WealthBriefing WealthTech Americas Awards 2025

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

The Fourth Annual WealthBriefing WealthTech Americas Awards 2025

March 2025

RECENT RESEARCH OUTPUT Technology & Operations Trends in Wealth Management 2024 (in partnership with Alpha FMC)

This 12th edition of WealthBriefing’s Technology & Operations Trends in Wealth Management report, created with Alpha FMC, provides a global overview of how digital transformation is reshaping the wealth management sector. Firms across various regions are leveraging technology to enhance operational efficiency and client experience, while navigating evolving client expectations, regulatory changes, and a complex economic environment.

Philanthropy Evolved: How High-NetWorth Individuals are Redefining Giving, Ethics and Impact (in partnership with Jersey Finance)

Philanthropy is undergoing a profound transformation as high-net-worth (HNW) individuals redefine traditional notions of giving, ethics, and impact. This report delves into these shifts, offering a comprehensive analysis of emerging trends, generational influences, and the evolving dynamics between wealth, altruism, and social responsibility.

The Bahamas: A Complete and Compelling Choice (in partnership with The Bahamas Financial Services Board)

The Bahamas stands out as a premier destination for business, blending political stability,

innovative financial structures, and an exceptional lifestyle. This report offers an in-depth exploration of its unique advantages as a financial hub, from wealth planning tools to cutting-edge FinTech initiatives, alongside its unparalleled appeal for high-net-worth individuals and global investors.

External Asset Managers in Asia - New Directions for Rapidly-Expanding Sector (in partnership with UBS)

Our second 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 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.

Winning Women in MENA (in partnership with First Abu Dhabi Bank)

This ground breaking new research examines the growth of female entrepreneurship in the region.

More specifically it looks at how women are driving family office strategy as well as the relationship between MENA’s UHNW female clients and the wealth management industry.

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 Traps Wealth Managers Must Avoid (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.

2024 The Bahamas: A Complete And Compelling Choice A WealthBriefing Report On The Bahamas Financial Services Industry

EXTERNAL ASSET MANAGERS IN ASIA NEW DIRECTIONS FOR A RAPIDLY-EXPANDING SECTOR

2022

2023

FAMILY OFFICE FOCUS:

An Update on the Industry’s Efficiency in Accounting and Investment Analysis 4th ANNUAL EDITION

TECHNOLOGY TRAPS WEALTH MANAGERS MUST AVOID Expert guidance on strategy, selecting solutions and implementation

Winning Women In MENA How Wealth Managers Can Help Further Female Empowerment

APPLYING ARTIFICIAL INTELLIGENCE IN WEALTH MANAGEMENT: COMPELLING USE CASES ACROSS THE CLIENT LIFE CYCLE

Sponsored by

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ACCLAIM | WEALTHBRIEFING RECOGNISES LEADERS ACROSS THE GLOBAL WEALTH MANAGEMENT INDUSTRY

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

5

INTERVIEWS: Addepar ...........................................................................

7

AdvisorStream ................................................................

9

AgilLink ............................................................................ 11 BRITech ............................................................................ 13 Broadridge Financial Solutions ....................................... 15 Canoe Intelligence .......................................................... 17 Charles River Development ............................................ 19 d1g1t Inc. .......................................................................... 21 Docupace ......................................................................... 23 FactSet ............................................................................. 25

Foreword

Foundation Source .......................................................... 27

STEPHEN HARRIS CEO, WealthBriefing

Infograte, Inc. .................................................................. 31

HalcyonFT ........................................................................ 29 LeapXpert ........................................................................ 33 NICE Actimize .................................................................. 35

Recording and supporting excellence in American wealth technology has been the mission of this awards program for four years. It’s a task that we at WealthBriefing take extremely seriously and deliver with pride.

Plumb Bill Pay .................................................................. 37

This edition of Acclaim showcases this year’s winners which have shone through during a rigorous and independent judging process which forms part of a global program run by WealthBriefing and sister publications WealthBriefingAsia and Family Wealth Report. This platform enables the brightest and best across the private client and wealth management eco system to demonstrate pre-eminence in their field to clients, prospects, peers and colleagues.

SS&C Black Diamond® Wealth Platform ........................ 43

And in the technology space this is particularly relevant. We are living through an epoch-defining era when technology is so much more than reporting, accounting and back-office functionality – albeit that the efficiencies derived from the these are still totally relevant.

PwC .................................................................................. 39 Seismic ............................................................................. 41 TaxStatus ......................................................................... 45 The Collaborative ............................................................ 47 Univeris ............................................................................ 49 Vestmark ......................................................................... 51 WealthHub Solutions ...................................................... 53 WEALTHBRIEFING WEALTHTECH AMERICAS AWARDS WINNERS IN FULL .............................................. 55

Overview of the Wealth Technology Market in the Americas We strongly believe that the use of technology, whether it’s in efficiency gains, client experience or enhanced decision-making capabilities is, and will continue to be, the differentiator in wealth management. This will never disintermediate personal interaction of course – especially at the higher levels of wealth – but without it, success will be elusive at best to those with the continued foresight to benefit from their deployment.

Increasingly the client’s user experience is defined by technology – a process that has been in train for several years, but

which has been accelerated by increasing use of AI as a content creation tool, an interaction platform and, crucially in decision-making. The procurement process in an increasingly complex and opaque WealthTech landscape has never been more mired with ambiguity – awards specific to this area are one of the ways in which solutions can stand out.

We congratulate the winners for their success and thank the judges for their diligence and expertise and very much hope that readers will find much to help them navigate the American WealthTech.

The Power of Integrating Technology and Investment Operations

Investment Operations

Compliance

Managed Services

Investor Services

Reporting

Fund Administration

ACCLAIM | WEALTHBRIEFING RECOGNISES LEADERS ACROSS THE GLOBAL WEALTH MANAGEMENT INDUSTRY

The Judging Panel The WealthBriefing WealthTech Americas Awards 2025 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.

PATTI BOYLE Chief Marketing Officer Dstillery

VIKRAM CHUGH Chief Operating Officer Robertson Stephens

HOWARD GELLER Principal, Strategic Consultant Hudson Peak Group

GREG KING Senior Director and Head of Wealth Management FactSet

TANIA NEILD CTO and Owner InfoGrate

GREGORY F. ROLL Co-Founder Touchpoint

DANIELLE ROSEMAN Managing Director Lazard Family Office Services

WILLIAM TROUT Director of the Securities and Investments Datos Insights

DANIELLE VALKNER Private, Family Office Leader PwC

BILL WYMAN President, Family Office Services Summitas

HELEN YANG Founder and CEO Andes Wealth Technologies

5

Maximize time.

Accelerate growth.

Addepar is a global technology and data platform designed to empower smarter investment decisions and help you deliver more for the portfolios in your care. With Addepar, transform your approach to reporting, data and analysis — and get time back for what matters most.

Find out more by visiting addepar.com.

© 2025 Addepar

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Redefining Wealth Management: How Addepar Drives Innovation and Empowers Advisors Janeen France Senior Vice President, Head of GTM Strategy & Operations Addepar

Winner • Overall US WealthTech Provider

Please explain why you/your business was able to reach this award-winning level?

Addepar was built to solve the inefficiencies of legacy financial technology. In the wake of the 2009 financial crisis, we saw an opportunity to rethink how data powers investment decisions. By combining Silicon Valley innovation with deep financial expertise, we built a platform designed for flexibility, transparency, and long-term scalability—giving investment professionals the tools they need to navigate an increasingly sophisticated investment landscape.

Now, we are proud to serve over 1,200 client firms managing more than $7T in assets. In today's evolving market, Addepar rises to the challenge of consistently innovating to deliver unparalleled solutions for managing complex portfolios.

What was the way your colleagues made a difference?

Our global team of over 1,000 employees is the foundation of our success. With one-third of our workforce based outside the U.S., we've expanded into key regions to support our growing global client base, which now spans across more than 45 countries. This expansion ensures we meet our clients where they are, providing localized expertise and seamless service as they scale.

What sets Addepar apart is our team's shared commitment to ownership, collaboration, and innovation—translating these principles into real, measurable impact. Whether developing cutting-edge solutions, strengthening partnerships, or anticipating the evolving needs of investment professionals, our people drive meaningful outcomes in an ever-changing financial landscape.

How do you intend to remain on the front foot and continue to set a high standard?

Addepar invests over $100M annually in R&D to stay ahead of our clients' evolving needs, driving the development of market-leading

solutions like Reporting, Analysis, Billing, Navigator. These tools empower advisors to navigate complex markets with confidence and deliver tailored, data-driven guidance.

Addepar continues to invest in building solutions on its platform to meet the needs of those navigating complex investment landscapes. We recently launched Alts Data Management, a solution to streamline alternatives reporting by combining AI-driven data extraction with human verification to ensure accurate, efficient, and timely insights into private fund investments. We also introduced Addepar Trading to streamline trading operations from inception to execution, alongside Dashboards, which provide a customizable, visually intuitive way to manage strategy advisor workflows, strategy and portfolio data. These innovations reflect our commitment to equipping advisors with the best technology to deliver exceptional value to their end clients.

Whom to look for, either inside or outside your business, for ideas and inspiration?

Our clients are our greatest source of inspiration. They manage some of the world's largest pools of capital, and their insights directly shape our platform. That's why 50% of our global team is dedicated to R&D, continuously building solutions that evolve with our clients' needs.

We prioritize direct collaboration through our Ideas Portal, where clients, partners, and internal team members can submit feature and product requests. Additionally, we engage with our clients through webinars, surveys, and in-person gatherings, including community meetups, AddeConf—our annual innovation and technology conference—and the Addepar Summit, which brings together leaders in the RIA and Multi-Family Office space. These touchpoints foster strong relationships and meaningful discussions, ensuring our innovations align with the real-world challenges our clients face.

ACCLAIM | WEALTHBRIEFING RECOGNISES LEADERS ACROSS THE GLOBAL WEALTH MANAGEMENT INDUSTRY

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AdvisorStream’s Award-Winning Content Helps Wealth Firms Turn Clicks Into Clients Winner • Client Marketing and Prospecting Platform

Kristy Smith General Manager AdvisorStream

What makes your platform the most innovative solution?

At the heart of financial advice is the client, which is why we take an investor-centric approach to marketing.

Broadridge’s AdvisorStream platform empowers wealth firms and advisors to deliver hyper-personalized communications tailored to each investor’s unique interests, goals, and life events.

By combining the power of automation with financial wellness content licensed from the world’s most respected publishers, the AdvisorStream platform is unrivaled in helping advisors exceed the expectations of the modern investor.

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

Our team has taken AdvisorStream to an award-winning level by continuously assessing advisor marketing trends and evolving our platform to meet their needs.

