The Mutual Fund Industry and ETF Awards, now in their 26th year, took place at Cipriani 42nd Street April 11, and saw over 450 guests gather to recognise and reward the top achieving firms and individuals across the sector.
Congratulations to all our winners!
Mutual Fund Industry and ETF Awards 2020
The Awards will return on April 23, 2020. Save the date and register your interest to receive all updates about the 2020 awards.
WINNERS 2019
| Category | Shortlist | Winner | Highly Commended |
|---|---|---|---|
| LIFE TIME ACHIEVEMENT AWARDS | |||
| Fund Action Lifetime Achievement | Marie Chandoha, Charles Schwab Investment Management | Marie Chandoha, Charles Schwab Investment Management | |
| Fund Directions Lifetime Achievement | Richard A. Redeker, PGIM Investments Fund Family | Richard A. Redeker, PGIM Investments Fund Family | |
| HALL OF FAME | |||
| Hall of Fame | Charles Schwab | Charles Schwab | |
| Global X Funds | Global X Funds | ||
| Keith Hartstein | Keith Hartstein | ||
| RISING STARS | |||
| Rising Stars | Abigail Hemnes, K&L Gates | Abigail Hemnes, associate, K&L Gates | |
| Alexis Rosenblum, BlackRock | Alexis Rosenblum, director global policy, BlackRock | ||
| Colin McWey, Heartland Advisors | Colin McWey, vice-president, director of research and portfolio manager, Heartland Advisors | ||
| John O’Brien, Morgan Lewis | John O’Brien, partner, Morgan Lewis | ||
| Joshua Weinberg, State Street Global Advisors | Joshua Weinberg, managing counsel, State Street Global Advisors | ||
| Laura Flores, Morgan Lewis | Laura Flores, partner, Morgan Lewis | ||
| Linda French, ICI Global | Linda French, associate general chief counsel, ICI Global | ||
| Margaret Farquharson, Nationwide Insurance | Margaret Farquharson, director, investment management group, Nationwide Insurance | ||
| Mena Larmour, Stradley Ronon | Mena Larmour, partner, Stradley Ronon | ||
| Michael Weiner, Morgan Stanley Wealth Management | Michael Weiner, executive director, Morgan Stanley Wealth Management | ||
| Nathan Briggs, Ropes & Gray | Nathan Briggs, partner, Ropes & Gray | ||
| Ryan Brizek, Simpson Thacher & Bartlett | Ryan Brizek, counsel, Simpson Thacher & Bartlett | ||
| Mutual Fund Categories | |||
| Content Marketer of the Year | Aberdeen Standard Investments | J.P. Morgan Asset Management | |
| Catalyst Funds | |||
| J.P. Morgan Asset Management | |||
| Janus Henderson Investors | |||
| Natixis Investment Managers | |||
| Nuveen | |||
| Fund Group Podcast of the Year | BMO Global Asset Management: The Better Conversation | Gerstein Fisher: The Q Factor | |
| Capital Group: Capital Ideas | |||
| Franklin Templeton Investments: Beyond Bulls and Bears | |||
| Gerstein Fisher: The Q Factor | |||
| Out of Home Ad Campaign of the Year | Allianz | Fidelity Investments: Fidelity Rewrites the Rules of Investing | |
| Fidelity | |||
| Nuveen | |||
| Video/Digital Ad Campaign of the Year | Aberdeen Standard Investments | Nuveen | |
| John Hancock Investments | |||
| Nuveen | |||
| Social Media Leader of the Year | Aberdeen Standard Investments | Aberdeen Standard Investments | |
| Catalyst Funds | |||
| WBI | |||
| WisdomTree Investments | |||
| Overall Ad Campaign of the Year | Aberdeen Standard Investments: It’s a Big, Beautiful World Out There | Fidelity Investments: Fidelity Rewrites the Rules of Investing | |
| Allianz Global Investors: Active Is | |||
| Fidelity Investments: Fidelity Rewrites the Rules of Investing | |||
| Nuveen: Investing by Example | |||
| Fund Marketer of the Year | Amy Scupham, president, Ivy Distributors | Marty Willis, Nuveen | |
| Fran Cashman, global head of marketing and communications, Legg Mason | |||
| Marty Willis, chief marketing officer, Nuveen | |||
| Matt O’Connor, chief executive officer, American Funds Distributors | |||
| Sales Success of the Year - Mutual Funds | AlphaCentric Income Opportunities Fund | American Funds’ Equity Fund Lineup | J.P. Morgan's Hedged Equity Fund |
| American Funds’ Equity Fund Lineup | |||
| Fidelity ZERO Index Funds | |||
| Guggenheim Total Return Bond | |||
| J.P. Morgan Hedged Equity | |||
| Janus Henderson Balanced Fund | |||
| T. Rowe Price Blue Chip Growth Fund | |||
