The WealthBriefing WealthTech Americas Awards 2023 - Acclaim

ACCLAIM RECOGNISING LEADERS ACROSS THE GLOBAL WEALTH MANAGEMENT INDUSTRY THROUGH THE WealthBriefing AWARDS PROGRAMME

The Second Annual WealthBriefing WealthTech Americas Awards Winners 2023

March 2023

RECENT RESEARCH OUTPUT Why Wealth Managers are the Ultimate Private Market Matchmakers (in partnership with Hywin Wealth & VP Bank) This report tackles both the supply and demand for private market opportunities in both the Asia-Pacific region and globally, a topic which will continue to be hugely important for the wealth management industry as H/UHNWs seek enhanced returns and diversification in a challenging investment environment and billions of “dry powder” await deployment.

External Asset Managers in Asia - New Directions for Rapidly-Expanding Sector (in partnership with UBS) Our second annual report examining the growth of Asia’s EAM sector, covering both the powerhouses of Singapore and Hong Kong, and emerging markets like Thailand and the Philippines. This study looks at the growth prospects for independent advisors in the round as they seek to tap the region’s booming wealth and growing client acceptance of the EAM model.

Family Office Focus: An Update of the Industry's Efficiency in Accounting and Investment Analysis (in partnership with FundCount) A deep dive into the key technological and operational challenges facing family offices in their accounting and investment analysis activities. Based on surveys and interviews among family offices managing over $72

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billion in assets, this is an invaluable benchmarking tool for the sector which presents fascinating insights into future developments from a range of industry experts.

highly attractive target client group. Yet, they remain an underserved one in many senses in spite of their growing financial power and pronounced need for professional advice. Our second report examining women’s specific needs presents truly actionable insights drawn from interviews with H/UHNWIs and their advisors right across the region.

Applying Artificial Intelligence in Wealth Management - Compelling Use Cases Across the Client Life Cycle (in partnership with Finantix & EY) This comprehensive report identifies elements of the institution and advisor’s workloads that are ripe for AI amelioration, and points the way for firms seeking to maximise the competitive advantages offered by new technologies. AI experts and senior industry executives enrich each chapter, answering crucial questions on risk, KYC/AML, compliance, portfolio management and more.

Technology & Operations Trends in Wealth Management 2022 (in partnership with SS&C Advent) This succinct yet wide-ranging report shines a light on both macro and micro trends, beginning with industry growth sentiment and ending on operating model evolution, taking in every key area of development in between. It brings together datapoints and candid comments senior executives at leading consultancies across the world’s major wealth markets to create an invaluable peer benchmarking tool.

Virtuous Circles: Sustainable Family Governance Models in an Evolving Environment (in partnership with Jersey Finance) Essential reading for UHNWs and their advisors, this report unites the findings of a global survey of practitioners and the views of a panel of experts drawn from leading firms, but perhaps most interestingly of all, the paper features a wealth of real-world examples illustrating what forward-thinking families are doing to create lasting legacies.

Technology Traps Wealth Managers Must Avoid 2022 (in partnership with EY) With EY providing the overview, this report draws on the front-line experience of many of the technology sector’s biggest names, in recognition of the fact that they are the ones going in to solve wealth managers’ most pressing problems and have typically seen the ramifications of firms’ choices play out numerous times – not to mention in various contexts globally.

Winning Women in Asia-Pacific (in partnership with VP Bank & Hywin Wealth) Asia-Pacific’s wealthy women represent a

WHY WEALTH MANAGERS ARE THE ULTIMATE PRIVATE MARKET MATCHMAKERS

2022 FAMILY OFFICE FOCUS:

An Update on the Industry’s Efficiency in Accounting and Investment Analysis

WHY WEALTH MANAGERS ARE THE ULTIMATE PRIVATE MARKET MATCHMAKERS

APPLYING ARTIFICIAL INTELLIGENCE IN WEALTH MANAGEMENT:

EXTERNAL ASSET MANAGERS IN ASIA

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COMPELLING USE CASES ACROSS THE CLIENT LIFE CYCLE

NEW DIRECTIONS FOR A RAPIDLY-EXPANDING SECTOR

WINNING WOMEN IN ASIA-PACIFIC Insights for wealth managers direct from female clients

2022

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2022

3rd EDITION

TECH & OPS TRENDS IN WEALTH MANAGEMENT

KEY DEVELOPMENTS EXPLAINED BY TOP INDUSTRY EXPERTS

Now in its Tenth Annual Edition

Expert guidance on strategy, selecting solutions and implementation

Virtuous Circles:

Sustainable Family Governance Models in an Evolving Environment Sponsored by

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ACCLAIM | WEALTHBRIEFING RECOGNISES LEADERS ACROSS THE GLOBAL WEALTH MANAGEMENT INDUSTRY

Foreword

Contents

TOM BURROUGHES Group Editor, WealthBriefing

WEALTHBRIEFING WEALTHTECH AMERICAS AWARDS JUDGING PANEL .................................................

The second annual WealthBriefing WealthTech Americas Awards have quickly become an established feature of the industry calendar. And it is only fitting that the land of Silicon Valley and other tech hubs, such as in parts of the northeast and Texas, is such a vital wealthtech place.

Wealth management technology needs to move quickly and capture innovations in and around blockchain, artificial intelligence, hyperpersonalisation through new private banking and wealth apps, and much more. These awards honor those who are embedding these technologies into the wealth management industry, all the while staying focused on making their business more profitable and resilient, and doing so by giving clients great service.

With the challenges faced over the past few years, wealth managers have not been able to sit on their laurels. They’ve had to innovate, work outside traditional offices, master new technology tools, all the while maintaining a team spirit and helping clients and colleagues stay composed. Wealthtech has enabled a great deal of this to happen.

The value of awards such as these aren’t always fully appreciated outside the industry’s ranks. But these awards are a chance to remind the sector why it is important. They give industry figures a chance to compare themselves to peers, figure out new ideas, and stay nimble.

The judging panel, drawn from a variety of fields, picks the winners and much effort goes into the process to ensure judges’ expertise is relevant.

The organisers of these awards are deeply grateful. The list of judges is published on this news service’s website.

We want to also thank our sponsors, the organisers and all those who took the time and trouble to enter, to share ideas and feedback.

However clever and shiny technology is, ultimately it is the people who build great wealth management. These awards salute them.

Digital transformations of the industry, use of cloud-based platforms, development of artificial intelligence and the “robo-advisory” models are drivers of change. Another big force is the challenge for how advisors and investment firms, facing rising client demands and regulatory burdens, need to use tech solutions to stay efficient and profitable.

As the team at WealthBriefing know, wealthtech is far more than clever AI investment apps, blockchain, “tokens” or shiny mobile platforms; it is about changing the value chain from the front- to back-office side of business; it is about giving advisors tools so they can be better equipped to discuss financial and non-financial issues with clients, find new clients and keep track of workflow. There is a bewildering array of

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INTERVIEWS: Advisor360° ..................................................................... 7 AdvisorStream ................................................................. 9 Atténuer Risk, LLC ............................................................ 11 Bank of America - Merrill Lynch ...................................... 13 BridgeFT ........................................................................... 15 BRITech ............................................................................. 17 Canoe Intelligence ........................................................... 19 Charles River Development ............................................. 21 d1g1t .................................................................................. 23 Day Pitney LLP .................................................................. 25 Dynamo Software, Inc. .................................................... 27 Foundation Source ........................................................... 29 Hush ................................................................................. 31 Masttro ............................................................................ 33 NICE Actimize .................................................................. 35 Plumb ............................................................................... 37 Practifi .............................................................................. 39 Private Wealth Systems ................................................... 41 PwC .................................................................................. 43 SS&C Black Diamond ....................................................... 45 The Collaborative for Investment Education, Inc ........... 47 Vanilla® ............................................................................ 49 Wealth Dynamix .............................................................. 51 WealthHub Solutions ....................................................... 53 WEALTHBRIEFING WEALTHTECH AMERICAS AWARDS WINNERS IN FULL .............................................. 55

Overview of the Wealth Technology Market in the Americas The wealth technology market in the Americas is the largest in the world. According to Business Market Insights in 2021, North America’s wealthtech solutions market is expected to grow from $18.81 billion in 2021 to $42.06 billion by 2028 and estimated to grow at a compound annual growth rate of 12.2 per cent from 2021 to 2028.

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firms operating in the space, such as SS&C; InvestCloud; Canoe Intelligence; The E-Evaluator; FundCount, Retail Technology; FactSet; Refinitiv, and more. A challenge for wealth managers is understanding how to choose the right vendors and get help – this is a rich field of work for consultants.

Whether an organization is a small RIA, multi-family office, trust bank, asset manager or full-service bank, technology is increasingly part of the business. We have seen how, for example, technology professionals are often C-suite decision-makers. At times it is hard to know whether some firms are primarily financial companies or tech businesses.

Besides the benefits of all this tech are vulnerabilities and challenges. With the average age of North American wealth advisors rising, the ability to learn and adopt new technology to serve a rising cohort of HNW individuals becomes more challenging. Technology is not a cure-all – firms that assume that having snazzy new tech will overcome problems will be disappointed. Cybersecurity remains a pressing issue, as industry surveys regularly demonstrate.

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ACCLAIM | WEALTHBRIEFING RECOGNISES LEADERS ACROSS THE GLOBAL WEALTH MANAGEMENT INDUSTRY

The Judging Panel The WealthBriefing WealthTech Americas Awards 2023 judging process was guided and assisted by a panel of independent experts, each of whom has been actively involved in the wealth management industry for many years and have an in-depth knowledge of the WealthTech sector.

LOGAN ALLIN General Partner Fin VC

PATTI BOYLE Chief Marketing Officer Dstillery

VIKRAM CHUGH Chief Operating Officer Robertson Stephens

CAROLE CRAWFORD Managing Director, Americas Region CFA Institute

DOUGLAS FRITZ Founder and CEO F2 Strategy

HOWARD GELLER Principal, Strategic Consultant Hudson Peak Group

TANIA NEILD CTO and Owner InfoGrate

JONATHAN NORTH Head of Products 4Pines Fund Services

GARY W POTH Executive Managing Director, Head of Family Wealth Key Private Bank

ANAND RADHAKRISHNAN Head of Digital Products Franklin Templeton Investments

GREGORY F. ROLL Co-Founder Touchpoint

APRIL RUDIN Founder and President The Rudin Group

MIKE SLEMMER LP Sales Director Dynamo Software

WILLIAM TROUT Director of Wealth Management Javelin Strategy & Research

BILL WOODSON Executive Vice President, Head of Strategic Wealth Advisory and Family Enterprise Service SVB Private

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Deliver a more connected digital wealth experience Advisor360° moves beyond siloed wealth management to enable more connected experiences between brokerdealers, advisors, and clients.

Our award-winning solutions include: Digital Onboarding Adopt a complete account opening solution equipped with data collection processes and flexible integrations.

Digital Transformation Allow advisors to better engage with their clients using a connected digital wealth experience.

Advisor Experience Increase productivity with configurable advisor dashboards and automated workflows.