A recent study we conducted revealed advisors with a defined marketing approach generate 168% more leads per month, onboard 50% more clients, and are 42% more likely to see an ROI from their social media.

Additionally, we expanded our content library to become the world’s largest investor-focused content resource, giving advisors unparalleled access to high-quality, legally licensed content that drives engagement and business growth.

Where do you see advisor marketing sector going in the next five years?

Over the next five years, we see advisor marketing evolving rapidly, driven by a greater focus on personalization, digital transformation, and adapting to changing investor expectations.

High-quality, informative content will remain at the core of successful advisor marketing, but the way it’s delivered will continue to diversify.

Video, in particular, will play a crucial role in positioning advisors as trusted partners, helping them build stronger relationships by educating investors in a more engaging and accessible way.

Wealth firms are becoming more investor-centric, leveraging technology to create seamless, intuitive digital experiences that meet modern investor expectations. At the same time, shifting investor priorities—driven by next-generation wealth transfer and increased demand for transparency, ESG, and impact investing—are reshaping the industry.

Success will come to those who move beyond “selling” to focus on education, trust-building, and value creation through digital adoption, personalization, and thought leadership.

How do you intend to remain on the front foot and continue to set a high standard?

We remain at the forefront of advisor marketing by continuously innovating and adapting to the evolving needs of financial professionals. Our commitment to research-driven development ensures that AdvisorStream stays ahead of industry trends, providing advisors with cutting-edge tools to engage clients effectively.

We will continue expanding our content library, leveraging AI-driven personalization, and enhancing automation to maximize advisor efficiency.

Additionally, we prioritize data-driven insights to refine our platform, helping advisors drive growth by improving client conversions, and establishing stronger relationships

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Empowering Family Wealth Firms with Purpose-Built Technology and Expert Support Erin Oremland General Manager AgilLink

Winner • Client Accounting

Please explain why you/your business was able to reach this award-winning level?

AgilLink is truly honored to be awarded the WealthTech America’s Award in the Client Accounting category. We believe our success comes from our commitment to combining a best-in-class multi-client bill payment and specialized client accounting platform with the expertise of a team of seasoned family office professionals.

We recognize the unique challenges family wealth firms face in delivering exceptional service to clients of significant wealth, and we’re dedicated to providing the tools and support they need to succeed.

Our approach emphasizes a personalized experience, with every client benefiting from a knowledgeable onboarding team, a dedicated client success manager, a dedicated account manager, live phone support, and a community of family wealth peers and resources.

What sets AgilLink apart is our focus on building real connections, offering support from people who understand the urgency and complexity of serving high-net-worth and ultra-high-net-worth clients. This award reflects our ongoing dedication to empowering our clients and meeting their unique needs.

Where do you see the wider wealth management sector going in the next five years?

In the next five years we see family offices adopting more sophisticated investment strategies, implementing robust risk management frameworks, and enhancing client experiences to meet the evolving needs of wealthy families. To execute these strategies at the highest standards, there is a growing need for family offices to professionalize their business practices. To put it simply, the days of relying on spreadsheets, and manually rekeying data into disparate systems are over.

The need for operational efficiency and data security has driven family offices to adopt purpose-built technology solutions. AgilLink's secure, cloud-based platform integrates client accounting, bill pay, data aggregation, and workflow automation, reducing manual processes and enhancing data accuracy. Built with bank-grade security, AgilLink provides robust protection against rising cybersecurity threats, giving family offices peace of mind. Our investment data integrations, automated workflows and audit-ready reports help family offices implement professional standards without increasing administrative burdens. It also ensures that teams have timely and accurate insights to help make informed investment decisions.

As the family office industry continues to evolve, embracing technology is essential for staying ahead of industry trends and securing long-term success. As a trusted partner for more than 300 clients, AgilLink empowers firms to navigate this complex environment with confidence by providing secure, scalable, and efficient solutions.

Whom to look for, either inside or outside your business, for ideas and inspiration?

The family office community and our clients are a continual source of inspiration for us. Over the past 45 years, we’ve had the privilege of witnessing their growth and evolution as they tirelessly work to better serve wealthy families. Their unwavering commitment to excellence drives us to push boundaries, innovate, and elevate our own standards. Together, we share a passion for building a legacy of success and making a meaningful impact in the lives of the community and clients we serve.

AgilLink is an RBC company and is an affiliate of City National Bank Member FDIC.

Transforming

Wealth Management:

Embrace the Future of Investment Solutions

At BRITech, we redefine portfolio management with cutting-edge solutions designed for today's wealth managers. From seamless automation to real-time insights, our platform empowers you to deliver exceptional results to your clients while ensuring compliance and operational efficiency. Trusted by leading firms globally, BRITech is your partner in innovation and growth.

Advanced Portfolio Management Real-time Data Seamless Integration

Scalable Solutions Open Architecture (White Label) Interactive Dashboards

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BRITech: Driving Innovation and Excellence in Wealth Management and Fund Administration Why did you/your company achieve this award-winning level?

As the CEO of BRITech, our award-winning success in Wealth Management and Fund Administration is due to innovation, collaboration, and an agile mindset. We focused on overcoming market challenges by quickly adapting to changes and customer needs. Significant investments in technology and continuous team training were crucial. Our resilience and adaptability, combined with a commitment to excellence and close client relationships, led to international recognition. This validates our efforts and motivates our team. We will continue striving for excellence and innovation to exceed client expectations.

Yuryi Ferber CEO BRITech

Winner • Fund Administration • Overall Latam WealthTech Provider

How did you manage to deal with challenges and problems this time?

What lessons did you learn?

In the competitive Wealth Management and Fund Administration market, we faced many challenges. Our focus on innovation and collaboration, along with an agile mindset, helped us overcome them. Continuous feedback, significant investments in technology, and team training were crucial. We learned the importance of resilience, adaptability, and open communication. These values, combined with our commitment to excellence and close client relationships, are the foundation of our success.

Who to look for, inside or outside your company, for ideas and inspiration?

At BRITech, we find innovation and inspiration from both internal and external sources. Our employees and internal teams offer unique perspectives, while leaders and mentors provide strategic guidance.

Externally, clients, business partners, and competitors offer valuable insights. Industry professionals, events, and publications also inspire us, fostering continuous innovation and exceptional solutions.

What will winning this award do for your company and colleagues?

Winning these prestigious awards in Fund Administration (Latin America) and General WealthTech Provider LATAM is a great honor for BRITech. This recognition

validates our commitment to excellence and innovation, enhancing our reputation and credibility. It motivates our team, attracts new clients, and strengthens existing relationships, positioning us as industry leaders and paving the way for future growth.

Where do you see the wealth management sector in the next five years?

The wealth management sector is set for significant transformation due to technological advancements, evolving client expectations, and regulatory changes. In the next five years, AI and machine learning will drive personalized investment strategies and operational efficiency. Digital platforms will offer continuous access to portfolios and advice. Companies must innovate and adapt quickly to meet the demands of a new generation of digital-savvy investors.

How did your colleagues make a difference?

Our colleagues made a difference through their dedication, expertise, and collaboration. The BRITech team, composed of highly qualified professionals, faced challenges with an agile mindset and promoted continuous innovation. Their resilience, adaptability, and commitment to excellence, combined with cutting-edge technology, were fundamental to our success and recognition.

How do you intend to stay at the forefront and maintain a high standard?

To stay at the forefront, we will invest in cutting-edge technology and continuous team training. Combining human talent with top tools through our SaaS model is essential. We'll maintain an agile mindset, adapt quickly to market changes, and implement continuous feedback processes.

Our commitment to excellence, innovation, and close client relationships will guide us in providing exceptional solutions.

Transform on your terms with the

Broadridge Wealth Platform Our open, modular platform helps wealth managers modernize.

Digitize operations

Drive advisor productivity Personalize investor experiences

© 2024 Broadridge Financial Solutions, Inc., Broadridge and the Broadridge logo are registered trademarks of Broadridge Financial Solutions, Inc.

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Broadridge: Driving Digital Transformation in Wealth Management Winner • Best Overall Canadian WealthTech Provider

Karin Kirkwood President Broadridge Financial Solutions

Why is Broadridge considered an award-winning technology company?

For over 40 years, Broadridge has been a trusted partner, driving innovation in Canada’s financial services industry. We collaborate with clients to help them adapt to evolving market needs and maximize value for their end users. Our API-first ecosystem integrates Broadridge, third-party, and proprietary solutions, creating a flexible platform for wealth firms.

The Broadridge Wealth Platform in North America features 35+ strategic partnerships and 200+ vendor integrations, enabling firms to deliver best-in-class services. Our Client Onboarding and Account Opening solutions align with Client Focused Reform guidelines, ensuring compliance and user-friendly experiences. Digital signatures and account transfers enhance efficiency for clients and advisors. In 2023, we successfully launched Canada’s first and most successful FHSA plans.

By partnering with Canadian fintech companies, from startups to established players, we continuously enhance our offerings and drive market innovation. Amid evolving investor expectations, cost pressures, and the need for differentiation, Broadridge provides a strong foundation, regulatory expertise, and adaptable technology that empower firms to grow on their own terms.

What role does technology play in Broadridge’s success?

Solving client needs drives everything we do. We leverage technology to create holistic, platform-based solutions rather than relying on fragmented tools. This ensures consistent capabilities and workflows across distribution channels and user bases.

Our approach enhances efficiency and delivers seamless client experiences—key to remaining competitive. Backed by decades of innovation, the Broadridge Wealth Platform minimizes risk, ensures compliance with Canadian regulations, and adapts to evolving investor needs. This positions Broadridge as a leader in digital transformation and a trusted partner for wealth firms navigating industry shifts.

What makes Broadridge’s platform-based approach unique?

Our platform fosters interoperability between tools and systems, reducing redundancies and improving workflows. This integrated approach streamlines operations, enhances advisor and branch experiences, and increases accuracy.

The Wealth Platform features a component-based ecosystem and a strong integration layer with back-office books & records. Clients can implement the entire solution or select components to meet specific needs, adding capabilities as required. Our open-platform architecture ensures flexibility, enabling firms to integrate ‘best-ofbreed’ solutions and tailor technology to their unique requirements.

How do you see the future of technology in wealth management?

Technology will continue to shape the future of wealth management. We recently launched our AI in Wealth campaign, highlighting how AI-driven innovation will transform the industry.

Broadridge partners with leadership teams from large wealth management firms, mid-sized firms, and individual advisors to refine tech strategies and navigate future advancements. By staying at the forefront of innovation, we empower our clients to embrace digital transformation and position themselves for long-term success.

