit firms in different industry segments -- such as fintech and portfolio
management or technology and retirement -- to make a difference for investor
clients, advisors, organizations and the broader financial services industry. In
addition, nominees will be reviewed for deals that bring in specific executive
talent, abilities, geographic presence and other competitive strengths that help
them stand out from others in the business.

PRODUCTS, PROGRAMS & SERVICES

Nominations should describe how their dealmaking, including transactions as well
as partnerships, have resulted in specific products, programs and/or services
that enhanced the competitive position of the firm. These efforts also should
have broadened the scope of business and potential opportunities for growth and
demonstrated a quantifiable and qualitative impact on advisors, clients, staff
and the broader financial services industry. 




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