Books and Records Utilize compliant data storage and workflow to stay up to date with regulatory requirements.

Client Portal Provide your clients with a comprehensive view of their investments, policies, and plans.

Reporting Bundle, schedule, and run fully reconciled reports across all account types.

Discover how Advisor360° can optimize your tech stack and provide your advisors the time needed to build deeper connections with their clients at Advisor360.com.

ACCLAIM | WEALTHBRIEFING RECOGNISES LEADERS ACROSS THE GLOBAL WEALTH MANAGEMENT INDUSTRY

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A Game-Changer In The WealthTech Industry Richard Napolitano CEO Advisor360°

Winner • Onboarding Product

Please explain how Advisor360° has taken its business to an award-winning level.

Advisor360° is an independent software provider that builds, integrates, and delivers technology for wealth management firms. Our technology enables a connected digital experience for broker-dealers, advisors, and advisors’ clients by integrating with a firm’s existing technology and providing a unified approach to wealth management.

Our focus is on the engineering excellence of our platform that gathers data from all financial products while integrating with clients’ existing technology footprint. This includes investment, banking, insurance, real estate, beneficiary information, health savings account, income sources, and debt.

The secret sauce is our proprietary Unified Data Fabric™ (UDF). It allows us to aggregate and enrich all types of data from hundreds of sources and disparate legacy systems, ultimately consolidating it into a unified format. The UDF is what enables us to provide a consolidated view for broker-dealers, their advisors, and advisors’ clients for any financial product, investment, account, or policy.

Why will your business model continue to have success in a competitive and rapidly changing business environment?

We are experts in the software field and deliver an experience our competitors cannot match because they are not software companies but rather financial services companies that sell software. Moreover, what continues to set Advisor360° apart is our deep configuration and comprehensive integration into a company’s existing technology stack.

We recognize that wealth managers face many challenges from account opening to time-consuming reporting to compliant data

storage and operational workflows. Our business model allows a broker-dealer to purchase a single solution to address a specific business need or the entire platform to accelerate digital transformation at scale, creating a truly connected user experience.

What are the qualities that have distinguished Advisor360° this year and why?

Strong advisor-client relationships start with a great onboarding experience. As relationships mature and client connections strengthen over time, advisors must have the technology in place that can support their growth and build deep client relationships.

When we introduced our low-code Digital Onboarding, it was a game changer for the industry.

Going forward, what will you focus on?

Our recent Connected Wealth Report survey found that lack of automation is the number one complaint advisors have about their current technology. We’re laser focused on solving this problem for the industry, and our commitment to deeply integrated data and tools means we’re finding ways to eliminate “swivel chair”—the need to jump from application to application—so that advisors and the back office can be more efficient and serve clients more effectively.

One of our “superpowers” is that we know the life and workflow of broker-dealers and advisors, and with UDF, we have a holistic view of the end client built into our software, which simplifies the workflow for our users and drives advisor and home office productivity. Digital Onboarding is just one example of leveraging our industry expertise with UDF and software to improve productivity.

ACCLAIM | WEALTHBRIEFING RECOGNISES LEADERS ACROSS THE GLOBAL WEALTH MANAGEMENT INDUSTRY

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AdvisorStream Removes Distractions For Clients Kevin Mulhern Head of Product and Co-Founder AdvisorStream, a Broadridge Company

Winner • Innovative Client Solution (Canada)

What makes your platform the most innovative solution?

How does it differ from your peers?

At the core of financial advice is the client, which is why we take a client-first approach. Broadridge’s AdvisorStream platform empowers Wealth Firms and Advisors to hyper-personalize their client experience through one-to-one communications tailored the individual interests, goals and life events of each investor.

We’ve partnered directly with the world’s top publishers (e.g., The Wall Street Journal, Bloomberg, Financial Times, The Globe & Mail, Forbes and more) to ensure that Advisors can share highly credible and engaging content free of any distractions, ads or paywalls.

By removing all the distractions, AdvisorStream’s approach drives ROI through greater client engagement, retention and acquiring new AuM. Please explain how the team has taken your business to an award-winning level?

We’re working together as a team to help wealth firms provide a truly unrivaled client experience. This involves close collaboration between engineering, customer service, content development, product, and marketing teams. In the last 12 months we’ve doubled our engineering team, which has allowed us to add numerous capabilities and integrations to take our platform to the next level.

We live in turbulent times – how do you help advisors stay ahead?

We help advisors and wealth firms effectively communicate and engage their clients without adding to their workload.

Communication is critical, especially in volatile markets. But staying in regular touch with clients and prospects can be time consuming and sometimes unrealistic.

One-size fits all communications fall flat with today’s modern investor. Investors expect their advisor to truly understand and address their immediate needs.

When done right, marketing automation can help the advisor deliver a truly personalized experience that caters to the investor’s unique needs and stage in the investor lifecycle.

The AdvisorStream uses AI-powered technology to “learn” as investors interact with an advisor’s communications, continually honing the relevance and appeal of content that is shared with each client and prospect.

This results in higher engagement and retention levels, as well as providing a steady stream of revenue opportunities.

AdvisorStream’s omni-channel approach to client engagement ensures that advisors are creating regular touchpoints with investors on the right channel, at the right time with the right content.

How does your team find inspiration and drive innovation?

There’s a lot of competition for investor’s attention and that means we need to look beyond financial services for inspiration and ideas.

Our team regularly looks at industries from entertainment to education to identify trends and opportunities that Advisors can leverage in their marketing to capture attention and spark AuM-driven conversations.

Personalization is a north star for AdvisorStream and our team is constantly refining our algorithms to deliver on ever evolving investor expectations. We work closely with our publisher and technology partners to build the next tools to further optimize wealth marketing.

Our clients provide a wealth of insights and inspiration to continually evolve our platform.

ACCLAIM | WEALTHBRIEFING RECOGNISES LEADERS ACROSS THE GLOBAL WEALTH MANAGEMENT INDUSTRY

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An Outsourced Risk, Resiliency Solution For Advisors

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s the first and only outsourced risk and resiliency solution for wealth advisory firms, Atténuer Risk, LLC delivers objective, client-aligned risk management solutions to families of exceptional wealth, multi-family offices, and advisory firms. We provide outsourced risk management, property and casualty integration, broker review and selection, enterprise and venture risk assessment, resiliency planning, family office benchmarking, and family member and staff education.

Kate Norris Managing Principal Atténuer Risk, LLC

The Atténuer team has more than 25 years’ experience serving family offices and successful families, is licensed in all U.S. states and territories, and is able to scale and expand as organizations grow and serve more families.

Please explain how the team has taken your business to an award-winning level.

Individuals, families, family offices, multi-family offices, and wealth advisory firms have increasingly sought risk management guidance beyond insurance policy placements but found limited resources beyond the broker channel.

Atténuer was launched in 2021 to fill this gap in the marketplace. As a risk and resiliency consultant, Atténuer does not sell insurance, but instead presents clients with objective and tailored solutions based on their total risk architecture. We act as a trusted member of the team, helping families make more informed decisions by providing a holistic picture of their insurance coverages, identifying areas of improvement, and creating resiliency plans.

Winner

We live in turbulent times – how is your business going to stay ahead?

• Outsourcing/ Partnership

In today’s turbulent environment, a single catastrophic or underinsured property loss can be the difference between a wealthy family meeting their financial

goals or starting over. To help their clients thrive, successful wealth advisory firms increasingly recognize the importance of incorporating comprehensive risk management guidance into their service offerings. Simply paying insurance premiums is no longer enough - they need to look at each client’s whole risk architecture, identify and analyze exposures and hazards, employ mitigation strategies, and implement the right risk transfer solutions.

As an objective third party, Atténuer serves as a trusted member of the wealth advisory team, helping families make more informed decisions and better protect their assets. Clients benefit from our team’s extensive experience, ability to scale in alignment to their growth, local presence, and ability to seamlessly integrate into their existing framework.

Going forward, what changes do you most expect to make at the business?

At Atténuer, our experienced colleagues serve as the firm’s team of Property & Casualty experts – essentially as their clients’ risk managers. We offer strategic and tactical guidance, coordinate with clients and other key stakeholders to establish the risk management architecture, and implement solutions to ensure their assets are safeguarded now and into the future.

Whom do you look to for inspiration?

Our clients are our inspiration. Risk transfer is expensive and complicated, and even the most sophisticated insurance buyers do not always understand why they are paying certain premiums or how the coverage protects them.

When Atténuer first launched in 2021, our core offering was designed to fill this gap in the market, and we are committed to continually refining and strengthening that offering to better meet their needs.

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Merrill Lynch, Pierce, Fenner & Smith Incorporated is a registered broker-dealer, registered investment adviser and Member SIPC. Bank of America, N.A., Member FDIC. MLPF&S and Bank of America, N.A. are wholly owned subsidiaries of Bank of America Corporation.

Investment products:

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May Lose Value

© 2023 Bank of America Corporation. All rights reserved. | MAP4986533 | AD-02-23-0024 | 02/2023

ACCLAIM | WEALTHBRIEFING RECOGNISES LEADERS ACROSS THE GLOBAL WEALTH MANAGEMENT INDUSTRY

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Technology Is At Heart Of Bank Of America's Wealth Strategy Mike Lestina Managing Director Bank of America - Merrill Lynch

Winner • Digital Offering or Tools

What are the qualities that have distinguished you this year and why?

Technology plays a major role in Bank of America’s wealth management strategy. The bank spends over $11 billion annually on technology, including $3.6 billion on new development. Our wealth management clients are some of the most sophisticated investors in the world and they expect us to provide them with world-class service, ideas, and experience.

Our digital strategy is a core part of our wealth client experience, reflecting our high-tech and high-touch approach.

The demand for financial advice and guidance has never been greater, and Merrill has been laser focused on offering digital solutions for every aspect of the client-advisor relationship.

Nothing exemplifies this commitment more than the launch of the Mobile Advisor Experience app (MAX).

In September 2021, Merrill launched MAX, a mobile application that enables advisors to perform critical work functions from an iPhone or iPad. MAX is a secure mobile app for financial advisors on their company-issued iPhones that enhances an advisor’s experience in two ways: 1) it consolidates all the necessary information and tools needed to successfully service their clients when away from their workstations 2) it simplifies many mobile tasks that were previously unavailable or difficult to execute.

Advisors now have the information and tools needed to address urgent client matters right at their fingertips.

Please explain how the team has taken your business to an award-winning level.

Above all else, clients are at the heart of every initiative. We are constantly evaluating our client and advisor facing digital

offerings, and we identified advisor mobility as a critical and addressable opportunity. While the project was already in a conceptual state by 2019, the onset of a remote work environment in 2020 highlighted the need for an advisor to be able to perform crucial tasks when a workstation is not easily accessible.

Financial advisors rely on having up-to-date information on markets, investments, and clients to maintain their book of business, as well as many workstation tools to efficiently collaborate and communicate with their clients.

As far as we are aware, MAX is the first advisor dedicated mobile application within full-service firms that offers advisors the ability to securely access client information and effectively perform crucial tasks on the go. While MAX is not intended to replace a desktop experience, the app augments the client experience by enabling advisors to address urgent client needs from anywhere there is internet connectivity.