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Artificial Intelligence: The Accelerator for Private Markets Modernization and Alts Data Standardization Noel Calhoun Chief Technology Officer Canoe Intelligence

Winner • Artificial Intelligence (AI) Application • Chief Technology Officer (CTO)

Please explain why you/your business was able to reach this award-winning level?

As a global fintech firm redefining the alternatives investment industry with smarter data management, we place innovation at the heart of everything we do. At Canoe Intelligence (‘Canoe’), we are at the forefront of Artificial Intelligence (AI) and Machine Learning (ML) applications in the wealth management sector. Our cutting-edge solutions leverage information extraction, classification, and Large Language Models (LLMs) to significantly accelerate the processing and analysis of complex financial documents – empowering wealth managers to make data-driven decisions with unprecedented speed and accuracy.

Our purpose-built technology clusters documents into coherent groups and monitors for accuracy over time. This allows the AI model to continuously learn from human feedback and refine its classification abilities. This iterative learning process not only boosts data accuracy but also fosters a high confidence level in the information processed, critical for wealth managers relying on precise and timely data.

At Canoe, we are also constantly engaging with clients to understand and solve their unique data management challenges through tailored technological solutions. A prime example of this is Canoe Asset Data.

We identified strong demand from Limited Partners (LPs), fund administrators and consultants for access to asset-level data – today considered essential for front-office decision-making and effective alternative investment allocation. In response, we collaborated with 13 Canoe clients to build Canoe Asset Data – a solution that leverages AI/ML to efficiently extract, standardize, and deliver asset-level data directly sourced from General Partners’ documents. Canoe Asset Data empowers alts investors with greater transparency and precision at the asset level, offering comprehensive asset-level insights for holistic portfolio management, access to key operational metrics for efficiency, and detailed investment allocations to optimize strategies and decision-making.

Adopters of the solution, including global wealth managers, asset servicers, investment consultants, and family offices, have reported significant improvement in data accuracy – with accuracy levels exceeding 99% – whilst also achieving 80-90% time savings in managing processes from document collection to extraction to delivery.

What will winning this award do for your business and colleagues?

Winning this award is recognition of our and our clients’ efforts to transform antiquated private market practices and enhance transparency within a traditionally very opaque space. It also serves as an acknowledgement of our passion for innovation and technological excellence as well as our commitment to empowering our clients with granular, data-driven portfolio insights, critical to their success.

Where do you see the wider wealth management sector going in the next five years?

Over the coming years, AI will play an increasingly critical role in wealth managers’ ability to understand and respond to ever more complex client needs and volatile market dynamics. We will see the industry gradually embrace AI and automation to drive greater operational efficiencies, reduce costs, ensure compliance and make data-driven investment decisions. We also anticipate seeing wealth managers recognize that proprietary, closely monitored AI models built and trained on private markets data are better equipped to yield the best results in data management workflows, compared to off-the-shelf AI solutions.

How do you intend to remain on the front foot and continue to set a high standard?

Our mission is to elevate the industry standard for alternative investment data and document management. Leveraging our purpose-built AI/ML-powered tools, we aim to drive the modernization of private markets and the standardization of its complex data – ultimately creating a better-informed investment landscape.

The Charles River Wealth Management Solution ®

Take Control of Your Technology Charles River is creating a new paradigm to empower firms with the technology and services that will drive business growth and improve investor outcomes.

Winner of Best Investment Platform (US)

Copyright © 2025 State Street Corporation and/or its applicable third party licensor. All rights reserved.

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Charles River Development Offers a New Paradigm for Wealthtech Randy Bullard Global Head of Wealth Charles River Development

Winner • Investment Platform or Tools

C

harles River is creating a new paradigm to empower firms with the technology and services that will drive business growth and improve investor outcomes. Our cloud-based solution is designed with the scalability and resiliency needed for high-volume businesses and global business operations and wealth programs all on one platform with support for all asset classes and currencies. Our open architecture, next-gen technology democratizes and streamlines access to networks and third-party providers and solutions. To learn more about Charles River, go to www.crd.com.

Please explain why you/your business was able to reach this award-winning level?

How do you intend to remain on the front foot and continue to set a high standard?

As I mentioned, our in-house technology and clients drive our success and we believe those tenets will continue to help us deliver products and services that our clients need. 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, and 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.

Our collaborative partnerships with clients and our strong culture of native technology development are key factors in Charles River’s ability to succeed. We work with clients closely to help them solve operational challenges with technology, enabling them to derive as much value as possible from the platform and to enhance efficiency in their business. Those relationships directly inform our product development strategy, which is why we see our clients as true partners.

Whom to look for, either inside or outside your business, for ideas and inspiration?

Our technology is built 100% in-house.

That is a significant advantage that helps us keep pace with rapidly advancing technology needs and to meet the needs of our global clients.

Also providing inspiration are our teams of highly skilled technologists and professionals, who are agile thinkers and problem solvers, committed to our end users and engineering excellence.

We invest over USD $80M annually across the Charles River product suite with USD $10M allocated to our wealth management solution. That significant investment drives innovation and improvement across the entire platform and enables more responsive and personalized levels of client service.

Our global client base of top-tier firms inspire 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.

What will winning this award do for your business and colleagues?

The recognition of our technology in the wider industry validates our overall goals and what we are delivering for clients both on a business level and for individual colleagues. We will continue to operate by the guiding principles of helping clients grow and enhance their business goals and strategy.

The Wealth Management Platform Your Clients Wish You Had. Powered by an institutional-grade performance and risk analytics engine d1g1t streamlines workflows, arms advisors with real-time intelligence, and delivers the best digital client experience.

d1g1t.com

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Delivering the Best Advisor and Client Digital Experience Dan Rosen CEO and Co-founder d1g1t Inc.

Winner • Family Office Solution

Please explain why you/your business was able to reach this award-winning level?

How do you intend to remain on the front foot and continue to set a high standard?

d1g1t was founded to replace fragmented legacy systems with a single, integrated institutional-grade wealth management platform that streamlines workflows for Multi-Family Offices (MFOs). Over the past seven years, we have developed a solution that enhances the advisor-client experience while optimizing operational efficiencies. Our platform supports all asset classes, complex structures, risk assessment algorithms, and off-book assets. It includes a full suite of white-labeled client experience tools, such as portals, mobile apps, and communication tools, ensuring seamless interactions.

The liquidity calculation capabilities, combined with cash obligation tracking, address the challenges of matching cash requirements with alternative investments.

Designed with a holistic, top-down household view, d1g1t enables advisors to monitor, compare, and analyze portfolios across multiple households or accounts. Intuitive dashboards provide real-time insights, including returns, capital gains, volatility, and cash availability. Advisors can demonstrate portfolio performance over time and align investment strategies with client goals.

Our data-agnostic, API-driven platform integrates with third-party applications, serving as a central hub for managing clients, portfolios, and business operations. By digitizing workflows across client management, reporting, trading, billing, and compliance, d1g1t empowers Multi-Family Offices to efficiently manage complex family structures and alternative assets while delivering a high-touch, personalized wealth advisory experience.

d1g1t is committed to fostering a culture of continuous innovation. We have a dedicated team focused on fostering transformative ideas that meet real user needs. New features and enhancements are introduced consistently through our product releases. Our product and innovation teams are focused on ensuring that our solution provides industry-leading performance, highest security protocols, and meets the day-to-day operational needs of our customers.

What was the way your colleagues made a difference? d1g1t is proud to have one of the strongest financial engineering teams in the industry. The platform is the product of a highly experienced team with deep expertise in finance, technology, and operations. Our team has designed and deployed complex systems at leading investment banks, asset managers, stock exchanges, and wealth management firms.

Whom to look for, either inside or outside your business, for ideas and inspiration?

Our clients are our inspiration, driving us to create innovative technology solutions that address their challenges. By listening to their needs, we transform ideas into actionable features that enhance our platform. Through collaboration, we uncover new functionalities that empower advisors to deliver the best client experience. Their feedback fuels our commitment to continuous innovation, ensuring we evolve to meet their ever-changing needs.

Where do you see the wider wealth management sector going in the next five years?

The demand for digital experiences is driving innovation in wealth management, with investors expecting interactive, sophisticated portals that provide two-way communication with advisors. Over the next five years, we’ll see greater adoption of modern integrated platforms that boast advanced analytics and cater to true personalization from capturing investor objectives, risk profiles, and preferences to deliver tailored portfolios. Key priorities will include a customer-first approach, enterprise-wide digital transformation, and smart technology adoption. Cloud-native platforms will streamline workflows, improve scalability, and enable seamless client interactions through next-generation portals and mobile apps, positioning firms for a more client-centric and efficient future in wealth management.

ACCLAIM | WEALTHBRIEFING RECOGNISES LEADERS ACROSS THE GLOBAL WEALTH MANAGEMENT INDUSTRY

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Creating Culture Through Moments That Matter Winner • WealthTech Employer

Ryan George Chief Marketing Officer Docupace

Please explain why you/your business was able to reach this award-winning level?

How do you intend to remain on the front foot and continue to set a high standard?

Years ago we made the decision we were going to level-up our culture and employee experience. Our company had taken on a new investment and purposefully improving our culture was going to be critical to our success. While none of us were super-jazzed to see where our initial employee engagement scores were, it gave us a definitive line in the sand from what we were, to who we’re going to be and where we are today.

A lot of that relies on continuing to bring in the right talent with fresh ideas…and then listen to them. There’s danger in the “we do it this way” mindset, so we need to continue are rigorous pursuit of excellence. One of the lowest hanging fruits is meeting employees where they’re at, what’s going on in their lives. For example, if an team member’s child is having their tonsils out; a surprise gift from us means a ton but costs almost nothing. If we continue create moments that matter, we’ll stay on the right path.

What was the way your colleagues made a difference?

Colleagues is the right term. Our success is driven bottom-up, just as it is top-down. I think the first part of the journey started with leadership: can team members trust leadership? Are team members provided clear goals? Do they understand our standards? The environment we’re trying to achieve. Are they able to hold leadership accountable to the promises they make? Not just to clients but team members as well.

This requires leaders, and I’m talking about both organizational and influential leaders, bringing something “extra” to the table. Extra in terms of skills and experience. Are they bringing the necessary energy to meetings and projects? That last part is super important since we’re spread out throughout the United States and the world.

People need to know that leaders are their to support them if they stumble, but more importantly, champion them when they succeed.

Bottom line – I think we’ve made a conscious ‘be better’. I don’t mean that in a negative context, more along the lines of – what can I do, in my role, to improve the experience of the clients and colleagues around me? It’s simple question, but don’t confuse simplicity for power.

In what ways were you able to deal with challenges and problems this time around?

We’ve not been afraid to try new things. Just this year, we set up a Slack channel called #scoreboard where anyone in the company can post about “wins” around the company. It’s been super popular.

