Award Disclosure

Award Disclosure

The FT 401 list, produced independently by the Financial Times in collaboration with Ignites Research, a subsidiary of the FT that provides business intelligence on the asset management industry.

Financial advisers from across the US applied for consideration, having met a set minimum of requirements. The applicants were then graded on six criteria: DC assets under management; DC plan growth rate; specialization in DC plans; years of experience; advanced industry credentials; and compliance record. There are no fees or other considerations required of advisers who apply for the FT 401.

The final FT 401 represents an impressive cohort of elite advisers: the “average” adviser in this year’s FT 401 has 20 years of experience advising DC plans and advises $1.26 billion in DC plan assets. The FT 401 advisers hail from 38 states and Washington, D.C., and DC plans on average account for 81% of their practices’ total assets.

The FT 401 is one in a series of rankings of top advisers developed by the FT in partnership with Ignites Research, including the FT 300 (independent RIA firms) and the FT 400 (broker-dealer advisers).

Established in 2014, this list is based on applications received from nominees designated by NAPA Broker-Dealer/RIA Firm Partners. Those applications are vetted by a blue ribbon panel of senior advisor industry experts based on a combination of quantitative and qualitative data submitted by the nominees, as well as a broker-check review, and voted on by thousands in the retirement plan industry. 

These “Young Guns” are widely seen as the future leaders of the retirement plan advisor industry. In 2018, NAPA received more than 500 nominations (a 10% increase from a year ago). While each year’s nominations contain an inspiring pool of potential candidates, due to both the size and quantity of qualifying advisors, we have again acknowledged 75 top young retirement plan advisors. For more information about the 2018 Young Guns: Top 75 Under 40, please visit www.napa-net.org/industry-lists/young-guns/

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