We live in turbulent times - how is your business going to stay ahead?

Through continued investments in award winning planning tools, our cutting-edge digital platforms, and of course the Thundering Herd (advisors), we believe that Merrill provides clients the best opportunity to achieve their financial goals.

How do you intend to use this award and what do you hope it will do in aiding your fortunes?

It is an absolute honor to be the recipient of a WealthBriefing WealthTech Award in 2023. We recognize there were many worthy submissions in the Digital Offering or Tools category, so we take great pride in the award.

Modern WealthTech Infrastructure The industry’s only API-first, cloud-native WealthTech-as-a-Service platform supporting the critical data, analytics, and application services needed to build next generation wealth management applications.

WealthTech API

Data Aggregation Multi-custodial Data Held Away Data 3rd Party Application Data

Data Enrichment

Advisor Productivity

Performance Analytics

Client Reporting

Billing Calculators Practice Insights Analytics

www.bridgeft.com

Fee Billing Model Marketplace Client Portal

ACCLAIM | WEALTHBRIEFING RECOGNISES LEADERS ACROSS THE GLOBAL WEALTH MANAGEMENT INDUSTRY

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Driving Better, Data-Driven Outcomes To Clients Joe Stensland Chief Executive BridgeFT

Winner • Data, Information or Business Intelligence Provider

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ridgeFT is a cloud-native, API-first wealth infrastructure software company that enables financial institutions, fintech innovators, TAMPs, and registered investment advisors to deliver better, data-driven outcomes for their clients.

Leading financial services firms and technology companies trust BridgeFT to power their digital wealth management ecosystems and automate critical back-office operations - seamlessly aligning essential wealth data, proactive client insights and reporting, and portfolio management automation to deliver a truly personalized client experience.

What are the qualities that have distinguished you this year and why?

BridgeFT is unafraid to break through the status quo approach historically used to aggregate and manage financial data. We have launched Wealthtech API, a wealthtech-as-a-service platform, that transforms how advisors and service providers access, use, and report on financial data.

Further, the launch of our Wealthtech API presents enterprises with an entirely new solution to the challenges of working with custodial data and building modern applications. By leveraging our platform, clients have full control over their digital experiences without the need to build the core functionality and data infrastructure that is oftentimes expensive. Our clients can simply choose the apps and data needed, configure them to support specific business needs, and offer them to clients as their own.

As the industry’s only completely API-first, multi-custodial data aggregation platform, our Wealthtech API streamlines development and integrates seamlessly with organizations’ current processes and systems. In addition, our data is trade-ready, with the highest standard in the marketplace.

BridgeFT normalization and reconciliation removes 99 per cent+ of the reconciliation events requiring human intervention and provides data consistency enabling organizations to power a single application with multiple data sources.

We live in turbulent times - how is your business going to stay ahead?

With unpredictable market conditions, many organizations are precautionarily scaling back. In line with this shift, BridgeFT offers a more cost-effective, faster solution for deploying data.

BridgeFT clients spend 60 per cent less, in both time and financial resources, compared to traditional data aggregation vendors or internal data buildouts, on average.

Beyond the core custodial data, BridgeFT’s data enrichment delivers powerful performance, insights, and analytics across all accounts, regardless of custodian. To stay on the cusp of innovation in the rapid changes ahead in 2023, BridgeFT is looking beyond data aggregation to provide enterprises with actionable solutions for how to use that data.

How do you intend to use this award and what do you hope it will do in aiding your fortunes?

Many businesses such as emerging fintechs, TAMPs, and investment product distributors who could greatly benefit from the use of the Wealthtech API are currently unaware this solution is available to them. Enterprises are dissatisfied with all-in-one solutions or lack of innovation from legacy solutions.

Through this award, we hope to spread the word about our innovative, API-first approach to custodial data integrations, allowing future customers to connect with us to deploy their own custom solutions.

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ACCLAIM | WEALTHBRIEFING RECOGNISES LEADERS ACROSS THE GLOBAL WEALTH MANAGEMENT INDUSTRY

Rising From Regional Solution Player To Global Force What are the qualities that have distinguished you this year and why?

This year has been an exciting chapter in our global growth storyline, particularly in the Latin American market. Since 2014, we have been growing from a regional solution provider into a global presence.

Financial firms choose us because we blend a highly configurable investment management platform with a deeply experienced support and success teams to meet each customer’s unique needs.

"Financial firms choose us because we blend a highly configurable investment management platform with a deeply experienced support and success teams to meet each customer’s unique needs."

Through our partners and regional offices, we’ve developed new solutions that are meeting the complex needs of the Latin American market in key areas involving regulations, new client onboarding, anti-money laundering, data aggregation and dynamic reporting.

These new solutions and deep understanding of the needs of regional markets has caught the attention of several small-medium-large firms looking to raise their digital platform presence to the next level.

Please explain how the team has taken your business to an award-winning level.

Our approach is unique in its level of bespoke solution design projects supported with a very hands-on tech team.

We describe it as a SaaS solution that is part of our toolkit that we use to create the specific solution our customers need to meet their goals. Instead of signing on new clients, handing them logins, and pointing them to training videos, BRITech’s approach is more like a bespoke

project, leveraging the platform as a solid and very flexible jumping off point and layering on workflows, data connections, reporting, and other integrations to deliver the dashboards, workflow, flexibility, and scalability our clients are seeking.

This level of customer attention has made all the difference, and why we remain recognized for our high satisfaction levels for more than 450 clients in 20+ countries from different regions.

We live in turbulent times – how is your business going to stay ahead?

Our strength lies in our partnerships and global team who are closely tied into the critical issues facing our industry around the world. By collaborating with partners, talking to customers, learning from industry trends, and keeping tabs on new developing technologies we have - and will remain - at the forefront of industry developments. We take pride in our ability to pivot to industry changes and anticipate next steps. That’s been a successful formula for us and one which we will maintain long into the future.

Yuryi Ferber Founder and Chief Executive Officer BRITech

Going forward, what changes do you most expect to make at the business?

I believe one of the biggest changes for us will be around information exchange. As more customers join the BRITech family, we're discovering more opportunities for new use cases, and ways to exchange financial information with the parties that need it - in the form they need it.

"As more customers join the BRITech family, we're discovering more opportunities for new use cases."

As Open Finance continues to evolve from the banking sector into the domain of investment management, we expect to be well positioned to support a more flexible yet collaborative technology for the benefit of our client base.

Winner • Overall WealthTech Provider (Latin America) • Overall WealthTech Provider (Mexico)

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A Source Of Calm When Markets Get Tough Seth Brotman President and Founder Canoe Intelligence

Winner • Artificial Intelligence (AI) Application

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hen markets turn volatile and banks get into trouble, clients want rapid access to clear data that can support them in mitigating risk and making informed decisions.

The collapse of Silicon Valley Bank in March proved it.

Canoe Intelligence, the US-based financial technology company powering alternative investment intelligence, said its offerings stood up to the challenge caused by the largest US bank failure since that of Washington Mutual Bank in 2008. As the firm explained on its blog: “Canoe’s team received a number of calls and emails from clients expressing how their creative use of Canoe’s technology allowed them to easily assess exposure and pull upcoming calls that mentioned Silicon Valley Bank or other regional banks.”

“Canoe’s clients were able to leverage the technology to quickly search investment documents, such as audited financial statements and cash flow notices, for any mention of SVB or others–as holdings or within wiring instructions–to determine which funds had exposure. Clients using Canoe’s Connect offering, for systematic collection of documents, were also able to rapidly scan their Connect inboxes for manager correspondence related to SVB,” the firm said.

Seth Brotman, president and founder of Canoe, argues that being armed with the right information is essential in difficult markets – and in all conditions, in fact. He explained, in an “Insights” commentary at Canoe: “You don’t want to go into a period of volatility with less information.”

Brotman spoke to this publication about the firm’s award-winning achievements and where it is headed.

“There is a lot of positive momentum. And, Canoe’s adoption and ongoing development continues to be driven by direct conversations with clients about solving their specific needs and challenges,” he said.

“We believe we are well positioned to continue to grow and support the alternatives [investment] space, particularly with family offices and wealth managers,” he continued.

“We believe we are well positioned to continue to grow and support the alternatives [investment] space, particularly with family offices and wealth managers.”

This year Canoe was awarded “Best Artificial Intelligence (AI) Application (US)” at the Second Annual WealthBriefing WealthTech Americas Awards 2023. Canoe’s CTO, Vishal Saxena, also accepted the "Chief Technology Officer" award at the WealthBriefing European Awards 2023.

In choppy markets, this makes private market investment more attractive, and raises the need for more and clearer data. Much of its appeal is in automating the often time-consuming and expensive manual workflows.

The firm works with more than 200 family offices and wealth managers of all kinds and has been busy inking relationships with major firms. In March 2021, Canoe established a new London office and hired Toby Bailey as vice president of sales, EMEA. In September of that year, it completed a financing round led by Carlyle and Blackstone.

In February this year, Canoe announced it had completed its $25 million Series B financing round. It has added Global Endowment Management, Portfolio Advisors, WE Capital Investimentos, Goldrock Capital, Vernal Point, Wealthspire Advisors, GCM Grosvenor, Waldron Private Wealth, Sweetwood Ventures, Plante Moran, Doyenne Wealth Advisors, MGG Investment Group to its client roster, among many others.

The Charles River Wealth Management Solution ®

Innovate Disrupt Level Up Charles River is creating a new paradigm in the industry with a cloud-based, interoperable, and powerful platform. Our solution empowers wealth managers, sponsors, and advisors with the technology and services that help drive business growth and improve investor outcomes.

Winner of Best Portfolio & Wealth Management Platform

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ACCLAIM | WEALTHBRIEFING RECOGNISES LEADERS ACROSS THE GLOBAL WEALTH MANAGEMENT INDUSTRY

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Constant Client Engagement And Terrific Teamwork At Charles River Randy Bullard Global Head of Wealth Charles River Development

Winner • Portfolio and Wealth Management

Please explain how the team has taken your business to an award-winning level.

Our engineering, product, and client management teams are key to our success. We work collaboratively across geographies and markets to ensure that we provide technological leadership and innovation to the global wealth management community.

"Our engineering, product, and client management teams are key to our success."

Staying constantly engaged with our clients is also critical. The industry is rapidly changing, and our clients require agility from our product and development teams to make sure that we’re aligned with our clients’ needs, whether it’s regulatory compliance and mobility to scalability and performance.

We regularly partner with our clients to solve for their real, everyday challenges, and bring that knowledge into our product development. In addition to our core platform, offerings such as Tailored Portfolio Solutions and the Wealth Hub are simplifying and streamlining processes that were once cumbersome and manual.

Please describe some of the main challenges you had to tackle and what have you learned from the past 12 months?

Finding and attracting talented technologists and other professionals in the current tight labor market is challenging.

Our standards ensure that Charles River’s global talent pool reflects a diverse mix of industry knowledge, technological expertise, and commitment to client service.

Whom do you look to for inspiration?

Finally, we invest substantially in research and development.