It’s such a spark to see when somebody posts and then all of their colleagues like and add celebration emojis. It cost us nothing but has a real impact.

What will winning this award do for your business and colleagues?

Awards provide external validation that we’re on the right path.

It’s a little badge of honor each of our team members can wear to work every day. Being an employer of choice isn’t a destination but a journey. It sounds cliché but it’s super true. This recognition helps give us the energy and passion to keep going.

FOR WEALTH MANAGERS WHO WANT AI-DRIVEN INSIGHTS AND DEDICATED HUMAN SUPPORT. Market data in context | Personalized platform | End-to-end service

Create exceptional digital client experiences by leveraging FactSet’s suite of portfolio analytics, multi-asset class research, global market analysis, and tools. We offer open, flexible technology personalized to every clients’ needs through our workstation, CRM integration, client portals, standalone applications, and more.

Learn more about FactSet Wealth Management Solutions at factset.com/wealth.

ACCLAIM | WEALTHBRIEFING RECOGNISES LEADERS ACROSS THE GLOBAL WEALTH MANAGEMENT INDUSTRY

FactSet - Data, Analytics & Technology to Enhance Advisors’ Efficiency What is FactSet’s offering for wealth managers?

FactSet empowers wealth managers to protect and grow client assets with all-inone wealth management software. Our platform integrates real-time data, portfolio analytics, multi-asset research, global market analysis, and reporting tools to enhance decision-making and client engagement.

With open and flexible technology, users can access data via feeds, APIs, mobile, web, and desktop platforms. We provide both proprietary and third-party data, ensuring quality and seamless integration into models and systems. By combining powerful analytics with customizable digital experiences, FactSet helps wealth managers demonstrate value and deliver superior client outcomes.

What was the winning formula of your firm/you that explains why you won?

FactSet empowers wealth managers with high-quality data and seamless integration to uncover actionable insights, reduce risk, enhance efficiency, and comply with regulations. With over half our organization dedicated to data integrity, we offer 30+ FactSet-owned datasets and 1,000+ from third-party providers.

Our flexible technology enables access via data feeds, APIs, digital portals, and a configurable mobile and desktop platform. FactSet’s unique data symbology links and aggregates diverse content sources, ensuring consistency, transparency, and accuracy. By combining powerful analytics with customizable digital experiences, we help wealth managers gain a competitive edge to win and retain business.

Where do you see the wealth management industry and your part of it going in the next five years?

At FactSet, we are client-obsessed, dedicated to understanding and addressing their needs. As Jamie Coulter, Executive Vice President, Wealth Management at Raymond James Ltd., put it:

"FactSet’s solution raises the bar in our ability to deliver best-in-class market data and provide for our advisors and the individual investors and families they serve."

Several key trends are shaping the wealth management industry, and FactSet is addressing them with our data and technology solutions: • Strategic Vendor Consolidation: Wealth firms seek fewer, deeper relationships with technology providers that integrate seamlessly into their existing tech stacks while reducing costs. FactSet’s flexible solutions help firms consolidate vendors without sacrificing quality or efficiency.

• Advisor Efficiency & Collaboration: Firms are enabling greater collaboration between home office research teams and advisors to increase efficiency. By reducing time spent on security research and portfolio construction, FactSet allows advisors to focus on client engagement and business growth.

• Personalized Digital Client Experiences: Investors expect transparency and tailored advice from their advisors. Our open and flexible technology enhances wealth institutions' client portals, delivering engaging and personalized digital interactions powered by the same data and solutions advisors rely on.

• Generative AI in Wealth Management: AI is revolutionizing financial advisory workflows by automating manual tasks, streamlining interactions, and allowing advisors to focus on high-value activities and deeper client relationships. FactSet is actively integrating AI-driven tools to enhance advisor efficiency.

• Market Transparency & Education: Helping advisors communicate market impacts to clients remains a priority. Our solutions provide sophisticated data and analytics that foster trust and engagement by ensuring clients and advisors have access to the same level of detail through digital platforms.

FactSet continues to evolve with the industry, equipping wealth managers with the tools to drive efficiency, enhance client relationships, and stay ahead in an increasingly digital and data-driven world.

Greg King Senior Director, Head of Wealth Management FactSet

Winner • Data Management and Analysis

25

YOU KNOW YOUR CLIENTS.

We Know Philanthropy.

Your clients trust you to provide them with holistic wealth management planning that considers all aspects of their lives—including philanthropy. You can trust us to serve as your expert resource. As the leading provider of enterprise-caliber philanthropic solutions, we provide a configurable suite of purpose-built technology and professional services to elevate your philanthropic offering.

WHY WORK WITH US? Specialists in private foundations, donor-advised funds and planned giving

97% client retention 65 years of combined experience ~580K in grants ~$13 billion in charitable aid 2,000+ network of private foundations 12K+ advisor relationships $26 billion in foundation endowment assets *Data as of 01/23/25.

Want to learn more?

See what specialists like you have to say about the benefits of working with Foundation Source.

Visit foundationsource.com/wealth-advisors.

Foundation Source has been a fantastic partner in helping my clients achieve their financial and philanthropic goals.

I was able to leverage their incredible resources and deliver to my client an end-to-end philanthropic solution.

I recommend the professionals at Foundation Source and their firm with high conviction.

— $1.5 Billion Advisory Practice, Top-Ranked

by Barron’s, Forbes and Financial Times

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Helping Wealth Managers Modernize with PhilTech Winner • Innovative Solution

Joe Mrak CEO Foundation Source

Please explain why you/your business was able to reach this award-winning level?

What will winning this award do for your business and colleagues?

Foundation Source is the leading provider of cloud-based giving solutions. At the forefront of PhilTech, we are the only provider to deliver scalable, end-to-end digital solutions across private foundations, donor-advised funds and planned giving to help advisors grow their practice with philanthropy. We also offer enterprise-ready technology, making it the optimal choice for larger financial institutions. With 65 years of combined experience, Foundation Source empowers people and companies to create a better world through philanthropy. We support more than 4,000 charitable organizations, administer more than $26 billion in foundation assets, and facilitate more than 160,000 grants and planned gifts annually.

This award reaffirms our position as the leader in philanthropic technology, administration, and professional services. We’re energized about supporting the wealth management community with more holistic solutions, especially as clients face complex decisions around transferring wealth to the next generation. We stand ready to help wealth managers connect with clients about their values, aligning assets with purpose, and building multi-generational legacies while creating social impact.

How do you intend to remain on the front foot and continue to set a high standard?

High-quality technology combined with deep human expertise has long been recognized as the foundation for successful wealth planning from an investing perspective. PhilTech is the next evolution of this model.

Foundation Source will continue to build on its market-leading suite of sophisticated philanthropic capabilities through strategic acquisitions and innovation for our core platforms to better serve enterprises and advisory practices.

In 2024, Foundation Source acquired Vennfi, the fintech company powering DAF sponsor Charityvest, which enabled us to offer a DAF platform with an intuitive and frictionless user experience. Earlier that year, we also announced the acquisition of planned giving software and services leader, PG Calc, as part of our growth strategy to build a single platform for a wide range of flexible, popular, tax-advantaged resources that make giving easier.

We look forward to exploring similar opportunities and working closely with wealth managers on the road ahead as we focus on equipping them with best-in-class, modern giving technology.

Where do you see the wider wealth management sector going in the next five years?

Over the past four decades, US giving has increased more than tenfold from $50B a year to an estimated $557B as of 2023. According to the 2024 Bank of America Private Bank Study of Wealthy Americans, the vast majority (91%) of affluent Americans donate to charity.

Wealth managers who do not evolve to offer modern philanthropic solutions will miss out on burgeoning opportunities to streamline clients’ financial plans alongside more traditional wealth management activities, and build meaningful, long-lasting client relationships. Philanthropy is a pathway to help clients mitigate taxes, save money, and increase their charitable impact. When aptly equipped with technology, advisors can add immense value by aligning clients’ investment strategies, tax management, estate plans and philanthropic goals.

Partners in Excellence HalyconFT specializes in serving small to midsize financial services firms needing IT support.

We draw on our deep understanding of challenges and opportunities in this sector to meet the high expectations of investment firms.

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High Touch Service

True IT Professionals

Innovative Solutions

Our responsive, professional, and courteous IT professionals provide top-tier service.

Our knowledgeable and experienced IT professionals are committed to your success.

We continually evaluate new market offerings for our clients.

Learn more at www.halcyonft.com.

ACCLAIM | WEALTHBRIEFING RECOGNISES LEADERS ACROSS THE GLOBAL WEALTH MANAGEMENT INDUSTRY

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Delivering White-Glove Service as True Partners in Excellence Please explain why you/your business was able to reach this award-winning level?

HalcyonFT has a strong reputation for delivering unmatched IT services and solutions that empower financial services firms. Our team of experienced IT professionals always go the extra mile to meet our clients’ needs with innovative solutions. Our flexibility and innovation are matched only by our high-touch, whiteglove service, delivered by team members who are fully committed to our clients’ success.

Rodric O'Connor Managing Partner HalcyonFT

As the Managing Partner of HalcyonFT for nearly 15 years, I’ve had the privilege of guiding our firm through an exciting period of growth. We’ve expanded our client base and our geographic reach (with new offices in London and the Midwest) while deploying new technology in wide-ranging fields, including cybersecurity, cloud hosting, artificial intelligence, advanced analytics, and more. We’ve also achieved SOC 2 Type 2 compliance and ISO 27001 certification, both of which demonstrate our commitment to upholding the highest security standards.

What was the way your colleagues made a difference?

I believe our team is our greatest asset.

While many companies deliver IT solutions to financial services firms, none can match our team members’ professionalism and commitment to excellence. HalcyonFT has invested heavily in attracting and retaining top talent, fostering a culture of collaboration, and providing continuous learning opportunities. Our professionals have an average of 18 years of experience in IT, and our senior-level technicians are eager to share the lessons they have learned in similar settings.

Winner • Implementation/Partner

Furthermore, everyone on the HalcyonFT team is well versed in SEC and FINRA regulations, and our clients’ competitive landscape. On average, our engineers have eight years of experience in finan-

cial services IT, and they have hundreds of technology certifications from Microsoft, Zoom, Mimecast, Cisco, CompTIA, and others.

Our executive team highly values having a strong corporate culture. HalcyonFT has been certified as a Great Place To Work® for two years running, and we maintain an employee turnover rate of less than 3%. Our clients know they can count on HalcyonFT for reliability, responsiveness, professionalism, and a commitment to acting in their best interest.

How do you intend to remain on the front foot and continue to set a high standard?