| Retirement Leader of the Year | Ascensus | Ascensus | |
| Janus Henderson Investors | |||
| TIAA | |||
| Fund Innovation of the Year | AllianceBernstein's FlexFree Funds | Pax World Funds (The Pax Ellevate Global Women's Leadership Fund) | Arabesque Systematic USA Fund |
| Arabesque Systematic USA Fund | |||
| Catalyst Enhanced Income Strategy Fund (EIXAX) | |||
| DWS Group's ESG Liquidity Fund (ESGXX) | |||
| MassMutual RetireSMART℠ Target Date Funds | |||
| Putnam Investments Sustainable Funds | |||
| Pax World Funds (The Pax Ellevate Global Women's Leadership Fund) | |||
| UBS Engage For Impact Fund | |||
| Deal of the Year | Federated Investors acquires stake in Hermes Investment Management | Invesco’s acquisition of OppenheimerFunds | Victory Capital's acquisition of USA Asset Management |
| Invesco’s acquisition of OppenheimerFunds | |||
| Mirae Asset Management acquires Global X Funds | |||
| Victory to acquire USAA Asset Management | |||
| Fund Leader of the Year | Colby Penzone, Fidelity Investments | Gene Needles, American Beacon and parent company Resolute Investment Managers | |
| David Brown, Victory Capital | |||
| Gene Needles, American Beacon and parent company Resolute Investment Managers | |||
| John Streur, Calvert Research and Management | |||
| Rakhi Kumar, State Street Global Advisors | |||
| Newcomer Director of the Year | Alexander Ellis, Old Westbury Funds | Robert Troccoli, Invesco Funds | |
| Raudline Etienne, Janus Henderson | |||
| Robert Troccoli, Invesco Funds | |||
| Trustee of the Year | Bill McCalpin, Janus Henderson Investors | Joel Motley, The New York Board of Trustees of the Oppenheimer Funds | |
| Gale Caruso, Pacific Life Funds, Matthews Asia Funds | |||
| Joel Motley, The New York Board of Trustees of the Oppenheimer Funds | |||
| Richard Hauser, Thrivent Funds | |||
| Small Board Trustee of the Year | Arthur Scutro Jr, First Investors Funds | John Palancia, Northern Lights | |
| John Palancia, Northern Lights | |||
| Independent Counsel of the Year | Domenick Pugliese, Schiff Hardin | John Baumgardner, Sullivan & Cromwell | |
| John Baumgardner, Sullivan & Cromwell | |||
| John Loder, Ropes and Gray | |||
| Stephen Cohen, Dechert | |||
| ETF Categories | |||
| Smart-beta ETF of the Year | Invesco S&P 500 Low Volatility ETF (SPLV) | Invesco S&P 500 Low Volatility ETF (SPLV) | |
| John Hancock Multifactor Mid Cap ETF (JHMM) | |||
| Nasdaq 7HANDL Index ETF (HNDL) | |||
| Nationwide Maximum Diversification U.S. Core Equity ETF (MXDU) | |||
| VanEck Vectors Morningstar Wide Moat ETF (MOAT) | |||
| WBI Power Factor High Dividend ETF (WBIY) | |||
| WisdomTree Interest Rate Hedged High Yield Bond Fund (HYZD) | |||
| WisdomTree U.S. Multifactor Fund (USMF) | |||
| New Smart-beta ETF of the Year | DWS X-trackers High Beta High Yield ETF (HYUP) | DWS X-trackers High Beta High Yield ETF (HYUP) | |
| Global X Adaptive U.S. Factor ETF (AUSF) | |||
| IQ 500 International ETF (IQIN) | |||
| Reality Shares Fundstrat DQM Long ETF (DQML) | |||
| WisdomTree Yield Enhanced Global Aggregate Bond Fund (GLBY) | |||
| Active ETF of the Year | ARK Innovation ETF (ARKK) | Ark Innovation ETF (ARKK) | |
| TrimTabs All Cap U.S. Free-Cash-Flow ETF (TTAC) | |||
| WBI BullBear Yield 1000 ETF (WBIG) | |||
| WisdomTree U.S. Quality Shareholder Yield Fund (QSY) | |||
| New Active ETF of the Year | Innovator S&P 500 Ultra Buffer ETF (UOCT) and Innovator S&P 500 Ultra Buffer ETF (UJUL) | PGIM Ultra Short Bond ETF (PULS) | |
| Janus Henderson Mortgage-Backed Securities ETF (JMBS) | |||
| PGIM Ultra Short Bond ETF (PULS) | |||
| WisdomTree 90/60 U.S. Balanced Fund (NSTX) | |||
| WisdomTree Emerging Markets Multifactor Fund (EMMF) | |||
| ESG/Impact ETF of the Year | iShares MSCI U.S.A. ESG Select ETF (SUSA) | WisdomTree Emerging Markets ex-State-Owned Enterprises Fund (XSOE) | |
| Strategy Shares EcoLogical Strategy ETF (HECO) | |||
| VanEck Vectors Green Bond ETF (GRNB) | |||
| WisdomTree Emerging Markets ex-State-Owned Enterprises Fund (XSOE) | |||
| New ESG/Impact ETF of the Year | DWS' Xtrackers MSCI EAFE ESG Leaders Equity ETF (EASG) | ImpactShares ETFs | |
| Goldman Sachs JUST U.S. Large Cap Equity ETF (JUST) | |||