We invest over $80 million annually across the Charles River product suite with $10 million allocated to our wealth management solution.

Our global client base of top-tier firms inspires our product and engineering teams to provide the best technology and client experience possible. Client feedback and collaboration enables Charles River to continuously incorporate new innovations in our wealth management platform.

We live in turbulent times - how is your business going to stay ahead?

How do you intend to use this award and what do you hope it will do in aiding your fortunes?

We are keenly aware of the challenges facing advisors as well as wealth and asset managers. As they try to innovate and remain competitive, they are dealing with fee compression, increased operating costs, advisor retention, among others. We believe that staying competitive in the market requires a modern, complete technology solution that can handle high volumes and the flexibility to manage multiple lines of business on one platform.

We’re thrilled to have won this award for the second year in a row.

It underscores the value that our clients place in our technology and commitment to service.

"We’re thrilled to have won this award for the second year in a row."

The advisory technology platform your clients wish you had.

Enterprise wealth management powered by institutional-grade analytics & risk management tools

ACCLAIM | WEALTHBRIEFING RECOGNISES LEADERS ACROSS THE GLOBAL WEALTH MANAGEMENT INDUSTRY

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Forging Close Client-Advisor Engagement Tate Haymond Chief Revenue Officer d1g1t

Winner • Overall Canadian WealthTech Provider

What are the qualities that have distinguished you this year and why? d1g1t strongly believes that financial advisors are indispensable in meeting the needs and objectives of high-net-worth and ultra-high-net-worth individuals and families. In other words, humans are essential to delivering a great client experience. The d1g1t platform prioritises advisor-client engagement.

"Our goal is to enable wealth management firms to expand their high-quality, human-to-human services in the face of digitalization."

Our goal is to enable wealth management firms to expand their high-quality, human-to-human services in the face of digitalization. d1g1t’s ability to drive information to the advisor’s fingertips, while also supplying high-end analytics around things like risk management and private equity investments, ensures that our clients can differentiate themselves in a crowded marketplace to spur growth. The platform that we have built embodies this approach – and it is clear to anyone that sees it.

Please explain how the team has taken your business to an award-winning level. d1g1t is proud to have one of the strongest financial engineering teams in the industry. This team has been designing and developing the platform over the last six years. It has become the best system of its kind in the industry. My directive, as chief revenue officer, is to take our solid base and build a sales and marketing organization that will educate the world on what is now possible to spur growth.

We live in turbulent times – how is your business going to stay ahead?

We have both cutting-edge technology and innovative product design. Our platform is built on a foundation of APIs, giving us

flexibility to be either the central nervous system or a component within a larger tech stack. We perform all calculations within our engine, using APIs to call them when needed. Our institutional background means we have already tackled many of the problems that have emerged in the wealth management space. Unlike our competitors, wealth management is our sole focus, so we can commit to delivering the best platform possible, both now and into an ever-evolving world.

What challenges have you overcome this year?

As a six-year-old company with over 100 associates, we’re not a start-up. We’ve proven that we can deliver a great product in a variety of situations, both small and large. The challenge now is being able to scale our operations to continue our growth. As you know, 2022 was an uncertain year in the financial markets, but our ability to stay successful under those conditions gave us momentum for the future.

Going forward, what changes do you most expect to make at the business?

"We plan to continue to emphasise the core practices that have contributed to our success thus far."

We plan to continue to emphasise the core practices that have contributed to our success thus far. This includes actively listening to our clients, prioritising our core strengths, fostering long-lasting relationships, and obsessing over the client/advisor experience.

Whom do you look to for inspiration?

For me personally, I try to learn whatever I can from successful people. One person who has contributed repeatedly to my profile is Dabo Swinney. He surrounds himself with people that fit his culture.

Congratulations to our colleague

William J. Roberts Recipient of the 2023 WealthTech Americas Award* for Thought Leadership (US) from Clearview Publishing’s

WealthBriefing

William J. Roberts, Esq. Partner and Co-Chair of Data Privacy, Protection and Litigation (860) 275 0184 wroberts@daypitney.com * See bit.ly/AwardsMethodology.

Attorney Advertising Notice - Prior results do not guarantee a similar outcome.

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ACCLAIM | WEALTHBRIEFING RECOGNISES LEADERS ACROSS THE GLOBAL WEALTH MANAGEMENT INDUSTRY

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A Personal Approach To Cybersecurity And Privacy What are the qualities that have distinguished you this year and why?

We live in turbulent times - how is your business going to stay ahead?

In counseling high-net-worth individuals and family office principals on cybersecurity and data privacy, the main area where Day Pitney distinguishes itself is bringing a very personal approach to what the client needs.

Our data privacy, protection and Litigation practice group has stayed ahead by functioning as one holistic and diversified team.

"We have created a single integrated group that can handle the entire life cycle of data privacy."

William J Roberts Data Privacy and Cyber Security Partner Day Pitney

There is a significant difference between advising an individual client and advising a corporation. Working with individuals, we can get to know their personalities, their styles, their priorities, and the worries and challenges that drive them, such as identity theft, inappropriate access to personal or financial information, and false statements made on social media.

By developing this direct and personal relationship, we are better equipped to understand the cybersecurity needs of the family office and then advise them moving forward.

Please explain how the team has taken your business to an award-winning level.

My practice is only possible because of Day Pitney’s national-level family office practice group. We are most successful because we can bring our clients the strength of our team of advisors.

Winner • Thought Leadership

This brings to the forefront a wide array of services - advising on data breach response, making introductions to cybersecurity leaders at some of the nation’s largest financial institutions, advising on family office vendor and outsourcing contracts, and conducting family office cyber-risk assessments and counseling regarding potential cybercrime activity.

For example, privacy matters don’t bounce from one practice to another from the health law practice group to the Litigation practice group to the Finance practice group and so on.

We have created a single integrated group that can handle the entire life cycle of data privacy. This way, we take all those areas where we excel healthcare, technology, investment management, energy and utilities - and have a focused suite of services we can offer our clients.

Going forward, what changes do you most expect to make at the business?

We need to maintain our experience and continue growing. Data privacy is always evolving, and with a constantly intensifying myriad of important issues - including medical device privacy, biometrics and telematics regarding how people are monitored - we need to be ready.

How do you intend to use this award and what do you hope it will do in aiding your fortunes?

This award recognizes all the work we have done to place ourselves at the forefront of data privacy and cybersecurity in the private client and family office sectors.

The breadth and depth of our platform can support more families with data privacy challenges, even as the challenges become increasingly complex.

Dynamo Accounting Are you ready to take your Fund Accounting & Investor Servicing to the next level?

Cloud-based GL platform for the Alternative Investments industry • Accurately capture your unique data • Streamline quarterly reporting process • Automate complex partnership allocations

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Fully integrated with Dynamo’s platform and its front and middle office components.

20+ Years Serving LPs and GPs in the Alternative Investments Ecosystem

ACCLAIM | WEALTHBRIEFING RECOGNISES LEADERS ACROSS THE GLOBAL WEALTH MANAGEMENT INDUSTRY

27

A Unified Investment Management Platform Packs A Punch

D

ynamo Software is a unified investment management platform for the alternative investment ecosystem. Users can leverage back-office systems for portfolio monitoring, fund accounting, and secure online reporting features, all within a single, integrated system.

Dynamo Software is used by more than 1,000 clients around the globe to manage more than $10 trillion in assets because it is configurable, cloud-based, automated, and versatile.

What is the biggest challenge Dynamo Accounting solves for your clients?

Nield Montgomery Managing Director Dynamo Software

Those who work in fund accounting must operate efficiently among an array of challenges: fund accounting has grown more complex, it is deadline-driven, yet back offices remain lean and tightly staffed.

There is a significant amount of time and effort that goes into preparing quarterly financial statements for alternative investments, and many in the accounting function are using legacy tools, such as Excel and Quickbooks, that are not well-equipped to handle the volume and complexity of information. Instead of adding more staff to manage the workload, accounting teams can leverage Dynamo to introduce automation to back-office functions.

How is Dynamo Accounting different from competitors?

Winner • Client Accounting

With differing reporting requirements and partnership economics from investor to investor, fund to fund, or quarter to quarter, Dynamo Accounting makes it easy for users to modify which attributes they want to incorporate in reports and underlying calculations. Dynamo’s out-of-the-box report library makes it simple to generate US GAAP, ILPA and Invest Europe-compliant reporting including statements of net assets, operations, cash flows, changes in

partners’ capital, and the schedule of portfolio investments.

The reason Dynamo Accounting can develop and iterate technology uniquely suited to its client base is because of its people.

Where competitors use software specialists to implement their platform, the Dynamo accounting team is made up of CPAs and financial professionals who have worked in private equity and venture capital.

How does client feedback influence the improvements and direction of enhancements?

The original product was built by the former chief financial officer at a venture capital firm. Today, in its 5th generation, each new release has added 40-80 new enhancements to the platform, mostly sparked by client input.

When clients make requests or comments, the Accounting team turns them into development requests. This, in addition to the team’s active engagement in the industry though conferences, thought leadership, and user meetings, brings end-user participation to life in every iteration of the software.

How has the team taken Dynamo Accounting to this award-winning level?

Dynamo Accounting is focused on white-glove service, and this is translated in several different ways.

Going forward, what changes do you most expect to make?

As Dynamo continually maintains a focus on how to improve its product, changes are currently underway. The next product release will contain enhancements such as quicker GL booking methods for routine transactions and improved reporting tools with live dashboards that more efficiently provide real-time data access and insights.

ACCLAIM | WEALTHBRIEFING RECOGNISES LEADERS ACROSS THE GLOBAL WEALTH MANAGEMENT INDUSTRY

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Building Deep-Rooted Philanthropic Family Legacies Sunil Garga President and Chief Executive Officer Foundation Source

Winner • Business Infrastructure

What are the qualities that have distinguished you this year and why?

Please describe some of the main challenges you had to tackle and what have you learned from the past 12 months?

90% of affluent households are active in charitable giving – it is a key part of how they express their values, effect change in the world, and build their legacies. Yet, philanthropy has been virtually overlooked by the fintech community, even though it’s a core part of a balanced wealth management strategy. When philanthropic and financial plans are coordinated, it enables more thoughtful and strategic decisions benefiting both givers and recipients.

Above everything, we’ve learned about resilience. Although many parts of the nonprofit sector are experiencing a decline in fundraising due to the recent market downturn, the majority of our foundation clients (74%) did not alter their giving in response to the economic environment, and of those who made changes to their foundation’s activities, many expanded their generosity by increasing the size and number of grants. Furthermore, when looking ahead to 2023, most foundations say they will focus on their long-term strategy and continue to give at consistent levels, with some planning to increase their giving slightly.

Foundation Source is the nation’s largest provider of support services for private foundations, and we are one of the few firms with software and solutions for the philanthropic part of a high-net-worth portfolio that match the caliber and sophistication of the tools that are widely available to help with the investment management process. Ultimately, our philanthropy solutions empower advisors and family offices to support their clients in a comprehensive, integrated way.

Please explain how the team has taken your business to an award-winning level.