Innovation is at the heart of HalcyonFT’s operations. In a rapidly changing business environment, we consistently demonstrate our ability to pivot and respond to market shifts, emerging trends, and unforeseen challenges. We continuously evaluate technological developments and new market offerings to solve problems and deliver value for our clients. At the same time, we collaborate with industry leaders, leveraging their expertise, resources, and networks to enhance our offerings and expand our reach.

As we look to the future, we will continue embracing cutting-edge technologies to stay ahead of the competition, but more importantly we will continue to place our clients at the center of everything we do.

Our client-centric approach and hightouch service ensure that we adhere to the highest standards while fostering longterm loyalty and trust with our clients and strategic partners.

ACCLAIM | WEALTHBRIEFING RECOGNISES LEADERS ACROSS THE GLOBAL WEALTH MANAGEMENT INDUSTRY

InfoGrate, Inc.: Redefining Wealth Management Through Innovation and Collaboration Please explain why you/your business was able to reach this award-winning level?

InfoGrate has reached this award-winning level through values-based principles.

While most consultants charge hourly, InfoGrate focuses on results. Another key value is collaboration – integrating into clients’ teams like employees. Finally, InfoGrate maintains a culture free of ego, believing good ideas come from anywhere. By listening to clients, vendors, and industry peers, InfoGrate approaches problem-solving collaboratively, delivering exceptional solutions tailored to each client’s needs.

What was the way your colleagues made a difference?

At InfoGrate, the focus is on service: listen, understand, then act. Every team member comes from a family office background, making the team deep specialists in the space. While ultimately providing both leadership and guidance, InfoGrate acts as a trusted sounding board for clients, facilitating better decision-making. For example, InfoGrate worked with a large family office managing over 300 entities and six integrated software systems. The InfoGrate team simplified the support structure, serving as a one-stop shop for troubleshooting and optimizing workflows. Beyond problem-solving, InfoGrate looks for patterns and works proactively to create more resilient architectures for long-term efficiency.

How do you intend to remain on the front foot and continue to set a high standard?

InfoGrate stays ahead through continuous learning and research. Instead of allocating a budget to marketing or sales, all team members must stay updated on new products and services. InfoGrate engages with 500+ vendors and conducts regular due diligence on over 100, monitoring cybersecurity updates, AI advancements, and more. Actively testing new software ensures clients receive the best solutions.

Client feedback is highly valued – many top solutions have emerged from collaboration. By embracing an agile methodology and incremental changes, InfoGrate en-

sures smooth change management while maintaining a nimble, effective approach.

In what ways were you able to deal with challenges and problems this time around? What lessons have you learned?

InfoGrate addresses challenges with the belief that all stakeholders operate with good intentions. This perspective, combined with openness to change and respect for all parties involved, allows the team to approach problem-solving with a constructive and adaptable mindset.

Whom to look for, either inside or outside your business, for ideas and inspiration?

InfoGrate’s leadership draws inspiration from Warren Buffett’s philosophy: "Price is what you pay; value is what you get." InfoGrate emphasizes long-term value over short-term gains and encourages clients to adopt a similar approach to technology and investment.

What will winning this award do for your business and colleagues?

Winning this award validates the InfoGrate team’s dedication and hard work, boosting morale and momentum. It serves as an acknowledgment of the commitment to excellence and motivates for continued success.

Where do you see the wider wealth management sector going in the next five years?

AI is transforming wealth management by automating tactical processes, allowing professionals to focus on strategic thinking and personalized service. Tax preparation, portfolio accounting, and compliance tasks are becoming automated, shifting human efforts toward estate planning, risk management, and critical financial decision-making. InfoGrate thrives in this transition by eliminating manual inefficiencies so clients can focus on higher-level financial strategies. By balancing deep technical expertise with an understanding of client objectives, InfoGrate can facilitate seamless, impactful decision-making in this evolving landscape.

Tania Neild Founder and CTO Infograte, Inc.

Winner • Diversity • Leading Individual • Software Management Company • Regional Management Team

31

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LeapXpert - Embracing Communications for the New Age of Wealth Management Tom Venezia EVP Americas LeapXpert

Winner • Front Office

Why has your business reached this award-winning level?

The success of LeapXpert lies in our ability to enhance the client experience while meeting rigorous regulatory standards established by the SEC, CFTC, FINRA, and other key regulators.

As you know, regulators require that all forms of communication — including emails, phone calls, and modern digital channels like WhatsApp — be recorded and retained. This mandate poses a significant challenge for wealth managers who must balance strict compliance with the need for swift, personalized client interactions.

Our platform is recognized as the leading solution in the US and globally, empowering wealth managers to leverage popular messaging channels such as WhatsApp, iMessage, SMS, and even Telegram, Signal, WeChat, and LINE, without compromising on compliance, governance, or security.

Every communication is captured, archived, and easily accessible for regulatory purposes, all while ensuring the security and protecting the privacy of the wealth manager and client.

In the simplest terms you cut it, modern clients demand immediacy, convenience, and personalization. Traditional methods like email and phone calls just aren’t enough anymore. LeapXpert bridges that gap by delivering an intuitive, responsive, and fully compliant communication experience. Trusted by many of the nation’s largest financial institutions, we enable wealth managers to deliver exceptional service while mitigating regulatory risks.

How do you intend to remain at the forefront?

LeapXpert is committed to continuous innovation. We’re expanding our integrations with platforms like Microsoft Teams, Slack, and our proprietary app, Leap Work, and with most of the leading surveillance and archiving platforms.

Our commitment to innovation also includes launching a cutting-edge security module and AI-powered impersonation detection to safeguard every interaction. In addition, our new AI-driven module, Maxen, delivers actionable insights that boost productivity

and deepen client relationships. With features like seamless contact synchronization across channels and a growing suite of integrations, we’re constantly streamlining operations for wealth managers.

By anticipating industry needs, LeapXpert equips wealth managers to balance personalized service with stringent regulatory compliance, ensuring our leadership in the ever-evolving landscape of US wealth management.

What’s next for the wealth management sector?

The wealth management industry is rapidly evolving towards hyper-personalization, digital transformation, and increased productivity through AI. Today's clients expect real-time engagement on their preferred channels, and firms that quickly adopt advanced AI-driven solutions will thrive by streamlining operations and enhancing service delivery.

As regulatory scrutiny intensifies, secure and compliant interactions are more critical than ever. At the same time, operational efficiency and high client satisfaction are key to success. AI-powered platforms like ours not only bridge the gap between client convenience and institutional governance but also leverage intelligent automation and data analytics to boost productivity. These innovations are transforming communications and accelerating the data-driven decision-making that will shape the future of wealth management.

What does winning this award mean for LeapXpert?

Winning this award is a proud milestone that validates our mission to redefine wealth management communications in the United States. It recognizes the hard work of our dedicated team and our commitment to excellence. This accolade boosts our visibility, builds trust with prospective clients, and inspires us to push the boundaries of innovation further. For our customers, this award reaffirms their confidence in LeapXpert as the partner that consistently exceeds the modern communication standards expected by today’s top wealth management firms.

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

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NICE Actimize Achieves Suitability Success Amid Advisor Shortage and Growing Wealth Complexity Anand Maheshwari Sr. Product Manager NICE Actimize

Winner • Suitability

T

his year’s WealthTech Americas Awards 2025 marks a pivotal moment in the evolving wealth management landscape.

According to McKinsey & Company, the industry is currently experiencing a robust growth phase, driven by an increase in American wealth and increasingly complex client needs. Notably, clients are showing a greater willingness to invest in personalized, humandelivered financial advice.

However, the good news is tempered by a significant concern: McKinsey's research indicates a looming shortfall of 100,000 advisors this year. As the industry faces this workforce challenge, it becomes clear that advanced AI and automation are stepping in as crucial operational solutions, with signs of growth in these areas already emerging.

As Wally Okby, a strategic advisor for Datos Insights’ Wealth Management practice, emphasizes, “Customer needs and expectations continue to evolve, and financial institutions must strive to stay one step ahead. The capabilities and breadth of their product portfolios must extend beyond traditional offerings to tackle new market challenges and seize emerging opportunities.”

NICE Actimize’s Suitability solution, part of the SURVEIL-X Holistic Conduct Surveillance platform, is proving to be an essential tool for wealth management firms navigating these complexities.

In a diverse investment landscape, financial institutions must identify conduct related issues and document actions to meet stringent regulatory requirements. This innovative solution offers comprehensive coverage for a wide range of financial advisor related issues, ensuring that investment recommendations align with each client’s objectives, suitability profiles and are in their best interest.

What sets NICE Actimize apart in this competitive arena?

The SURVEIL-X Suitability solution has seen strong adoption over the past year among both mid-sized institutions and large-scale

financial services organizations. The ease of deployment, enhanced by cloud technology and reduced costs, has made these solutions critical for wealth management teams.

NICE Actimize focuses on the "know your employee" and behavioral aspects of suitability, providing both short-term and long-term benefits to advisors and management. Firms can leverage these solutions to meet regulatory obligations while managing client abuse risks on a more holistic level, thereby encouraging improved customer relationships and building a robust suitability compliance program.

The solution features a built-in broker risk dashboard, providing an intuitive overview of the risks associated with individual brokers and advisors. By automating oversight and supervision, firms can maintain consistency and create a consolidated audit trail, thereby reducing regulatory risks while enhancing productivity. Sophisticated analytics facilitate compliance with evolving standards set by global regulatory bodies such as FINRA, IIROC, MiFID, CFTC, UK FCA, BaFin, AMF, CONSOB, HKMA, and ASIC. The automation of alert generation, reporting, and auditing not only alleviates manual processes but also increases staff efficiency, producing high-quality alerts with fewer false positives. This consistency across the enterprise allows firms to utilize resources more effectively.

Comprehensive reporting tools and hierarchical organizational views enhance oversight and transparency, ensuring brokers provide suitable investment recommendations. This focus on client satisfaction also mitigates the risks of litigation, regulatory penalties, and reputational damage.

As the wealth management sector continues to navigate a complex landscape, NICE Actimize stands out as a beacon of innovation and resilience, poised to meet today’s challenges and those of tomorrow.

Where High-Touch Accounting Fuses with Secure Technology Delivering financial peace of mind to high-net-worth individuals and family offices since 1996.

Plumb® Bill Pay App We understand the need for access to your important financial data anytime, anywhere.

Dashboard: View your entire financial landscape on a single dashboard.

Commitments: Keep track of your priority bills with your personalized ‘Hot List,’ ensuring timely payments every time.

Onboarding: Get started with Plumb effortlessly using our new Onboarding Module, designed to guide you through a smooth transition into active client status.

Stewardship in Service

Bill Pay Technology Solutions

High-Touch Outsourced Accounting

We serve high-net worth individuals and family offices, and we partner with RIAs or Private Wealth and Financial Advisors in service to their clients.

