Adviser Firm of the Year

(Requires entry: case study and questionnaire)


What are we looking for? This award seeks to highlight outstanding advice processes by setting a challenging case study kindly provided this year by Jacqueline Lockie, head of financial planning at the CISI. There is also a brief questionnaire that all applicants are required to complete (includes regions: London, Midlands & East Anglia, North East, North West, Scotland & Northern Ireland, South East, South West and Wales)


Best Multi-Asset Fund: High Income

(No entry required. Based on independent data and adviser judging panel)


Best Multi-Asset Fund: Long-Term Growth

(No entry required. Based on independent data and adviser judging panel)


Best Multi-Asset Fund: Positive Return

(No entry required. Based on independent data and adviser judging panel)


Best Multi-Asset Fund: Pragmatic

(No entry required. Based on independent data and adviser judging panel)


Best Multi-Asset Fund: Rising Income

(No entry required. Based on independent data and adviser judging panel)


Best Multi-Asset Fund: Volatility Target

(No entry required. Based on independent data and adviser judging panel)


Best Multi-Asset Group

(No entry required. Based on independent data and adviser judging panel)


Best Model Portfolio Service

(Requires entry: 500-word statement)

What are we looking for? As there is no direct relationship between a model portfolio service (MPS) provider and the end-client, the support and communication on offer to financial advisers is a critical consideration. So, while performance, cost and investment process will be under the microscope, the judges will also be looking for MPS solutions that offer advisers a range of options - for example, ethical, active, passive, income for a range of risk profiles and availability across a choice of platforms. In addition, examples of supporting documentation to ensure advisers select a suitable solution for clients will be important while evidence of communications delivered to advisers in the last 12 months, covering performance and amendments to portfolios for use with clients, will also be considered. The winner will be selected by an independent panel including financial advisers.


Best Discretionary Fund Manager

(Requires entry: 500-word statement)

What are we looking for? Performance matters, so we are looking for discretionary fund manager (DFM) businesses that can demonstrate they have met their clients' investment goals over the last 12 months - whether through bespoke portfolios or a full range of DFM investment solutions. (DFM businesses that focus principally on model portfolio services may prefer to enter the preceding category.) The judges may also be keen to know how you manage risk within the portfolios, and what reporting you provide to advisers and their clients. The winner will be selected by an independent panel including financial advisers.


Best Risk-Profiling Service for Advisers

(Requires entry: 500-word statement)

What are we looking for? Risk-profiling tools have become an integral part of the advice process since the Retail Distribution Review but which one is currently offering the best all-round service to financial advisers? Key considerations for the judges will be the strength of the risk-profiling service on offer, how your business helps advisers interpret client results, the clarity of objectives and principles involved and any ‘added-value' aspects of, or new innovations within, your service. The winner will be selected by an independent panel including financial advisers.


Best Ratings/Research Service for Advisers

(Requires entry: 500-word statement)

What are we looking for? Advisers need all the help they can get these days and the increasingly complex world of fund selection is no exception. We are looking for the fund ratings and/or research provider that has provided the best service for advisers in the last 12 months. Key considerations for the judges will be the depth, breadth and objectivity of research and ratings, how they help fulfil client needs, the clarity of objectives and principles involved and any ‘added-value' aspects of, or new innovations within, your service. The winner will be selected by an independent panel including financial advisers.


Best Platform for Advisers

(Requires entry: 500-word statement)

What are we looking for? We are not judging platforms on sales figures. Instead, we want to hear from platforms that believe they give advisers and their clients the best all-round service and experience.


Best Platform for Discretionary Management

(Requires entry: 500-word statement)

What are we looking for? We are interested here in the platforms that believe they best enable advisers to offer a comprehensive discretionary managed, investment-led service to their more affluent clients.


Best Platform for D2C

(Requires entry: 500-word statement)

What are we looking for? Whether on price, proposition, or some other factor, why do you believe your direct platform has bested the competition in the last 12 months?