Foundation Source has a singular focus: to empower more effective and cost-efficient philanthropy. To deliver on this promise, we provide family foundations and their closest advisors with expertise, services and technology. Our purpose-built software is relied on by foundations of all sizes – from smaller foundations with less than a million dollars in assets to those with several billion dollars – and our clients benefit from a combination of turnkey resources, experience and infrastructure that have lowered the cost of foundation ownership and minimized the associated administrative burdens while making it faster and easier than ever to deploy charitable capital. But, most importantly, Foundation Source has made it easy for wealthy families to use every capability of their private foundations to bring their philanthropic visions to life.

These actions demonstrate that the generosity of donors persists even in the face of a challenging market environment. And it also reveals the discipline that underpins the charitable giving strategies of many foundations – rather than reacting to short-term dynamics, they are building long-term partnerships and deep-rooted philanthropic legacies.

Whom do you look to for inspiration?

Our clients inspire us every single day. Although they come from many different backgrounds and perspectives, they share a common belief that every charitable act has the power and possibility to make the world better.

They also view philanthropy as much more than making donations – it’s an effective way of sharing values and goals across generations and establishing a continued legacy. With the largest wealth transfer of our time on the horizon, we continue to see family leaders thoughtfully engaging younger family members and laying the groundwork for the next era of a foundation’s mission.

For many families, next-generation engagement is an amazing moment that sets the stage for the kinds of growth, connection and maturing that family foundations experience when rising members step into leadership roles – or help evolve new ones.

The digital privacy platform built to guard your business.

Social engineering is responsible for 98% of attacks on an organization making employee privacy a company problem.

Hush protects against social engineering, impersonation, phishing, and brand risk powered by the most comprehensive privacy AI.

Protect you and your business. Visit gohush.com

ACCLAIM | WEALTHBRIEFING RECOGNISES LEADERS ACROSS THE GLOBAL WEALTH MANAGEMENT INDUSTRY

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Hush: Digital Privacy Made Possible Mykolas Rambus CEO Hush

Winner • Regional Management Team/CEO

H

ush is a premium privacy service built to protect businesses and their employees against social engineering, impersonation, and phishing attacks.

Powered by the most comprehensive AI technology, our platform identifies and removes sensitive information that puts businesses at risk. Our service searches the entire digital universe (surface web, deep web, and all social media) uncovering far more information than what can be found with a Google search. Hush protects members by giving them the power to remove digital vulnerabilities before they become real-time threats.

What are the qualities that have distinguished you this year and why?

The challenges we have worked through this year have given me the opportunity to focus on growing my skills in relationship-building, adaptability and perseverance. I am humbled by the success we have achieved so far.

Please explain how the team has taken your business to an award-winning level.

opportunities for improved efficiency will help us stay resilient in the face of market shifts.

Please describe some of the main challenges you had to tackle and what you have learned from the past 12 months.

The privacy and cybersecurity landscape has shifted significantly over the last year and I expect that we will see many more changes in the near future. One of the main challenges we faced was understanding how our customers' businesses have been evolving during this shallow recession so that we could innovate and evolve our own offerings accordingly.

Going forward, what changes do you most expect to make at the business?

Going forward, I expect to make several changes in the business, including expansion into adjacent markets such as entertainment and government, and investing further in our AI leadership.

Whom do you look to for inspiration?

Our team has leveraged a combination of intelligent design, hard work, and cutting-edge innovations featuring patent-pending artificial intelligence technology to propel our business to an award-winning level. Social engineering tactics are used in more than 90 per cent of cybersecurity attacks, but there are not many tools or solutions that address them.

When searching for inspiration, I look to my parents for their perseverance and frugality. I look to a special forces officer I had the honor of learning from and working with who exemplified operational excellence. I also look to my MIT community of skilled business-builders and the global network of successful entrepreneurs from whom I can learn so much.

We live in turbulent times, how does your business plan to stay ahead?

How do you intend to use this award, and what do you hope it will do in aiding your fortunes?

Hush focuses on uses lean growth to navigate rapid growth. The cybersecurity ecosystem is ever-changing and having the ability to act quickly and adapt is critical to success. I believe that setting realistic goals and expectations while capitalizing on

This award helps us accelerate the privacy movement here in the US. Increasingly connected affluent individuals and families realize how backward their views on privacy have been and how it’s putting them, their loved ones, and their businesses at risk.

ACCLAIM | WEALTHBRIEFING RECOGNISES LEADERS ACROSS THE GLOBAL WEALTH MANAGEMENT INDUSTRY

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A Complete View Of Wealth From Masttro’s Wealth Platform We live in turbulent times – how is your business going to stay ahead?

At Masttro, we recognize that uncertainty is a fact of life, and that's why we are planning by keeping a global focus. We understand that wealth for ultra-high net worth families is complex, covering many asset types and located in many regions.

By continuing to focus on the global element, we can help our clients keep the big picture in mind and not get lost in regional intricacies.

Winner • Data Protection Solution • Regulatory Reporting • Innovative WealthTech Solution (Mexico) • Family Office Solution (Mexico) • Family Office Solution (Latin America)

M

asttro is a wealth tech platform that enables a 100 per cent view of wealth. The platform provides a single source of accurate, full-picture data to give wealth owners ultimate control, transparency, and peace of mind to make informed, data-driven financial decisions in real-time.

Masttro offers a total wealth overview covering all illiquid and liquid investments to liabilities and passion assets. It comes with a comprehensive suite of features including data aggregation, analysis, and reporting - all protected by best-in-class cybersecurity architecture and data security protocols.

Facts and figures: - Founded in 2010; - 100+ employees; and - Four offices, in Monterrey (MX), Mexico City (MX), New York City (USA) and Zurich (CH) What are the qualities that have distinguished you this year and why?

In a rapidly changing digital landscape, we understand that our clients need to be confident that their financial information is safe and secure. That's why we have heavily invested this year in raising our cybersecurity infrastructure and have implemented new rigorous data protection protocols to ensure that our clients' information is always protected.

"At Masttro, we recognize that uncertainty is a fact of life, and that's why we are planning by keeping a global focus. We understand that wealth for ultra-high net worth families is complex, covering many asset types and located in many regions."

To further enhance the user experience and reduce manual workload, we are also leveraging new developments in artificial intelligence and machine learning. By automating tasks around data entry and validation, we can help streamline client operations and reduce the risk of human error.

Whom do you look to for inspiration?

At Masttro, our internal team is a constant source of inspiration for us. Composed of private wealth experts from all corners of the wealth management space, our team members bring a wealth of knowledge and experience to the table. With backgrounds in private banking, family offices, and large institutions, they have a deep understanding of the complexities involved in managing the wealth of ultra-high net worth families, as well as the intricacies of delivering data in the right way.

We are also a team-first organization at Masttro. Everything we do is made possible by our truly global team, which spans across Monterrey, Mexico City, Zurich, and New York City.

How do you intend to use this award and what do you hope it will do in aiding your fortunes?

We are honored to have received awards this year from WealthBriefing, which is a testament to the hard work and dedication of our entire team at Masttro.

We intend to use these awards as a reminder of how far we've come in the past year, particularly with our advancements in cybersecurity and new features launched.

Know more. Risk less.

SURVEIL Holistic Conduct Surveillance for Wealth Management Multi-Dimensional Analytics Using Trades & Communications Monitor Advisor Disclosures and Recommendations Discover Previously Unknown Risk Comply with Global Regulations Increase Compliance Agility

niceactimize.com | compliance@niceactimize.com

ACCLAIM | WEALTHBRIEFING RECOGNISES LEADERS ACROSS THE GLOBAL WEALTH MANAGEMENT INDUSTRY

35

Fighting Potential Client Abuse With Robust Suitability Solution

A

s wealth management firms adapted to new customer demands and strengthened its adherence to regulations such as RegBI in the Americas, and Consumer Duty in the UK, NICE Actimize’s advancements in sales practices and suitability solutions continued to ease the transition during this challenging time.

NICE Actimize’s support of wealth advisors and asset managers, through the successful implementation of its holistic surveillance solutions offerings, has proven particularly strong in suitability. The company has demonstrated how it prioritized its investment in the wealth management and suitability sector by applying cloud, artificial intelligence, and advanced behaviorial analytics to solving advisors’ critical needs.

Lee Garf General Manager NICE Compliance Line of Business, NICE Actimize

Reflecting our continuing commitment to this category throughout the Americas and around the world, we are seeing widespread adoption of our innovative surveillance solutions, meeting regulatory obligations while managing client risk, encouraging lifelong customer relationships, and building a robust suitability compliance program.

With its advanced SURVEIL-X Suitability offerings for the Americas and the global marketplace, this year’s innovation focus was the continued expansion of its capabilities for monitoring Advisor’s conduct for cases of client abuse. Core to this initiative, NICE Actimize’s suitability solutions generate insights from transaction, communication data to better “know your employees”, proactively monitor for misconduct, ease regulatory pressure, and potentially drive new revenue streams for the financial institution.

Winner • Suitability

NICE Actimize SURVEIL-X Suitability for Wealth and Insurance is a comprehensive AI-powered surveillance and suitability solution that‘s part of NICE Actimize’s industry-leading SURVEIL-X Holistic Conduct Surveillance suite. A growing body of global regulations and recommendations are requiring financial services

organizations to monitor regulated employees more closely; review their investment recommendations, transactions and accounts for suitability and undue risks; and ensure that mandated disclosures are being properly communicated.

Achieving major growth throughout the Americas, NICE Actimize’s customer base represents a range of financial services institutions addressing suitability and sales practices challenges in several ways. One feature that NICE Actimize continues to lead is its ability to bring together transaction monitoring and communication monitoring into a single case manager.

The solution also leverages artificial intelligence to drive efficiency throughout the surveillance and investigation process.

Another primary trend that has emerged is focus on "behavioral insights.”

Behavioral insights provide regulated firms with important visibility into their employee’s behavior, and help firms be more proactive in detecting various forms of misconduct. This not only impacts regulatory compliance, but also addresses the relationships between advisors and their institutions as well as with their customer base.

"We continue to highlight the 'know your employee' aspect of suitability, which brings benefits across a financial services organization as the behavioral data becomes easier to access and analyze for both short term and long-term benefits to advisors and management."

Garf also noted: "We continue to highlight the 'know your employee' aspect of suitability, which brings benefits across a financial services organization as the behavioral data becomes easier to access and analyze for both short term and long-term benefits to advisors and management."

ACCLAIM | WEALTHBRIEFING RECOGNISES LEADERS ACROSS THE GLOBAL WEALTH MANAGEMENT INDUSTRY

Peserverance Proves Its Worth For Plumb Is there one word you can select to describe this past year?

A good word to describe this past year – and the Plumb Family Office Accounting & Bill Pay team – is perseverance. We are living through unprecedented times and have had to pivot to new ways of conducting our business, developing client relationships, and managing our internal team. Through it all, the Plumb team has proven themselves to be resilient and determined. For example, we made the decision to allow our team to stay completely remote, and in doing so opened the doors to finding and hiring superstar employees from not only across the country, but across the globe.