We are not financial advisors; we are stewards of your day-to-day financial well-being. We provide the clarity you need about your bills and cash outflow with our proprietary bill pay app.

We excel in the simplification and organization of complex accounting and consolidated reporting.

Anneke@ThinkPlumb.com | PlumbBillPay.com | 888-832-6824

Bill Pay

La Jolla, CA • New York, NY

ACCLAIM | WEALTHBRIEFING RECOGNISES LEADERS ACROSS THE GLOBAL WEALTH MANAGEMENT INDUSTRY

Beyond Bill Pay: Plumb’s Commitment to Innovation and Excellence Please explain why you/your business were able to reach this award-winning level?

Our journey to this award-winning level can be summed up in one word: transformation. Over the years we have fully embraced innovation, adapted to evolving client needs, and refined our proprietary technology to deliver an unparalleled bill pay experience. The Plumb Bill Pay App has revolutionized financial transaction management, giving clients greater control, visibility, and security. This commitment to excellence, coupled with our relentless pursuit of efficiency and innovation, has earned us industry recognition and solidified our lasting impact.

anytime, anywhere, while seamlessly integrating with QuickBooks Online software to process payments. The app now also guides new clients through the onboarding process, further enhancing the overall client experience, right from the start.

To safeguard financial information, we conduct vendor verification (i.e. OFAC checking, new vendor warnings, and email whitelisting), bank-level security, multi-factor authentication, and stringent internal controls to prevent unauthorized transactions. Our automated payment scheduling, multi-level approval workflows, and built-in error detection ensures accuracy and efficiency at every step.

How do you intend to remain on the front foot and continue to set a high standard?

Whom do you look to for ideas and inspiration, either inside or outside your business?

We intend to stay ahead by continuously refining our technology and maintaining a balance between automation and expert oversight. The Plumb Bill Pay App already simplifies bill management with real-time transaction tracking, approvals, and status updates within a secure platform. To further enhance our services, we’ve introduced an advanced onboarding module that streamlines the process by centralizing documentation and providing step-by-step guidance for a seamless transition.

We draw inspiration from both industry leaders and the evolving needs of our clients. Our commitment to innovation is fueled by listening to our clients' challenges and continuously improving our solutions to meet their needs. We also look to forward-thinking financial technology pioneers and top advisory firms to stay ahead of industry trends. This approach has driven us to develop our proprietary app with features like advanced reporting capabilities and advisor dashboards that enhance financial oversight, improve collaboration, and provide real-time transparency. By staying attuned to both client feedback and industry advancements, we remain dedicated to elevating financial technology and delivering exceptional service.

While automation drives efficiency, we believe human oversight is critical. Our expert team meticulously reviews every transaction to ensure accuracy, security, and financial clarity. By combining cutting-edge technology with personalized service, we will continue setting the highest standard in financial solutions.

What are the key benefits of the Plumb Bill Pay App? The Plumb Bill Pay App streamlines bill approvals, provides real-time financial insights, and ensures secure access

Plumb Bill Pay & Family Office Accounting delivers high-touch, high-tech financial solutions tailored for ultra-high and high-net-worth clients. With decades of experience, a white-glove approach, and proprietary technology, we deliver financial clarity to our clients so they can make informed financial decisions with confidence and ease.

Anneke Stender Executive Vice President Plumb Bill Pay

Winner • Payment Reconciliation Services

37

Human-led, tech-powered, real-world change.

Wealth Compass is your outsourced accounting and reporting solution for family offices. It brings the best of experience and tech together to make your life easier and your portfolio work harder. See how better visibility and better insights can help protect and build your wealth over time.

Learn more at: wealthcompass.pwc.com

© 2025 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.

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PwC’s Commitment to Excellence in WealthTech Outsourcing Paul Freeland Private, Family Enterprises Partner PwC US

Winner • Outsourcing and Business Process Management

Please explain why your business was able to reach this award-winning level?

PwC’s human-led, tech-powered approach has propelled us to an award-winning level. Our multidisciplinary team combines deep expertise in tax, accounting and consulting with innovative technology to address the unique needs of high-net-worth individuals and family offices. Wealth Compass, our managed service, exemplifies this approach. By providing a reconciled view of diverse assets independent of investment managers, we empower clients to manage their wealth more effectively. What sets us apart is our quality and independent perspective, backed by our long-standing presence in the industry; a customizable solution that integrates seamlessly with existing systems and staffing models; and a dedicated team of specialists with access to PwC’s global network. This commitment to excellence ensures that we deliver trusted insights and sustained outcomes for our clients.

What was the way your colleagues made a difference?

At PwC, we are a community of solvers, including CPAs, tax experts, and a dedicated family enterprise team serving high-networth individuals and family offices. With deep experience working with these clients daily, we provide tailored solutions that drive sustained outcomes. By pairing technology with personalized service, our teams deliver seamless results. Whether automating processes, customizing reporting, or addressing tax and governance issues, our professionals ensure clients benefit from a multidisciplinary approach. Additionally, our global network and experience with family offices foster meaningful connections among clients and advisors, building trust and delivering outcomes aligned with long-term goals.

How do you intend to remain on the front foot and continue to set a high standard?

Our commitment to excellence is unwavering. PwC has invested

over $1 billion to expand AI capabilities and upskill our people, ensuring we remain competitive. By integrating AI-driven insights into Wealth Compass and private client services, we enhance data analysis, decision-making, and scalability for family offices while refining offerings based on client feedback.

Beyond technology, we actively engage in the family office ecosystem, participating in key associations like the Family Wealth Alliance and Stanford Family Office Initiative, and serving as contributors and board members of The UHNW Institute. Our PwC Family Enterprise Advanced Education Program at Kellogg School of Management ensures we deliver top-tier advisory services.

By leveraging technology, our extensive network, and continuous investment in talent, we provide innovative, scalable, and clientfocused solutions that set a high standard in wealth management.

Where do you see the wider wealth management sector going in the next five years?

The wealth management sector is evolving with a focus on personalization, real-time insights, and ESG integration. As intergenerational wealth transfer accelerates, engaging younger generations is crucial—not just through digital tools and transparency but by recognizing their unique perspectives on wealth, including impact investing and values-driven decision-making.

Family offices are also becoming more active investors across asset classes. As highlighted in PwC’s Family Office Deals Study, they are shifting beyond passive wealth preservation to adopt more professionalized, specialized investment strategies, often resembling full-fledged investment funds.

AI and machine learning will further enhance data aggregation, reporting, and risk management, while cybersecurity and data privacy become critical. PwC is uniquely positioned to help clients navigate these trends, offering solutions that integrate innovation, professionalized investment strategies, and trust to meet future demands.

ACCLAIM | WEALTHBRIEFING RECOGNISES LEADERS ACROSS THE GLOBAL WEALTH MANAGEMENT INDUSTRY

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Transforming Client Engagement with Seismic Doug Winter CEO & Founder Seismic

Winner • Digital Offering or Tools

Igniting growth for all client-facing teams

Looking ahead: The future of wealth management

Founded in 2010 to help firms automate the creation of pitchbooks, Seismic has evolved into the global leader in enablement technology, serving 400+ financial services firms worldwide. With 7 of the top 10 US wealth management firms among its clients, Seismic delivers innovative solutions that streamline client engagement, drive efficiency, and enhance advisor productivity. We are honored to be recognized as a winner in the WealthBriefing WealthTech Americas Awards 2025 in the 'Digital Offering or Tools' category for Seismic for Meetings, a new meeting solution transforming how advisors prepare for, conduct, and follow up on client meetings.

Over the next five years, the wealth management sector will face increasing pressure to prioritize efficiency and personalization.

Simultaneously, the industry must prepare for the Great Wealth Transfer, as trillions of dollars move to younger generations who expect more tailored, premium experiences. While the topic of the Great Wealth Transfer has been in headlines for years, it should remain top of mind for advisors and firms who want to reach the next generation of clients: Only 19% of affluent investors use their parents’ advisors, and 1 in 4 of those who still use their parents’ advisor indicate that they are looking to switch providers within the next year, according to Cerulli. These emerging clients value deep personalization, seamless digital engagement, and a proactive approach to meeting their evolving needs. By adopting innovative technologies, firms can meet these expectations while ensuring long-term success in a rapidly changing landscape.

Bringing exceptional client meetings to life Seismic's success stems from our unwavering focus on solving industry challenges. Financial advisors spend 32% of their time on meeting-related tasks, leaving limited bandwidth for impactful client interactions that deepen relationships and grow client trust. To address this, Seismic introduced Seismic for Meetings — a comprehensive tool that automates meeting workflows, from preparation to follow-up, using AI and advanced analytics. By alleviating hours of manual work spent on meeting-related tasks, Seismic for Meetings empowers advisors to save significant time and deliver highly personalized client experiences, directly contributing to their success. What’s more, the technology fits nicely into existing tech stacks and integrates with all leading CRMs and video meeting platforms like Zoom, WebEx and Microsoft Teams.

The productivity and efficiency savings speak for themselves: Thanks to Seismic, a leading wealth management firm reduced advisors’ administrative time by 70%. Additionally, one of the largest private banks in the U.S. saved 10,000 hours of work in the first seven months after implementing Seismic.

Thank you!

This award validates Seismic’s role as a transformative partner in the wealth management industry. It motivates our team to set even higher standards for innovation and reaffirms our commitment to delivering measurable value to our clients. For our customers, it is a testament to the trust they place in Seismic to enhance their client engagement and business outcomes.

Celebrating the Power of Clear, Comprehensive Financial Insights.

Designed to bring clarity to complexity, the SS&C Black Diamond® Wealth Platform provides wealth managers with the tools they need to build long-lasting client relationships and optimize their business.

LEARN MORE. blackdiamond.advent.com info@advent.com

ACCLAIM | WEALTHBRIEFING RECOGNISES LEADERS ACROSS THE GLOBAL WEALTH MANAGEMENT INDUSTRY

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Listening. Innovating. Leading: The Formula Behind Our Award-Winning Success John Milne Vice President of Product Management SS&C Black Diamond® Wealth Platform

Winner • Client/Consolidated Reporting

Why was your business able to reach this award-winning level?

It’s simple: maintaining an unwavering commitment to listening to our clients. Our advisors provide us with invaluable feedback that serves as a compass for everything we develop. Their insights guide us to identify opportunities and challenges, allowing us to create functionality that meets their needs and exceeds their expectations.

A prime example is our Consolidated Reporting feature, which empowers advisors to deliver clear, client-centric reports by combining complex financial data into a single, unified view. This solution streamlines workflows, enhances transparency, and gives clients the clarity they need to make informed decisions. By staying connected to the people who rely on us, we’ve built solutions like this that deliver tangible results and help our clients succeed. This dedication to collaboration is at the heart of how we continue to be recognized for excellence.