| ImpactShares ETFs | |||
| Vanguard ESG U.S. Stock ETF (ESGV) | |||
| Thematic ETF of the Year | ARK Innovation ETF (ARKK) | Flexshares Morningstar Global Upstream Natural Resources ETF (GUNR) | |
| Flexshares Morningstar Global Upstream Natural Resources ETF (GUNR) | |||
| Global X FinTech ETF (FINX) | |||
| Reality Shares Nasdaq NexGen Economy ETF (BLCN) | |||
| WisdomTree Emerging Markets ex-State-Owned Enterprises Fund (XSOE) | |||
| New Thematic ETF of the Year | Defiance Future Tech ETF (AUGR) | Vesper U.S. Large Cap Short-Term Reversal Strategy ETF (UTRN) | |
| Defiance Quantum ETF (QTUM) | |||
| ETFMG Alternative Harvest ETF (MJ) | |||
| Global X Future Analytics Tech ETF (AIQ) | |||
| Vesper U.S. Large Cap Short-Term Reversal Strategy ETF (UTRN) | |||
| Sales Success of the Year - ETFs | DWS Xtrackers USD High Yield Corporate Bond ETF (HYLB) | DWS Xtrackers USD High Yield Corporate Bond ETF (HYLB) | |
| ETFMG Alternative Harvest ETF (MJ) | |||
| Global X U.S. Preferred ETF (PFFD) | |||
| Schwab 1000 Index® ETF (SCHK) | |||
| WisdomTree Floating Rate Treasury Fund (USFR) | |||
| Sales Success of the Year - ETF Newcomers | Communication Services Select Sector SPDR Fund (XLC) | Communication Services Select Sector SPDR Fund (XLC) | PGIM Ultra Short Bond ETF (PULS) |
| Global X Adaptive U.S. Factor ETF (AUSF) | |||
| PGIM Ultra Short Bond ETF (PULS) | |||
| Principal Investment Grade Corporate Active ETF (IG) | |||
| SPDR Gold MiniShares Trust (GLDM) | |||
| Alternative ETF of the Year | IQ Merger Arbitrage ETF (MNA) | IQ Merger Arbitrage ETF (MNA) | |
| Reality Shares Divcon Dividend Guard ETF (GARD) | |||
| WisdomTree Dynamic Long/Short U.S. Equity Fund (DYLS) | |||
| WisdomTree Managed Futures Strategy Fund (WTMF) | |||
| New Alternative ETF of the Year | Aptus Defined Risk ETF (DRSK) | Innovator S&P 500 Ultra Buffer ETF (UOCT) and Innovator S&P 500 Ultra Buffer ETF (UJUL) | |
| Innovator S&P 500 Ultra Buffer ETF (UOCT) and Innovator S&P 500 Ultra Buffer ETF (UJUL) | |||
| WisdomTree CBOE Russell 2000 PutWrite Strategy Fund (RPUT) | |||
| ETF of the Year | ARK Innovation ETF (ARKK) | WisdomTree Floating Rate Treasury Fund (USFR) | |
| Global X FinTech ETF (FINX) | |||
| IQ Merger Arbitrage ETF (MNA) | |||
| WBI Power Factor High Dividend ETF (WBIY) | |||
| WisdomTree Floating Rate Treasury Fund (USFR) | |||
| New ETF of the Year | Amplify BlackSwan Growth & Treasury Core ETF (SWAN) | Global X Adaptive U.S. Factor ETF (AUSF) | |
| Defiance Quantum ETF (QTUM) | |||
| Global X Adaptive U.S. Factor ETF (AUSF) | |||
| Innovator S&P 500 Ultra Buffer ETF (UOCT) and Innovator S&P 500 Ultra Buffer ETF (UJUL) | |||
| Nasdaq 7HANDL Index ETF (HNDL) | |||
| PPTY-U.S. Diversified Real Estate ETF (PPTY) | |||
| Salt High truBeta™ US Market ETF (SLT) | |||
| WisdomTree Emerging Markets Multifactor Fund (EMMF) | |||
| ETF Suite of the Year | Ark Invest ETFs | Ark Invest ETFs | |
| DWS' Xtrackers ESG ETF suite | |||
| Global X Suite of Thematic Growth ETFs | |||
| IndexIQ's Alternative ETF Suite | |||
| Invesco's Smart Beta ETF Suite | |||
| WisdomTree’s Rising Rates Solutions Suite | |||
| ETF Newcomer | Aberdeen Standard Investments | Salt Financial | |
| Amplify ETFs | |||
| Impact Shares | |||
| Innovator Capital | |||
| PGIM Investments | |||
| Salt Financial | |||
| ETF Provider | Ark Invest | Charles Schwab | |
| Charles Schwab | |||
| IndexIQ | |||
| Innovator Capital | |||
| J.P. Morgan Asset Management | |||
| Salt Financial | |||
| WisdomTree Investments | |||
| ETF Innovation | ARK Genomic Revolution ETF (ARKG) | ARK Genomic Revolution ETF (ARKG) | |
| Global X MLP & Energy Infrastructure ETF (MLPX) | |||
| Nationwide Maximum Diversification U.S. Core Equity ETF (MXDU) | |||
| PPTY-U.S. Diversified Real Estate ETF (PPTY) | |||
| Salt High truBeta™ US Market ETF (SLT) | |||
| Vesper U.S. Large Cap Short-Term Reversal Strategy ETF (UTRN) | |||
| WisdomTree Interest Rate Hedged High Yield Bond Fund (HYZD) |
2019 JUDGING PANEL
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Biography
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SPONSORSHIP & ATTENDANCE