Best Technology Provider

(Requires entry: 500-word statement)

What are we looking for? This award is open to all providers of technology to regulated financial advisers and advisory businesses. With advisers desiring greater cohesion between their front and back-office operations, and with new artificial intelligence developments in the space such as robo-advice, we want to hear from those providers who have demonstrated innovation in the last 12 months while putting their adviser clients front-of-mind throughout. The winner will be selected by an independent panel of judges including financial advisers.


Best Support Services for Advisers

(Requires entry: 500-word statement)

What are we looking for? What has your company done in the last 12 months to help your adviser clients or users grow their businesses and support their own clients? What particular challenges and opportunities do you see for your adviser clients in the coming years and how are you helping them to prepare or take advantage of them? Are you providing a type of support service for advisers that they struggle to find elsewhere and what sets your own offering apart from your competitors? The winner will be selected by an independent panel of judges including financial advisers.


Best Network

(Requires entry: 500-word statement)

What are we looking for? What has your network done in the last 12 months to help your adviser members grow their businesses and support their clients? What particular challenges and opportunities do you see for your adviser members in the coming years and how are you helping them to prepare or take advantage of them? What support are you offering firms opting for the independent or restricted advice routes? What help are you providing for succession planning? Overall, how are you helping advisers feel valued? The winner will be selected by an independent panel of judges.


Best Adviser Website

(Requires entry: 300-word statement)

What are we looking for? This award is open to financial adviser firms only. A website is your shop window so it would be a rare adviser business these days that did not have one but what sets yours apart from the crowd? If you believe your website has a winning combination of great design, simple and consumer-friendly navigation and excellent content that adds up to an all-round great user experience, this is the category for you. The winner will be selected by an independent panel of judges including marketing experts.


Best Client Engagement (Advisers)

(Requires entry: 300-word statement)

What are we looking for? This award is open to financial adviser firms only. How, why, when and in what way do you engage with your clients? We are looking for firms that have come up with powerful and/or innovative ways to communicate with their clients in the last 12 months. What have you done beyond a brochure and a website to explain to existing and potential clients what your business does and can do for them? If you believe you have gone the extra mile to engage with clients, we want to hear about it.

Please note: Entrants are encouraged to attach examples of client literature, event materials or other content to support their entry. The independent judging panel will analyse the entries on the basis of strength and/or frequency of client engagement activities (50%); quality of supporting materials (30%); and their own discretion (20 %).


Best Client Engagement (Providers)

(Requires entry: 300-word statement)

What are we looking for? This award aims to recognise investment, pension, protection and other providers who go the extra mile in helping advisers to educate themselves and so become better able to inform their clients on a particular area or areas of finance. We are therefore looking for companies that have come up with powerful and/or innovative ways to help advisers better educate, inform and communicate with their clients in the last 12 months. What have you done beyond a brochure and a website to help advisers explain to clients what your services and solutions are - and can do for them?

Please note: Entrants are encouraged to attach examples of client literature, event materials or other content to support their entry. The independent judging panel will analyse the entries on the basis of strength and/or frequency of client engagement activities (50%); quality of supporting materials (30%); and their own discretion (20 %).


Tax-Efficient Adviser of the Year

(Requires entry: 500-word statement)

What are we looking for? Recent years have seen tax-efficient solutions re-establish themselves as a key part of the financial adviser's armoury but who is the making the most effective use of what is on office. This award will recognise either an individual adviser or firm of advisers who can demonstrate not only their breadth of knowledge of this area but how they are making the most of that knowledge to benefit their clients, all the time balancing the potential rewards with the associated risks.


Paraplanner of the Year

(Requires entry: 500-word statement)

What are we looking for? We are calling on advisers and product providers to nominate the paraplanner who has most impressed them in the last 12 months. With this award - won last year by Martin Jarvis of Mattioli Woods - we are looking for advisers and product providers to outline how and why their nominee has made a difference, both to their working lives and to outcomes for clients, over the last 12 months.


Best Financial Adviser to Work for

(Please enter through dedicated site here)


Adviser Personality of the Year

(Vote conducted in the weeks before the Awards and on the night)


Adviser Firm of the Year (UK)

(No entry required. Determined from among eight regional winners)