In what ways did your colleagues make a difference?

Our team’s ability to simplify the complex is a defining factor in our success. In an industry where technology can often overcomplicate, we focus on delivering intuitive, elegant, and effective solutions. Every member of our product development team understands that the true value of innovation lies in its ability to save time and create efficiency for our clients. They take complex problems, untangle them, and build solutions that fit seamlessly into our clients’ workflows.

This approach makes a huge difference, ensuring that what we create isn’t just functional—it’s impactful.

How do you stay ahead in an industry that’s constantly evolving?

Our "Challenging the Status Quo" philosophy keeps us on the cutting edge. Complacency isn’t an option for us; the minute we stop innovating, we leave room for others to surpass us. That’s why we continuously reexamine what we’re building next and what we’ve already delivered. For example, our Consolidated Reporting feature is a cornerstone of SS&C’s Black Diamond® Wealth Platform, which supports over 2,700 firms managing $3.3 trillion in assets and generating more than 7 million client reports annually. This level of scalability and performance empowers advisors to deliver clear, actionable insights to their clients while maintaining operational efficiency.

In what ways were you able to deal with challenges and problems this time around? What lessons have you learned?

Challenges are a natural part of innovation. Development projects rarely go according to plan, and you must be prepared for the landscape to shift multiple times. For us, staying agile is key. When hurdles appear, we adapt quickly while keeping our end goals in sight.

These moments of change often lead to better outcomes because they force us to refine our solutions in ways we hadn’t anticipated. The lesson is simple: be flexible, stay focused, and embrace the process. That mindset is what enables us to continue delivering excellence, even when the road gets bumpy.

Comprehensive client financials, straight from the source of truth – the IRS

www.taxstatus.com | hello@taxstatus.com

ACCLAIM | WEALTHBRIEFING RECOGNISES LEADERS ACROSS THE GLOBAL WEALTH MANAGEMENT INDUSTRY

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Setting Innovative New Standards in Wealth Management Technology Winner • Innovator of the Year

Kevin Knull, CFP® CEO TaxStatus

What sets TaxStatus apart as an innovator?

TaxStatus transforms complex challenges into actionable solutions for registered investment advisors, broker/dealers, family offices, CPAs, trust companies and financial institutions. TaxStatus is the only firm in the financial services industry that provides frictionless permission-based IRS tax data, planning insights, and ongoing IRS account monitoring for financial professionals and the clients they serve. Our groundbreaking fintech platform offers direct access to IRS tax data, enabling financial advisors to securely and accurately obtain individual, trust, and business IRS tax records. TaxStatus provides continuous IRS account monitoring, alerting users to changes such as filing status, refunds, penalties, audit activity, and potential fraud. Additionally, our data allows advisors to deliver unparalleled tax and financial planning insights by analyzing tens of thousands of client-specific taxpayer data points, uncovering hyper-personalized opportunities for better planning and client outcomes.

What are some unique capabilities of TaxStatus?

TaxStatus is the industry’s only solution offering consent-based, verified, and comprehensive IRS data, IRS account monitoring, and tax planning insights. TaxStatus provides financial advisors and their clients a complete view of a client’s financial standing including tax return summaries, as well as a list of all financial accounts, income sources, asset/liability activity, employment history, and tax planning insights reports. All of this data can be obtained through a secure, electronic approval process that only takes minutes to complete and the data can be returned to the firm requesting the data in minutes. From the data, TaxStatus is able to provide bespoke tax and financial planning insights. Finally, the IRS account monitoring can help firms protect their clients from tax fraud as well as tax penalties and interest payments.

What are the biggest challenges facing financial advisors today?

One of the biggest challenges facing financial advisors is obtaining complete financial data on clients efficiently. In today’s complex financial landscape, clients expect their advisors to act as fiduciaries, render advice that aligns with their best interests, and find ways to deliver superior client outcomes. Unfortunately, advisors often find themselves working with incomplete data which can then lead to simplistic, inadequate recommendations. TaxStatus delivers the most comprehensive financial baseline available in the industry today. Advisors can access a complete and accurate picture without the guesswork, delays, friction, or missing information that have historically plagued the industry. Having complete information transforms financial planning, making firms more efficient, improving the quality of advice and ultimately helping advisors deliver better client outcomes.

How can financial advisors obtain the complete financial data they need to effectively serve their clients?

The most accurate and comprehensive source of financial information is the client’s IRS record. Advisors should review not only personal tax returns but also K-1s, 1099s, business and estate tax returns, and relevant schedules. This approach reveals critical insights such as hidden income sources, tax-loss opportunities, or discrepancies between accounts. Additionally, analyzing trends over multiple years provides a more dynamic view of the client’s financial situation.

It is impossible to render fiduciary advice without comprehensive information, and the only source for 100% complete and accurate financial data on clients is their IRS account. Simply reviewing a tax return is insufficient. Having access to comprehensive client financial data directly from the IRS eliminates guesswork and enables advisors to offer truly fiduciary guidance. At TaxStatus, we are transforming financial planning and enabling firms to deliver greater value, improved outcomes, and stronger client relationships.

Creating Sustainable Success for Leaders and Teams.

WINNER of the WealthTech Award for BEST TRAINING SOLUTION for Four Years in a Row

TRAINING SOLUTION

2022

TRAINING SOLUTION

2023

TRAINING SOLUTION

2024

TRAINING SOLUTION

2025

WINNER of the FinTech Award

For decades, The Collaborative has helped clients overcome obstacles and reach higher levels of success using our unique blend of customized program development, training, and coaching.

Our forte is understanding people — how they think, how they communicate, and most importantly, how they can make lasting change happen. We put that expertise to work for our clients with unrivaled passion and a focus on obtaining superior RESULTS in everything we do. Operating from a vast pool of human behavioral insight — the knowledge of how people make shifts toward effective outcomes — and with on-the-ground experience, we help our clients achieve their goals. We’ve spent decades in C-level positions, running companies and divisions, so we know the business challenges first-hand.

Tools for Growth and Teambuilding

Sales Effectiveness

their team together and focus on profitable growth.

individuals sell effectively in their comfort zone.

Corporate Training

Career Development

of knowledge to provide the skills you need to

people into the right positions and help them

Help for teams, firms and corporate clients to pull

Customized learning that builds upon decades effectively serve your clients.

Online, virtual and in-person resources to help

Proprietary solutions that help firms get the right continue to grow and develop.

ACCLAIM | WEALTHBRIEFING RECOGNISES LEADERS ACROSS THE GLOBAL WEALTH MANAGEMENT INDUSTRY

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Redefining Learning in Wealth Management: An Award-Winning Approach Beverly Flaxington Co-Founder & Principal The Collaborative

Winner • Training Solution

Why did your business reach this award-winning level?

Our approach to learning opportunities sets us apart — we blend domain knowledge with behavioral insights. While most training focuses on information delivery, ours is experiential, driving behavioral change. We help participants practice with ideas they might initially find uncomfortable until they confidently make them their own. We have successfully implemented this approach with small teams and thousands across organizations.

How did your colleagues make a difference?

Our all-female team combines decades of financial industry experience with a deep understanding of human behavior to tackle each client’s unique challenges. We genuinely care about our clients' success, ensuring they feel we are part of their team. We call this “solving the right problem,” and our entire team is dedicated to doing just that. Our responsiveness and dedication make us stand out.

How will you continue to set a high standard?

Listening is key. We engage deeply with our clients, understanding their businesses and obstacles rather than making assumptions. By continuously asking “why” and “how” questions, we craft tailored solutions that align with their evolving needs and future opportunities.

How did you overcome challenges, and what lessons were learned?

With coaching becoming a primary offering, we reassessed our business model to ensure insights from training were effectively

shared with coaching clients and vice versa. Balancing personalized coaching with large-scale training required a new perspective, ultimately strengthening our firm by integrating new knowledge more effectively for all clients.

Where do you look for ideas and inspiration?

Clients! They provide the most valuable insights, ideas, and inspiration. Understanding their goals and obstacles allows us to create impactful solutions. Their evolving needs drive our continuous innovation.

What impact will winning this award have on your business and team?

Winning this award for four consecutive years highlights our firm’s dedication to exceeding client expectations. Few firms in our industry match our commitment to learning opportunities. These accolades have attracted new clients and fostered long-term relationships, a trend we expect to continue. This recognition also helps elevate our brand, introducing our approach to new clients.

Where do you see the wealth management sector in five years?

The industry is rapidly evolving, driven by technology and client expectations. In the next five years, digital transformation will accelerate, making AI-driven solutions and personalized investment strategies the norm. Clients will demand greater transparency, real-time insights, and customized financial solutions. Regulatory changes will require firms to adapt quickly with innovative compliance strategies. Those prioritizing client engagement, digital innovation, and behavioral insights will lead this transformation.

ACCLAIM | WEALTHBRIEFING RECOGNISES LEADERS ACROSS THE GLOBAL WEALTH MANAGEMENT INDUSTRY

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Univeris: Driving Innovation and Excellence in WealthTech Please explain why you/your business was able to reach this award-winning level?

We have an unwavering commitment to empowering advisors and driving exceptional client outcomes. We've achieved market leadership through continuous innovation, client-centric technology evolution, and a dedication to superior service. As a trusted technology partner, we equip our clients with a competitive advantage. We have been disruptive across six clear pillars of innovation: functionality, integration, digitalization, analytics, data processing, and solution deployment. With $589 billion in assets under administration, 85,000+ advisors and over 4 million investors globally relying on our technology, Univeris is shaping the future of wealth management — providing the innovation, agility, and scalability firms need to thrive.

Carmine Tullio President & CEO Univeris

Winner • Innovative Client Solution • Overall WealthTech Provider Mexico

What will winning this award do for your business and colleagues?

This award will significantly enhance our reputation and credibility, both internally and externally, and support our goal of being recognized as global leaders in WealthTech. We truly distinguish ourselves by delivering customized results. We don't subscribe to the notion of a singular, all-encompassing answer. Instead, we invest in understanding the unique complexities of each organization, crafting bespoke strategies that address specific challenges. Our approach is rooted in practicality and proven effectiveness, ensuring that our clients receive tailored solutions, not generalized pronouncements.

As we look internally, acknowledging our employees' hard work and contributions will boost morale and motivation. This recognition will foster a sense of pride and accomplishment, which will encourage further innovation and dedication. In turn, our brand image will be enhanced, continuing to attract top talent and fostering a culture of excellence.

Where do you see the wider wealth management sector going in the next five years?