"A good word to describe this past year – and the Plumb Family Office Accounting & Bill Pay team – is perseverance."

It is thanks to the tenacity and resolve of our incredible team, as well as Plumb’s focus on providing our clients with white glove, high touch service, our emphasis on innovation, and prioritizing hiring and training the best and brightest in the bill pay world, that we have seen a tremendous amount of growth over the past few years. We have grown significantly in department size, client size, and revenue.

What are you most proud of accomplishing during the past 12 months?

This past year we embarked on the development of our proprietary bill pay app. We knew exactly what we wanted to create: an intuitive, useful tool to provide access to our clients and their trusted advisors anytime, anywhere.

Can you talk more about Plumb’s bill pay app?

The Plumb Bill Pay App makes approving bills, viewing bill payment status, and communicating with the Plumb team easier than ever. This app integrates with QuickBooks desktop and online and was designed with a focus on ease-of-use and

security. Having complete clarity into where our clients’ money is going allows them to make better financial decisions.

Plumb’s proprietary bill pay app provides both the access and the clarity our clients and their advisors need.

"Having complete clarity into where our clients’ money is going allows them to make better financial decisions."

This intuitive, efficient, and incredibly useful app is the logical - and necessary - evolution in our high-touch, high-tech white glove service.

What are you most looking forward to in the coming months?

The fact that we capped off 2022 with not one but two WealthTech Americas Awards - Bill Pay and Payment Reconciliation Services - is a testament to the hard work, dedication, and patience of everyone working at Plumb.

Anneke Stender Executive Vice President Plumb

Plumb Family Office Accounting & Bill Pay is a high-touch, hi-tech family office accounting and bill pay service provider whose solutions are custom designed to meet the needs of high-net-worth and ultra-high-net-worth clients and family offices.

"With decades of experience in the distinctive and niche Family Office and high-networth market, Plumb delivers financial peace of mind."

With decades of experience in the distinctive and niche Family Office and high-net-worth market, Plumb delivers financial peace of mind by assisting high-net-worth individuals and family offices know where their money is going, so their trusted advisors can effectively manage it. We work in partnership with their team - including wealth, CPA, and other advisors - to provide the highest quality of data and financial reporting to establish a holistic view of their assets and financial holdings.

Winner • Bill Pay • Payment Reconciliation Services

37

Power more possibilities.

Practifi transforms data into insights, action and excellence at scale—helping wealth management firms reinvent possibilities in ways that traditional CRMs cannot.

Learn more at practifi.com.

ACCLAIM | WEALTHBRIEFING RECOGNISES LEADERS ACROSS THE GLOBAL WEALTH MANAGEMENT INDUSTRY

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A Constant Innovation Process To Stay In Front We live in turbulent times – how is your business going to stay ahead?

Yes, it's been a year of volatile markets!

And hence a turbulent time for the wealth management industry. Whilst our clients never lose sight of their strategic objectives, they’ve needed to address the uncertainty of the current climate with serious intent. As a wealthtech business, it’s easy to look at that situation, hunker down and just maintain the status quo but our clients, more than ever, need creative ideas to deal with tough market conditions.

Glenn Elliott CEO, Co-Founder Practifi

We’ll continue to stay ahead through our innovative solutions with new features and enhancements that deliver greater value for the wealth management industry.

As a strategic technology partner to wealth management firms, it’s our responsibility to provide the innovative foundation and support necessary for clients to have absolute confidence in every decision they make.

What are the qualities that have distinguished you this year and why?

It’s our job to deliver the innovation our clients need for long-term strategic growth, while at the same time meeting the ever-changing near-term needs of dealing with volatile market conditions.

I'm incredibly fortunate to lead a team who can spin all those plates simultaneously!

Winner • Innovator of the year

Our team is constantly innovating, from the very front-of-house client experience to our operations, people management and engineering. In a challenging year, it’s the commitment to being nimble and innovative that has been instrumental in evolving Practifi and delivering greater value to our clients.

Whom do you look to for inspiration?

Unsurprisingly in the tough conditions we’ve experienced, as a CEO, you need an occasional dose of inspiration!

I always find it starts with our team, and the examples are everywhere. I look at a new learning module we’ve delivered in our interactive knowledge base; the next automation we’ve delivered in our product deployment framework; or some warm feedback from a major client onboarding.

"I’m not interested in famous quotes or high-level platitudes from famous figures.

There's so much inspiration to be found around me every day when I see how team members pull together to tackle complex issues, develop innovative solutions, and help one another."

I’m not interested in famous quotes or high-level platitudes from famous figures.

There's so much inspiration to be found around me every day when I see how team members pull together to tackle complex issues, develop innovative solutions, and help one another.

How do you intend to use this award and what do you hope it will do in aiding your fortunes?

It's an honor to receive the Innovator of the Year award. I'd like for it to emphasize Practifi’s commitment to being the wealth management industry's most creative and innovative technology partner.

"I’d also like to thank our clients who are our greatest source of inspiration."

I’d also like to thank our clients who are our greatest source of inspiration because so many of the best ideas we roll out in our product advancements come from them and that feedback loop is critical to our success. It’s the foundation of a product roadmap dedicated to innovation and constantly increasing the value we provide for our clients.

AWARD-WINNING

PORTFOLIO MANAGEMENT & REPORTING SOFTWARE PURPOSE BUILT FOR UHNWIs & SOPHISTICATED FAMILY OFFICES Trusted by 900+ UHNWIs and family offices across 5 continents

LEARN MORE

privatewealthsystems.com | +1 (980) 500-3000

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Becoming A Gold Standard For Client Reporting What are the qualities that have distinguished you this year and why?

Craig Pearson CFA CEO Private Wealth Systems

From day one, Private Wealth Systems has focused on becoming the gold standard in client reporting, bringing speed, power, and control to the most sophisticated investors in the world. From delivering a level of data accuracy that has been proven to be unmatched to our award-winning data model that fulfills the promise of unlimited flexibility, personalization, and ease of use that binds the investor-advisor experience. Our drive toward excellence has been carried forward year over year to govern our product development decisions and priorities. It has helped us demonstrate value to the largest and most successful family offices in the world and has made that vision of being the best a reality.

Please explain how the team has taken your business to an award-winning level.

This year has been a turning point for us in innovation, introducing a completely new mobile user experience that delivers seamless, intuitive views and analysis of investment positions, transactions, strategies, risks, performance, and areas of focus.

We worked tirelessly with clients to capture their needs and deliver meaningful analysis with the ease-of-use being the top priority.

Our new digital portal delivers the latest UI/UX experience so even the least technology savvy can take control over complex multi-asset, multi-entity investment portfolios with personalized dashboards, reports, and analysis. This effort has been validated by winning this award – a welcome result by our team our global clients.

We live in turbulent times – how is your business going to stay ahead?

Winner • Client/Consolidated Reporting

Our founding principal remains to continuously lead our industry forward. We look to other pioneers and innovators for constant inspiration, such as Henry Ford who famously said, “if I asked people what they wanted they would have said faster horses.”

Meeting client needs is essential, but we must always look to solving problems that people don’t believe are solvable – such as the 90-day valuation gap in private investments where we are the only platform that

has solved one of the industry’s greatest challenge: delivering real time analysis on private investments. Our research and development team is constantly testing and experimenting with cutting edge technologies that can deliver speed, power, and control to our clients when they want, in the way they want. This singular focus is a simple but effective formula that has allowed us to maintain our leadership position for one of the most important and powerful segments in global finance.

Please describe some of the main challenges you had to tackle and what you have learned from the past 12 months?

The greatest challenge remains bringing awareness of the industry’s pitfalls to UHNWIs, who have the greatest amount to lose when selecting the wrong software platform. The family office market is growing rapidly right now. Consequently, many tech startups and legacy platforms are chasing this new market segment. With advancements in technology the barriers to entry are near-zero. To offer consolidated, total wealth reporting to family offices is very easy. But to offer consolidated reporting that is accurate and scalable is incredibly hard and takes literally decades of domain expertise, of learning what works and what doesn’t work, of supporting many of the world’s largest and most complex global family offices, to truly solve the data challenges wealth owners and advisors need solved. Our considerable expertise working with thousands of family offices across five continents over two decades is the real differentiator.

Going forward, what changes do you most expect to make at the business?

We continue to focus on being the digital infrastructure that will power the future of private wealth. Each year, we are reaching a larger audience of sophisticated investors who have exacting needs for the highest levels of accuracy, flexibility, and data security. We expect to change how private wealth is managed, empowering consumers to become producers, and eliminate inefficiencies that will benefit global markets.

This is no small feat and requires constant attention – core to our ethos.

Goodbye, data wrangling.

Hello, value.

Meet Wealth Compass, a tailored service that combines 170 years of experience with leading tech, data management and analysis to make your life easier and your portfolio work harder.

Game changed. pwc.com/us/wealthcompass

© 2023 PwC. All rights reserved. PwC refers to the US member firm, and may sometimes refer to the PwC network. Each member firm is a separate legal entity. Please see www.pwc.com/structure for further details. This content is for general information purposes only, and should not be used as a substitute for consultation with professional advisors.

ACCLAIM | WEALTHBRIEFING RECOGNISES LEADERS ACROSS THE GLOBAL WEALTH MANAGEMENT INDUSTRY

Long Experience As Trusted Advisors Combines With Great Technology What are the qualities that have distinguished you this year and why?

What distinguishes PwC is the dedication and consistency of building authentic relationships with our clients which has allowed us to become the trusted advisors that family offices and high-net-worth individuals are looking for. We take the time to really listen to our clients and ask probing questions which enables us to address their needs and provide trusted insights across a variety of complex issues – whether it’s forming or optimizing a family office, estate planning, cross-border planning or governance. One example of this is Wealth Compass, a managed service we developed to address a specific need for our high-net-worth individuals and family office clients. We combined 170 years of experience as trusted advisors with leading technology to help clients cut through the complexity that comes with diverse portfolios, so they can gain more control and visibility, thereby being able to manage their personal wealth more effectively. There is no other managed service like it on the market today, and we’re proud to offer this as just one of our many solutions for family offices and high-net-worth individuals.

Please explain how the team has taken your business to an award-winning level.

Our human-led, tech-enabled approach has really helped drive PwC to an award-winning level. Our deep bench of talented professionals across tax, accounting and consulting specialties help families and family offices leverage powerful technology and leading practices to manage the whole family enterprise. PwC’s multidisciplinary team and tailored service models allow us to understand the complex and varied needs of family offices and design service offerings accordingly; in some cases serving as an outsourced family office for clients.

In addition to being super users of various technology platforms, we apply our automation tools and build customized solutions, so we can help families get the most out of their investments and realize value faster. The range of solutions we

provide both in the US and globally can address almost any issue high-net-worth individuals and family offices can face, so our clients experience the benefit of a seamless, multidisciplinary team approach which enables them to have peace of mind that they may not have with multiple advisors or vendors. Our community of solvers comes together in unexpected ways to connect families to growth and secure their legacy.

Whom do you look to for inspiration?

