Products February 9, 2011

Guggenheim Partners Launches Advisory Services

Guggenheim Partners, a financial services firm, established the Guggenheim Investment Advisory division to serve the needs of investment advisers and other financial intermediaries.  
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Guggenheim Investment Advisory will provide advisers with an open-architecture platform to create investment solutions for clients using a suite of products and services from Guggenheim and through external managers, the company announced.

“Through Guggenheim Investment Advisory we are delivering our firm’s core competencies to high-end intermediaries serving sophisticated investors,” said Mark Walter, CEO of Guggenheim Partners. “As these advisers seek better ways to differentiate and grow their businesses, we see important opportunities for Guggenheim to contribute to their success.”

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Guggenheim Investment Advisory is available to intermediaries in the United States and internationally and is based in Chicago.

Deals & People February 9, 2011

PLANSPONSOR Announces Retirement Plan Adviser and Adviser Team of the Year Finalists

PLANSPONSOR, an Asset International company, has announced the finalists for its annual Retirement Plan Adviser and Adviser Team of the Year awards.
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The finalists for the PLANSPONSOR Retirement Plan Adviser of the Year are:

  • Sean Deviney, Provenance Wealth Advisors, LLC, Fort Lauderdale, Florida 
  • Gregg L. Fine, Gallagher Benefit Services, Boca Raton, Florida 
  • John W. Spach, 401(k) & 403(b) Advisors-Los Angeles, Woodland Hills, California 
  • Philip Steele, Pension Architects, Malibu, California 
  • James L. Worrell, GPS Investment Advisors, LLC, Providence, Rhode Island 

The finalists for the PLANSPONSOR Retirement Plan Adviser Team of the Year are:

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  • Rogers Financial (Kenneth Rogers, Jenifer Nesselrodt, Raymond Gay) in Harrisonburg, Virginia 
  • The (k)larity Group (C. Todd Lacey, Stephanie Hunt, Blake Overbay), Athens, Georgia 
  • The Ratay Group at Morgan Stanley Smith Barney (Mark Ratay, Daniel Peluse), Lisle, Illinois 
  • Institutional Investment Consulting (Michael Kozemchak, Barry Stoey, Paul Stephens, Tony Ciocca, Greg Cimmino), Bloomfield Hills, Michigan 
  • FDG Institutional Consulting Group at UBS (Phil Fiore, Jeff Farrar, Stephen Desrochers, Dean Gaugler, Louis Gloria), Stamford, Connecticut 

The winners will be announced at the annual PLANSPONSOR/PLANADVISER Awards Dinner on March 24, 2011 in New York City. 

Previous winners of the PLANSPONSOR Retirement Plan Adviser of the Year award include Rick Wedge, of Northgate Benefits, in Novato, California (2010); Steven Dimitriou, of Mayflower Advisors, LLC, in Boston, Massachusetts (2009); John Barry with JMB Wealth Management in Torrance, California (2008); Chad Larsen with Moreton Financial Solutions in Denver, Colorado (2007); Dorann Cafaro of The Cafaro Group in Little Silver, New Jersey (2006); and John Mott of Smith Barney in Houston, Texas (2005).

Previous winners of the PLANSPONSOR Retirement Plan Adviser Team of the Year are The Prince Group of Stifel Nicolaus in Indianapolis, Indiana (2010); Fiduciary Investment Advisors of Windsor, Connecticut (2009); FFoA in Pearl River, New York (2008); and the STAR Group with Merrill Lynch in Akron, Ohio (2007).

Nominations for the Retirement Plan Adviser and Adviser Team of the Year awards were solicited online from retirement plan advisers, their employers and/or broker/dealers, and plan sponsors, as well as from working partners of these advisers, including investment vendors, accountants and attorneys, and pension administrators (advisers who have attained the PLANSPONSOR Retirement Professional designation receive an automatic nomination).  The finalists were selected by an expert panel of judges from a list of semifinalists compiled from a quantitative evaluation of their current service levels and, based on feedback from their plan sponsor clients. The finalists were drawn from a pool of more than 400 nominations.

The PLANADVISER Top 100 Advisers, taken from award entries, can be found here.
 

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