Investment Advisory Services, Inc.( The Woodlands, TX)
Probity Advisors, Inc.( Dallas, TX)
- Adviser Investments (
“Today’s dynamic environment requires firms to focus relentlessly on growth and efficiency to remain competitive,” said
Winners were chosen by an esteemed panel of industry professionals:
“We were impressed by all of the firms’ submissions and their dedication to building lasting businesses, both for their employees and clients,” said
Fidelity will make a donation to the charity of each winner’s choice in the amount of
About the Fidelity Be Greater® Awards
- The annual award honors three registered investment advisors, one from each of the following categories:
$50- $250 million, $250 million- $1 billionand greater than $1 billionin total assets under management.
- Entrants were evaluated by an independent panel of industry professionals for excellence across five key business areas, which Fidelity refers to as its Five Fundamentals of a Future-Ready Firm: Strategy, Talent, Technology & Operations, Risk & Regulatory and Client Focus.
- Eligible firms must be an RIA client of Fidelity Clearing & Custody Solutions, be in business for at least four years, have more than two full time employees, have at least
$50 millionin total assets under management and must not be under investigation by any regulatory or government agency or enforcement division.
- Winners were announced on
October 18, 2016at Fidelity’s Inside Track event in New York. Fidelity will make a donation to the charity of each winner’s choice in the amount of $15,000.
- Investment Advisory Services stood out for their focus on strategy and leveraging technology in order to become more future-ready. Located in
The Woodlands, Texas, this six‐person firm combines goals-based planning with portfolio design. They also provide support for broader life issues such as estate planning and risk management, working in conjunction with strategic partners. Investment Advisory Services utilizes technology to enhance the client experience, while also improving efficiency and reducing costs. Their central open-architecture platform integrates several workflows including account aggregation, a client portal, financial planning capabilities, CRM and document management software to “go paperless.”
- Investment Advisory Services is using its small, tight‐knit team as a competitive advantage to quickly adopt new technologies as well as develop a personalized client experience. “Our business is about relationships,” says
John Haynes, managing director and chief investment officer. “And, our staff enjoys being part of something that provides a benefit to others. We continually look for feedback from clients to understand what they value most when working with our team, and then provide an experience we hope will motivate them to tell others about how we can help.”
Probity Advisors, located in Dallas, Texas, was recognized in part for their client-centric approach to becoming future-ready. Recognizing that every client is unique, they offer clients a variety of ways to stay connected. The team leverages technology for virtual meetings and online account set-up, and an upgraded CRM system allows them to personalize each client’s experience. The firm also keeps clients informed with daily trade alerts, a weekly wrap‐up of market developments via email, and a yearly comprehensive wealth management guide that addresses everything from tax laws, gifting and wealth transfer strategies, retirement planning tools, and more.
Probity Advisorsprovides comprehensive wealth management solutions. “Many clients use a number of professionals to juggle their financial lives,” says Porter (Buddy) Ozanne, founder and president. “Our firm brings together portfolio management, financial and estate planning, risk management and accounting under one organization to deliver comprehensive solutions that simplify our clients’ financial lives.”
Category: Greater than
- Adviser Investments was honored for their investment in technology and talent to get future-ready, devoting time and resources to ensure their people and their technology are “second-to-none.” The firm has long been an industry leader in leveraging its CRM system to provide an excellent client experience and to help fuel asset growth. Employee development is also a primary focus, and the company supports professional growth with continuing-education and outside training, as well as a mentoring program that empowers promising young employees.
- Adviser Investments co-founder and Chairman,
Daniel Wiener, started tracking and providing advice on investing wisely in Vanguard mutual funds in a newsletter he founded in 1991. He launched Adviser Investments in 1994 in Newton, Massachusetts.
- “Given our roots, we think of ourselves as a communications company in addition to being a wealth manager,” says
Dan Silver, president and one of the co-founders of the firm. “As such, we have created a high-touch service model to keep our clients informed about the economy, markets, and their individual portfolios.”
Fidelity’s goal is to make financial expertise broadly accessible and effective in helping people live the lives they want. With assets under administration of
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