Our clients consistently inspire us to do more and help them tackle the tough issues that may arise as they are trying to bring their visions to life. PwC has the privilege of working with thousands of families who are often focused on helping to solve the world’s biggest problems like environmental issues, income inequality, and diversity and inclusion. When you have a higher purpose, it helps you stay motivated and inspired when you are working so hard on the tough issues.

Danielle Valkner Private, Family Office Leader, Partner PwC US

How do you intend to use this award and what do you hope it will do in aiding your fortunes?

We hope this award will allow PwC to continue working more and more with family enterprises, family offices and other high-net-worth individuals in this ecosystem. These families are increasingly seen as a positive force for the future given their sense of purpose and the sheer volume of long-term capital they have to invest.

Ultra-high net worth families tend to invest in private businesses, which have become the most trusted institutions in the US. With younger leaders’ social consciousness, the amount of good that can come out of their investments in ESG aware businesses, impact and philanthropy has the potential to be a game changer for our planet and people. At PwC, we truly value the relationships we have with our clients, and hope this recognition helps to show our commitment and dedication to serving as their trusted advisors.

Winner • Consultancy • Leading Individual

43

Designed with You in Mind

The cloud-native Black Diamond® Wealth Platform is leveraged by firms of all sizes to streamline operations, deliver business insights, and connect with both prospects and clients to build long-lasting relationships.

Learn more. blackdiamond.advent.com | info@advent.com

WINNER | WEALTHTECH AMERICAS — Data Management and Analysis

©2023 SS&C Technologies Holdings, Inc. The Black Diamond Wealth Platform is a product of SS&C Advent.

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Black Diamond Empowers Advisors With Complete Enterprise Solution Steve Leivent Senior Vice President and Co-General Manager SS&C Advent

Winner • Data Management and Analysis

S

S&C’s Black Diamond® Wealth Platform is an offering of SS&C Advent, a business unit of SS&C Technologies. Wealth managers, RIAs, broker-dealers, and family offices leverage Black Diamond to streamline operations, gain business insights, and deliver a differentiated client experience.

What are the qualities that have distinguished you this year and why?

Over this past year, the Black Diamond team has focused a lot of energy on building alliances, both within and outside the SS&C family, that enable us to deliver a complete enterprise solution for our clients.

Over and above the platform’s core portfolio management, rebalancing, and reporting functionality, our network of integrations gives our clients seamless access to comprehensive capabilities – solutions for financial planning, CRM, risk and compliance monitoring, trust accounting, an insurance marketplace, portfolio modeling, and proposal generation, to name a few. Virtually anything they need to run a modern advisory business. A firm can choose the right solutions, build a technology stack that suits its objectives, and run its entire operation through Black Diamond.

We are proud to work with over 2,000 firms that collectively manage more than $2.1 trillion in assets.

Please explain how the team has taken your business to an award-winning level.

Quite simply, by listening to our clients and prospects and coming back to them with solutions that meet their identified needs. A prime case in point: the idea for Black Diamond’s Data Mining feature came from advisors through our Great Ideas portal.

We live in turbulent times – how is your business going to stay ahead?

We’ve always stayed close to our clients, and that’s more important than ever in a changing market. We have an amazing client service team that is very well attuned to the issues that keep our clients awake at night, and they are proactive in ensuring clients have the support they need. When everything else is a little shaky, the strength and stability of those relationships is paramount. It may sound corny, but we are in this with our clients, and I think they feel the same. We look at these relationships as partnerships.

How do you intend to use this award and what do you hope it will do in aiding your fortunes?

I alluded to this earlier – this award validates our product development strategy, which we create based on various factors, including our client's needs and wishes. So, if we ever have doubts, we have this industry recognition to remind us how and why we have succeeded.

"We view awards as a happy byproduct of doing right by our clients. In addition, we continue to welcome, encourage, and even thrive on their ideas and feedback."

Of course, we also hope our clients appreciate all the functionality built into the platform and that they can take full advantage of everything it has to offer. We view awards as a happy byproduct of doing right by our clients. In addition, we continue to welcome, encourage, and even thrive on their ideas and feedback.

ACCLAIM | WEALTHBRIEFING RECOGNISES LEADERS ACROSS THE GLOBAL WEALTH MANAGEMENT INDUSTRY

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A Partnership Approach Delivers During Tough Times The Collaborative for Investment Education

Winner • Training Solution

What are the qualities that have distinguished you this year and why?

next several months, to find an investor or larger partner firm to work with us.

2022 was a very challenging year for our clients – family offices, financial advisors, asset management firms and so on. The market proved unpredictable and was up and down throughout the year.

Please describe some of the main challenges you had to tackle and what have you learned from the past 12 months?

Our clients were managing their clients’ expectations and concerned about short- and long-term impact. We were able to refine our training approach to offer best-in-class learning opportunities but do it in a way that recognized and addressed our clients’ concerns.

We created smaller, on-demand modules in many programs, aided training by providing a “sales management” overlay to our content and provided hands-on resources to help our clients stay accountable no matter what was happening in the marketplace.

Please explain how the team has taken your business to an award-winning level.

Our team are collaborators, partners, and even adjunct staff members to our clients. We get to know the client’s business as if we were on their regular payroll. We anticipate obstacles and challenges and make recommendations to address client concerns.

The biggest challenge we have faced is being able to focus on the new business development side of our business while continuing to give our clients the highest quality training they have become accustomed to from us.

We believe our clients deserve our full and undivided attention and we put our energy into making sure their needs are met and we are over-delivering.

Going forward, what changes do you most expect to make at the business?

We would like to expand the online offerings and include a deeper dive on some of our self-paced learnings. Now we have most of our proprietary work available on The Advisors Sales Academy, however, there are places we could provide even more guidance for self-paced implementation.

Whom do you look to for inspiration?

We want to be honest, forthright, and authentic with our clients.

Clients seem to recognize how genuine we are and trust us with their most confidential considerations.

We are inspired every single day by our clients. Every member of our team is sincerely joyful when we get a compliment, an insight, a note of gratitude or even just a hearty “THANK YOU!” from a client.

We live in turbulent times – how is your business going to stay ahead?

How do you intend to use this award and what do you hope it will do in aiding your fortunes?

Clients who have worked with other training and consulting firms tell us our work is unlike anything they have experienced. We recognize the challenges our clients are facing. We hope, over the

We don’t think about what we do in terms of “aiding fortunes”. We hope, through this award, more firms will understand what we do and why we are so different.

Modern Estate Planning for Wealth Advisors

Visualize Better Estate Planning Vanilla transforms legacy estate planning into a modern, easy-to-use experience that turns complex documents into ongoing conversations.

With a complete picture of your client’s total estate and deeper understanding of your ultimate goals, advisors can: • Deliver differentiated advice • Expand your client relationships • Increase your ongoing value

Scale Estate Planning with the Vanilla Estate Advisory Platform

Visit justvanilla.com to learn more.

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49

Shaping The “Next Frontier” In Wealth Management Steve Lockshin Founder Vanilla®

Winner • Newcomer/Start-Up

Steve, congrats on winning the WealthTech Awards. Can you tell us a little about Vanilla?

Estate planning is the next frontier of wealth management.

Over the next quarter of a century, more than $84 trillion will be transferred to the next generation, placing advisors in a prime position to help their clients. However, the lack of estate planning technology and the maze of obsolete processes and tools leave advisors and their clients at a loss on how to navigate estate planning effectively. At Vanilla, we’re not just rebuilding estate planning - we’re redefining it.

complex and manual, making it difficult for advisors to explain to their clients. Instead of quarterbacking the planning process, advisors typically refer their clients to estate attorneys who create their version of often complicated and sometimes ineffective legal documents.

"Before Vanilla, nothing existed for estate planning that captured everything in one place, either in software or on paper."

Taking a step back, why did you start this company?

Before Vanilla, nothing existed for estate planning that captured everything in one place, either in software or on paper. Most diagrams depicting the estate are done in Visio or PowerPoint, and they’re unattractive and stale as soon as there is any change.

Lawyers dislike preparing them, and most advisors don't understand them.

I started Vanilla to solve a problem I was having as an advisor. We were realizing incredible value for clients through estate planning, but there was no good way to illustrate the impact – or explain the complexity of it to clients. We needed a way to help clients visualize the benefits of estate planning. And we also needed a way to do it more efficiently, at scale.

With Vanilla, advisors can help clients take the 30,000-foot view of all their assets. They can use estate planning as an ongoing touchpoint. Vanilla automatically diagrams the organization, the family, and the entire estate plan. It shows the asset waterfall, the beneficiaries, and the fiduciaries, and calculates the estimated estate taxes that are due.

At the time, we created elaborate PowerPoint presentations and Excel docs to explain our estate planning strategies to clients. I thought, “what if we could automate this so it could really scale?

What if we could go beyond basic presentation graphics so clients could easily understand the complexity and value of their plans?”

How are customers using the platform today?

"At Vanilla, we’re not just rebuilding estate planning - we’re redefining it."

Advisors are using Vanilla to win new clients and deepen relationships with existing clients.

We’ve taken in some investment, built out a world-class board, and brought in Gene Farrell to run the company as CEO.

A lot of the stories we are hearing from advisors are about how they are using the platform to organize and visualize their client's personal and financial information and documents.

What challenges is Vanilla looking to solve?

What’s next for Vanilla?

Despite the importance of having a comprehensive estate plan, planning for one’s estate has historically been unnecessarily

We’re just getting started. Over the next year, we will continue adding functionality to the platform.

REVOLUTIONISING CLIENT LIFECYCLE MANAGEMENT Wealth Dynamix enables every wealth management firm to be truly client-centric by digitising the entire client lifecycle, from acquisition and onboarding through to ongoing relationship management and servicing

80% improvement in productivity*

One platform does it all Any type of client, anywhere in the world Digital-first, omnichannel delivery platform 360-degree client view Pre-defined & automated workflows Embedded compliance supports regulatory adherence Intelligent, actionable insights via role-based dashboards A single source of truth for your client data

*Studies undertaken by Wealth Dynamix show that firms can benefit from an 80% reduction in time taken to onboard & manage client service requests

Registered Office: Wealth Dynamix Limited, 141-145 Curtain Road Shoreditch, London. EC2A 3AR. Company Reg. No. 07895806

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A Global Provider of end-to-end Client Lifecycle Management Solutions François de Lescure Chief Revenue Officer Wealth Dynamix

Winner • Client Lifecycle Management

What are the qualities that have distinguished you this year and why?

We remain the only truly end-to-end global provider of client lifecycle management solutions committed to serving the needs of the wealth management and private banking market.

We take great pride in knowing that no other vendor can offer one unified platform spanning the entire journey from engaging to onboarding and managing the day-to-day activities of clients, and therefore able to orchestrate journeys throughout the client lifecycle.

Our sole focus on wealth management and private banking makes us the top choice for firms wanting to achieve process efficiencies, enrich client service and ensure compliance.

Most recently, the launch of our client portal streamlines the client onboarding process and provides tools to support and optimize the ongoing management of clients to provide a truly client-centric experience. The client portal completes the digital first, frictionless, personalized real-time experience for clients via any device - whilst delivering valuable cost savings and time efficiencies for wealth managers.

