Page 28 - Investment Advisor - November 2021

Cboe Vest’s goal is to create defined Quantum Partners is a consulting ser-
outcome investment products that give vice for independent advisors, pro-
investors more certainty over their out- viding resources and development as well as operational and
comes and to empower advisors with knowledge and tools leadership support for culture-building, marketing, finance,
to integrate the products into portfolios. Cboe Vest’s great- investments, technology and compliance. The firm provides
est professional accomplishment is seeing the number of the network knowledge and guidance for effective manage-
buffer ETF and mutual funds more than double and assets ment of risk through topics such as breakaway and transition
in the defined outcome category grow $3.5 billion in the consulting, business analytics, ownership tax structure, inter-
last 12 months ending May 2021. The firm’s co-founders val forecasting, outsourced bookkeeping and financial admin-
foresaw the need for the product and the risks they took in istration and support. Quantum Partners shares combined
2012, when they seized the challenge to solve the credit research and tools that then provide the network’s clients
risk and liquidity issues with structured notes, and launched with highly professional and scalable investment solutions
the firm. inclusive of best-in-class portfolio design and management,
monthly client-ready commentary and performance monitor-
Flexible Plan Investments, Ltd ing and benchmarking.
is celebrating its 40th anni-
versary by asking clients, advisors and employees to give Vanilla has built a platform with the goal of
back by donating to a charity. FPI will match all pledged reinventing the estate planning experi-
donations to qualifying 501(c)(3) charities up to $40,000. ence. The latest version, Vanilla 2.0, makes it easy for advisors
Celebrating its 40th anniversary with a “give back” speaks to to add estate planning to their workflows and tech stack unlike
the company’s values and leadership put in place to execute before. Now an advisor can quickly bulk add or invite their
them. Since its founding, FPI has committed to supporting entire client base to the platform, perform an initial assess-
local causes and communities in Michigan and around the ment of their existing planning and take actionable next steps
nation. To date, FPI has matched 50 pledges for $25,605 directly through Vanilla. By helping clients understand the
since the campaign launched in February, supporting 49 gaps in their existing estate planning and providing actionable
regional and national charities. solutions, advisors can increase their client retention and build
relationships that go deeper than money.
Geneos Wealth Management knows how
important it is to do all they can to help
advisors. One way the executive leader- INDIVIDUALS – ASSET MANAGEMENT/
ship cultivates the feeling of being a part PORTFOLIO FIRMS
of Geneos is its openness with decisions and ideas, its willing-
ness to be available to discuss decisions, listen to recommenda- Monali Vora of Goldman Sachs leads the port-
tions from those in the field and take action to improve the folio management, product development,
experience of everyone with Geneos. Furthermore, Geneos has product strategy and technology-related
stood by its commitment to remain an independent broker- efforts for a wide range of strategies and
dealer and to continue to live up to its promise to keep the firm directly oversees customized client portfolios
under 500 advisors. totaling over $89 billion in AUM. She has led the customized,
tax-managed business, growing it from less than $100 million
LPL Financial has witnessed in assets in 2000 to more than $94 billion as of Dec. 31, 2020,
record recruiting, grew mar- across over 16,000 unique client accounts. Vora has served as
ket leadership in the third-party institutional channel co-head of the Consumer and Investment Management
(BMO/M&T banks) and launched new affiliation models Division (CIMD) Women’s Network since 2018 and has
over the past 18 months, expanding LPL’s addressable served on the Goldman Sachs Women’s Network Operating
market by providing advisors seeking independence Committee since 2014.
opportunities to do so with the support model best suit-
ed to them. CEO and President Dan Arnold leads the Bruce Bond of Innovator Capital Management
firm’s more than 4,800 employees in support of more and his PowerShares co-founder John Southard
than 18,000 financial advisors, over 800 institutions and envisioned and created the Defined Outcome
more than 450 RIAs with a pursuit to deliver on LPL’s ETFs, the world’s first ETFs that provide inves-
mission: We take care of our advisors so they can take tors with known ranges of future investment
care of their clients. outcomes prior to investing. Other 2020 highlights include

26 INVESTMENT ADVISOR NOVEMBER 2021 | ThinkAdvisor.com