I believe the wealth management sector is set to undergo a significant transformation driven by a convergence of technological advancements, evolving client expectations, and shifting demographics. We can anticipate a heightened emphasis on digital

transformation, with clients demanding increasingly personalized and seamless omnichannel experiences, powered by AI-driven insights and real-time access to information.

This will be coupled with a move towards holistic financial planning, extending beyond traditional investments to encompass estate planning, tax optimization, and a stronger focus on financial wellness. Technology will play a pivotal role, with AI and automation streamlining operations and enhancing efficiency, while robust cybersecurity measures become priority to protect sensitive client data.

Furthermore, the significant intergenerational wealth transfer and the expanding mass affluent segment will necessitate adaptive strategies, requiring firms to tailor their services to meet the diverse needs of a changing clientele. Ultimately, success in this dynamic environment will hinge on a firm's ability to embrace technology, prioritize client experience, and adopt a holistic, data-driven approach to wealth management.

How do you intend to remain on the front foot and continue to set a high standard?

We are committed to solidifying our leadership position through strategic foresight and dedication to excellence. We invest heavily in innovation, channeling a significant portion of our revenue into R&D and our Evergreen program guaranteeing our solutions remain at the forefront of the industry. This commitment translates into rapid delivery of cutting-edge modules and features, particularly in advice, collaboration, task management, business intelligence, and goal management. Our platform delivers a consistent and streamlined experience through a unified approach, optimizing operational efficiency and service delivery for all stakeholders.

Security and compliance remain absolutely critical, evidenced by our SOC 2 Type II certification and robust security protocols.

Furthermore, our newly launched Latin America customer success program underscores our commitment to delivering projects on time and within budget. More importantly, it fosters a deep understanding of our clients' strategic objectives, ensuring a true corporate alignment and a partnership that extends far beyond a typical vendor relationship.

Powering Growth, Innovation, & Scale An all-in-one wealth management solution that simplifies portfolio management, trading, accounting, and reporting from a single platform

To learn more visit vestmark.com

©2025 Vestmark, Inc. All Rights Reserved. Reproduction in whole or in part in any form or medium without express written permission is prohibited.

Vestmark, VAST, and the Vestmark icon are registered trademarks. Other trademarks contained herein are the property of their respective owners.

Vestmark believes that the information in this publication is accurate as of its publication date; such information is subject to change without notice.

Vestmark Advisory Solutions, Inc. (“VAS”), a wholly-owned subsidiary of Vestmark, Inc., is an investment advisor registered with the U.S. Securities and Exchange Commission (“SEC”). VAS acts as a paid sub-advisor and/or overlay portfolio manager offering VAST and tax optimization services.

Registration does not imply a certain level of skill or training. VAS has its principal place of business in Wakefield, MA. Investing involves risk.

The value of an investment will fluctuate over time, and an investor may gain or lose money. Past performance is no guarantee of future returns and individual investor results will vary. Please consult our full disclosure document for a discussion of risks related to the services provided by VAS, at www.vestmark.com/vast-disclosure.

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Vestmark: Driving Growth, Fostering Innovation, and Enabling Scale

V

estmark delivers a comprehensive, future-ready platform that has fueled success for growth-oriented wealth and asset management firms for two decades. Vestmark supports six of the top ten wealth management programs in the U.S., supporting more than $1.5 trillion in assets and five million investor accounts.

At its core, it is a sophisticated portfolio management and trading platform, complemented by a comprehensive suite of solutions including flexible operational services and innovative tax management solutions.

Please explain why you/your business was able to reach this award-winning level?

Our unique company culture, deeply rooted in our values, is a key driver of our success. At its core, we value collaboration, a passion for knowledge, and a commitment to seeing things through — always with positive energy. Our people are at the heart of everything we do, and we focus on hiring, retaining and developing top talent with these values in mind. This is not just a cultural foundation, but a true business differentiator.

How do you intend to remain on the front foot and continue to set a high standard?

Innovation is crucial to support both existing and new clients and their growth.

New features recently launched or currently in development include Household Rebalancing, Alternatives support, Multi-leg Options and a continued expansion of our API library. Our investments in Agentic AI are embedded in various Vestmark products to improve advisor and home office efficiency, unlock new capabilities of scale, and manage complexity.

In addition, new enhancements allow for the portfolio management platform to expand beyond the enterprise market to RIAs and their advisors. New capabilities such as streamlined trading, reporting and proposal generation build upon the core portfolio trading engine but are targeting the advisor users.

Corey Fiedler Chief Product Officer Vestmark

Whom to look for, either inside or outside your business, for ideas and inspiration?

Home office operators, advisors, and their clients are our inspiration. While market research and competitive intelligence inform our decisions, our corporate strategy drives product development. As an independent, privately held technology company, we are committed to empowering our clients with a competitive edge to achieve their goals and attract new business.

What will winning this award do for your business and colleagues?

Winning this award is a testament to the hard work and dedication of our team of 400 employees. It also reinforces to our clients and prospects that Vestmark is committed to continuous innovation, delivering exceptional client experiences, and being a trusted partner for growth.

Winner • Portfolio and Wealth Management

ACCLAIM | WEALTHBRIEFING RECOGNISES LEADERS ACROSS THE GLOBAL WEALTH MANAGEMENT INDUSTRY

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WealthHub: Innovating for Family Offices with Purpose-Built Solutions James Marks President & CEO WealthHub Solutions

Winner • Family Office Solution

Why was your business able to reach this award-winning level?

Our success stems from a laser focus on the unique needs of family offices. Unlike retail wealth management solutions, WealthHub is built specifically for family office operations.

This starts with key design features: managing multi-family, multi-generational relationships, best-practice tools for administering trusts and legal entities, and modules for handling special assets like real estate, collectibles, oil/mineral interests, and illiquid investments common to UHNW portfolios.

We also integrate with accounting, portfolio management, and document management systems, allowing users to access financial data, documents, and activity records in one place. The result is a platform tailored to family office requirements—enthusiastically received by the market.

In what way did your colleagues make a difference?

Our team’s biggest impact has been in building a reputation for outstanding customer service. All of our customer success teams are certified Salesforce experts with deep knowledge of family office practices.

What sets us apart is continuity: the same two customer success members who implement a new system stay on to administer and fine-tune it. This ensures a highly personalized support experience where clients can expect direct, prompt, and knowledgeable responses. Thanks to this commitment, many of our new customers come from word-of-mouth referrals.

How do you intend to remain on the front foot and continue to set a high standard?

We continue to innovate by closely listening to our customers and developing technology-driven solutions to their operational challenges.

For example, we repeatedly heard dissatisfaction with existing client portal options. Despite their wealth, UHNW families lacked the financial visibility that even community bank customers had decades ago. In response, we built a portal tailored to their needs, featuring hierarchical entity relationships, trust-related party views, distribution and bill payment tracking, and asset-specific expense monitoring.

We’ve also introduced features based on customer requests, such as preparation organizers for quarterly and annual meetings, tax return management, investment opportunity tracking, and automated FINCEN BOI reporting and filing.

Whom do you look to for ideas and inspiration?

The family office technology space is rapidly evolving, with many innovative solutions enhancing efficiency, service, compliance, and reporting. Our challenge—and inspiration—is to integrate the best of these advancements into WealthHub as a unifying platform, delivering a seamless, best-in-class solution for family offices.

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.

© 2025 ClearView Financial Media Ltd. 83 Victoria Street, London, SW1H 0HW, United Kingdom Tel: +44 (0) 207 148 0188 / info@clearviewpublishing.com / www.clearviewpublishing.com / VAT Reg No: 843 3686 09

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The Fourth Annual WealthBriefing WealthTech Americas Awards Winners 2025 US - GENERAL WEALTHTECH Artificial Intelligence WINNER (AI) Application

Client Accounting

Client Marketing and Prospecting

Data Aggregation

WINNER

WINNER

WINNER

Bill Pay

WINNER

Client Communication WINNER Solution or Tool

CRM Provider

WINNER

Data, Information or WINNER Business Intelligence Provider

Business Infrastructure

Client/Consolidated Reporting

Cyber and Network Security

Data Management and Analysis

WINNER

WINNER

WINNER

WINNER

56

ACCLAIM | MARCH 2024

US - GENERAL WEALTHTECH (CONTINUED...)

Data Management and Storage

Digital Offering or Tools

WINNER

WINNER

Data Protection Solution

WINNER

Family Office Solution WINNER

Data Provider

WINNER

Front Office

WINNER

Fund Administration WINNER

Innovative Solution

WINNER

Investment Platform WINNER or Tools

WINNER Outsourcing and Business Process Management

Overall US WealthTech WINNER Provider

Payment Reconciliation WINNER Services

Portfolio and Wealth WINNER Management

Software Management WINNER Company

Suitability

WINNER

ACCLAIM | WEALTHBRIEFING RECOGNISES LEADERS ACROSS THE GLOBAL WEALTH MANAGEMENT INDUSTRY

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US - GENERAL WEALTHTECH (CONTINUED...)

Onboarding Product

WINNER

Financial Planning

WINNER

Risk Monitoring and Management

WINNER

LATIN AMERICA - GENERAL WEALTHTECH Fund Administration WINNER

Innovative Client Solution

WINNER

CANADA - GENERAL WEALTHTECH Family Office Solution

WINNER

US - REGTECH & COMPLIANCE Regulatory Reporting

WINNER

Overall Canadian WealthTech Provider

WINNER

MEXICO - GENERAL WEALTHTECH Overall WealthTech Provider

WINNER

Overall Latam WealthTech

WINNER

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US - WEALTHTECH CONSULTANCY & TRAINING Consultancy

WINNER

Thought Leadership

WINNER

Implementation/ Partner

Training Solution

WINNER

Outsourcing/ Partnership

WINNER

WINNER

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

WINNER

Diversity

WINNER

Marketing Team/PR

WINNER

Innovator of the Year WINNER

NOEL CALHOUN

Leading Individual

WINNER

TANIA NEILD

WealthTech Employer WINNER

Regional Management Team

WINNER

GLOBAL AWARDS Showcasing The Best in the Industry

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

LEARN MO R E

2025

Announcements Schedule 16 JANUARY 2025

Miami Family Wealth Report Awards incorporating Latin America & the Caribbean

6 & 20 FEBRUARY 2025

WealthBriefing Swiss Awards WealthBriefing WealthTech Americas Awards

5 & 27 MARCH 2025

WealthBriefing Swiss EAM Awards WealthBriefing European Awards

8 MAY 2025

Family Wealth Report Awards

5 & 26 JUNE 2025

WealthBriefingAsia & Greater China Awards WealthBriefing Wealth For Good Awards

16 OCTOBER 2025

WealthBriefingAsia EAM Awards

20 NOVEMBER 2025

WealthBriefing MENA Awards

3 DECEMBER 2025

WealthBriefing Channel Islands Awards

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