Please explain how the team has taken your business to an award-winning level.

We believe that there are several key factors that make Wealth Dynamix the top choice for firms wanting to achieve process efficiencies, enrich client service and ensure compliance.

First and foremost, we believe that no other company can match the combined breadth and depth of client lifecycle management and wealth experience offered by Wealth Dynamix; a combination

that allows us to meet the continually evolving requirements of our firms and their clients globally. We are committed to the wealth management & private banking sector and leverage our deep domain expertise to develop technology that adds value, grows revenue, and delights clients.

We understand the regional differences relevant to wealth management, and we tailor our solution to address our clients’ challenges and enable every wealth manager to be truly client-centric and provide moments that surprise and delight and build a loyal client base.

We live in turbulent times – how is your business going to stay ahead?

In challenging markets such as these, we believe it’s essential that WM & PB firms to reassess their operating model and where possible reinvigorate cost: income ratios. But it’s not enough to just deliver efficiency – we can all cut costs. Firms need to take this efficiency and turn it into opportunity to fuel profitable growth.

Wealth Dynamix can help with the challenges of cost transformation and driving profitability at scale to enable firms to face the future with increased confidence.

Going forward, what changes do you most expect to make at the business?

Recently, we announced that the Credit Agricole Indosuez Wealth Management acquired a majority stake in the business. This partnership is structured to allow Wealth Dynamix to continue to operate autonomously, retaining our agility and entrepreneurial spirit whilst simultaneously leveraging the strength an organization like Credit Agricole Indosuez group provides.

A Better Way To Manage

Family Offices

The only CRM built specifically for ultra-high net worth family and asset administration.

• Multi-family, multigenerational • Trust details and related parties

• Distribution and payment tracking, approval and review • Deal flow tracking

• Tax prep management

• Integrated financial information

• Integrated document management

• Entity hierarchies

• eSignature

• Family trees

• Family and professional portal • Special asset management (Real estate, planes, are, other real property, PE and hedge funds, private placements, loans, insurance)

Built on Salesforce

Considering Salesforce for your family office?

Get it done for a fraction of the cost and time to implement with WealthHub.

WealthHubSolutions.com

© 2023 WealthHub Solutions, LLC

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Rising Acceptance Of WealthHub’s Services What are the qualities that have distinguished you this year and why?

We live in turbulent times – how is your business going to stay ahead?

This year was marked by growing acceptance of WealthHub as the technology solution of choice for the administration of ultra-high net worth client relationships and their assets.

We see the convenience and time saved from remote work but also recognize the learning and cultural benefits when everyone is in the office.

WealthHub’s CRM delivers digital organization and automated workflows tailored for the specific needs of UHNW advisors. Built on top of Salesforce, WealthHub provides out-of-the-box workflows and processes that are specific to UHNW administration that can also be easily configured to the unique needs of each client.

Family offices and trust companies recognize the benefits of a CRM with functionality that addresses their unique business processes and information needs, helping WealthHub to nearly double in size to over 50 clients.

Please explain how the team has taken your business to an award-winning level.

Our subscribers would say that it is because we deliver exceptional customer service. We don’t just deliver the software and leave it to our customers to figure out how to implement or enhance it. We stay on as system administrators, eliminating the need for expensive consultants or admins. Our Customer Success Team takes great pride in making sure that every customer is a referenceable customer.

They work co-operatively with subscribers to continuously configure and optimize our solution for each customer’s specific needs and processes, honing existing processes and working to create new processes, if needed. We see the benefits from this attention to customer satisfaction, as many of our new family office clients come through referrals from existing customers.

We are trying to help our subscribers do the same, as we deliver a browser-based solution that readily allows their employees to work anywhere or from any device.

We are going to continue to stay ahead of this curve as we deliver an increasingly strong ability to onboard complex UHNW relationships and trusts using completely digital processes, that eliminate the circulation and re-circulation of documents via email for easy-entry forms that don’t have to have information re-entered with naturally incorporated e-signatures.

Going forward, what changes do you most expect to make at the business?

Jim Marks President & CEO WealthHub Solutions

For WealthHub, it is all about what we can do to make repeated processes easier and more efficient for our family office and trust company clients.

In many cases, this boils down to creating the integrations with other systems that eliminate double entry and the need to switch from one system to another.

We already have many integrations in place with trust accounting systems, portfolio management systems, KYC/AML compliance systems, document management, and marketing apps. We continue to push to add new connected alternatives for our subscribers.

We will also be continuing to expand the functionality and capabilities of our client portal, so that onboarding, distribution requests, and client communications and access to documents becomes even easier to access.

Winner • CRM Provider

53

PUBLICATIONS

WealthBriefing is the leading subscription-based business intelligence service for the wealth management community, with the latest news, analysis and in-depth features from around the globe. WealthBriefing subscribers are part of an international community for whom staying abreast of the latest industry developments is a crucial part of their professional practice.

Readers find our content on topics such as strategy, M&A, important people moves, investment management and asset allocation to be an essential resource in a fast-moving world.

The Asia-Pacific region’s meteoric rise as a major wealth management market has sparked huge demand for region-specific business information. WealthBriefingAsia was launched in 2009 to satisfy this growing information requirement, and it is the only wealth management news site focusing exclusively on the Asia-Pacific region. Providing indispensable news, features and industry views that are always relevant and concise, WealthBriefingAsia allows subscribers to conserve that most precious of all resources: time.

The North American wealth management market is one of the largest and most diverse in the world, and is markedly different from those in Europe and the Asia-Pacific region. Multi and single family offices in particular are a well-entrenched,integral part of the private wealth management landscape. Family Wealth Report provides need to know business intelligence in a convenient and easy-to-read format – straight to subscribers’ inboxes every day.

Nowhere else will you find such high quality, in-depth and often exclusive content all in one place.

WEALTH MANAGEMENT AND PRIVATE CLIENT EVENTS AND AWARDS SERIES A unique thought-leadership platform, WealthBriefing’s events foster intellectual debate on the challenges and opportunities facing the industry and are designed to be an optimal use of wealth managers’ precious time and present an excellent networking opportunity.

WealthBriefing has added to its offering for the global private banking and wealth management communities by running thirteen annual awards programmes for the family office, private banking, wealth management and private client communities.

The awards programmes are focused around three main category groupings: experts (individuals and teams); products and services for wealth managers and clients, and institutions of all sizes and types

BESPOKE RESEARCH SERVICES WealthBriefing has unrivalled access to the most senior wealth management professionals across the globe, meaning that our research reports represent guides to future best practice as much as being barometers of current industry trends.

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The Second Annual WealthBriefing WealthTech Americas Awards Winners 2023 GENERAL WEALTHTECH CATEGORIES (US) Artificial Intelligence WINNER (AI) Application

Client Accounting

Data Management and Storage

Data Management and Analysis

WINNER

WINNER

WINNER

Bill Pay

Client/Consolidated Reporting

Client Marketing and Prospecting

Data Protection Solution

WINNER

WINNER

WINNER

WINNER

Business Infrastructure

Client Lifecycle Management

CRM Provider

WINNER

WINNER

WINNER

Data, Information or WINNER Business Intelligence Provider

Turn compliance into a strategic advantage.

Today’s market volatility and regulatory headwinds re-enforce the importance of compliance as a core pillar for growth.

InvestorCOM.com

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GENERAL WEALTHTECH CATEGORIES (US) continued...

Data Provider

WINNER

Onboarding Product

WINNER

Innovative Solution

WINNER

Digital Offering or Tools

Front Office

WINNER

WINNER

Investment Platform WINNER or Tools

WINNER Outsourcing and Business Process Management

Overall US WealthTech Provider

Portfolio and Wealth WINNER Management

Risk Monitoring and Management

WINNER

WINNER

Family Office Solution

WINNER

Fund Administration WINNER

Newcomer/Start-up

WINNER

WINNER Payment Reconciliation Services

Robo Product or Platform

WINNER

GLOBAL AWARDS Showcasing The Best in the Industry

Independence, integrity and genuine insight are the watchwords of the judging process.

2023

Announcements Schedule FEBRUARY 2023

WealthBriefing Swiss Awards WealthBriefing WealthTech Americas Awards

WealthTechAmericas

AWARDS 2023 brought to you by

MARCH 2023

WealthBriefing Swiss EAM Awards WealthBriefing European Awards

MAY 2023

Family Wealth Report Awards

JUNE 2023

WealthBriefingAsia Greater China Awards WealthBriefingAsia Awards

JULY 2023

WealthBriefing Wealth For Good Awards

OCTOBER 2023

WealthBriefingAsia EAM Awards

NOVEMBER 2023

WealthBriefing MENA Awards

DECEMBER 2023

WealthBriefing Channel Islands Awards

For more information: + 44 (0) 20 7148 0188 (UK Office) www.wealthbriefing.com / www.wealthbriefingasia.com / www.fwreport.com

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59

GENERAL WEALTHTECH CATEGORIES (US) continued...

WINNER Software Management Company

Suitability

WINNER

WEALTHTECH CONSULTANCY & TRAINING CATEGORIES (US) Consultancy

WINNER

Thought Leadership

WINNER

Implementation/ Partner

Training Solution

WINNER

WINNER

WILLIAM J. ROBERTS

REGTECH & COMPLIANCE CATEGORIES (US) WINNER Innovative Compliance/RegTech Product

Regulatory Reporting WINNER

Outsourcing/ Partnership

WINNER

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ACCLAIM | WEALTHBRIEFING RECOGNISES LEADERS ACROSS THE GLOBAL WEALTH MANAGEMENT INDUSTRY

61

INDIVIDUAL & LEADERSHIP WEALTHTECH CATEGORIES (US) Chief Technology Officer (CTO)

WINNER

WINNER

Diversity

ARLENE PONS

Leading Individual

Innovator Of The Year WINNER GLENN ELLIOT

WINNER

DANIELLE VALKNER

WINNER

Lifetime Achievement ERIC CLARKE

WINNER

Women in WealthTech HELEN YANG

Technologies

WINNER Regional Management Team/CEO

MYKOLAS RAMBUS

Thought Leadership (Non Consultancy)

WINNER

HELEN YANG

Technologies

INDIVIDUAL & LEADERSHIP CATEGORY (CANADA) Leading Individual (Canada)

WINNER

JOHN BROMLEY

WealthTech Employer

WINNER

62

ACCLAIM | MARCH 2023

GENERAL WEALTHTECH CATEGORIES (LATIN AMERICA) Family Office Solution WINNER (Latin America)

WINNER Innovative Client Solution (Latin America)

WINNER Overall WealthTech Provider (Latin America)

GENERAL WEALTHTECH CATEGORIES (MEXICO) Overall WealthTech Provider (Mexico)

WINNER

Innovative WealthTech WINNER Solution (Mexico)

GENERAL WEALTHTECH CATEGORIES (CANADA) Family Office Solution WINNER (Canada)

Innovative Client Solution (Canada)

WINNER

Fund Administration WINNER (Canada)

Overall WealthTech Provider (Canada)

WINNER

Family Office Solution WINNER (Mexico)

NEWS

AWARDS

EVENTS

RESEARCH

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