Sponsoring the Mutual Fund Industry and ETF Awards gives you a unique opportunity to: get in front of the top investment management firms and professionals in the mutual fund and ETF markets.
Please contact Pierre Aghabala for more information about the sponsorship opportunities at the 2019 Mutual Fund Industry and ETF awards as well as all the various attendance options;
Pierre Aghabala
Commercial Manager
Email: p.aghabala@pageantmedia.com
UK: + 44 207 832 6599
US: +1 646-931-9048
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CATEGORIES
Awarded to the fund group which has most successfully promoted its subject matter experts using engaging content delivered through the likes of blogs, white papers, thought leadership, panels and social media postings.
Awarded to the fund group which has delivered the top podcast of the year, with judges scoring based on the consistent quality of content, reach and delivery of business goals for the firm.
Awarded to the best advertising effort across outdoor advertising, can include billboards, street furniture and transport advertising
Awarded to the best advertising effort utilizing video and digital tools to achieve maximum impact, with judges scoring based on success, innovation and strength of message.
This award recognizes a firm that has shown itself to be a leader in social media via observations, insights and engagement with clients and the general public.
Awarded to the most innovative and attention-grabbing advertising effort, utilizing a range of different mediums to achieve its goals.
This award recognizes notable achievements that mark a departure from industry norms in areas such as product development, investment strategy, distribution, marketing campaigns and educational initiatives.
Awarded to the M&A deal of 2018 that most changed the landscape of the fund or retirement industry.
This award recognizes potential in the enterprising incoming class of independent fund directors. The winner has shown strong leadership and initiative in his or her first five years in the boardroom.
The smart-beta ETF award is given to the most successful smart-beta ETF as determined by a combination of several factors, including flows, performance and innovation. ETFs launched by Jan. 1, 2018 are eligible for entry.
The smart-beta ETF award is given to the most successful smart-beta ETF as determined by a combination of several factors, including flows, performance and innovation. ETFs launched on or after Jan. 1, 2018 are eligible for entry.
The active ETF award is given to the most successful active ETF as determined by a combination of several factors, including flows, performance and innovation. The ETF must be considered active by the Securities and Exchange Commission to qualify. ETFs launched by Jan. 1, 2018 are eligible for entry.
The active ETF award is given to the most successful active ETF as determined by a combination of several factors, including flows, performance and innovation. The ETF must be considered active by the Securities and Exchange Commission to qualify. ETFs launched on or after Jan. 1, 2018 are eligible for entry.
The ESG/Impact ETF award is given to the most successful ETF focused on issues related to environmental, social and governance factors or specific ESG objectives. Success is determined by a combination of several factors, such as flows, performance and innovation. ETFs launched by Jan. 1, 2018 are eligible for entry.
The ESG/Impact ETF award is given to the most successful ETF focused on issues related to environmental, social and governance factors or specific ESG objectives. Success is determined by a combination of several factors, such as flows, performance and innovation. ETFs launched on or after Jan. 1, 2018 are eligible for entry.
The Thematic ETF award is given to the most successful ETF developed around a specific idea, trend or investment theme. Success is determined by a combination of several factors, including flows, performance and innovation. ETFs launched by Jan. 1, 2018 are eligible for entry.
The Thematic ETF award is given to the most successful ETF developed around a specific idea, trend or investment theme. Success is determined by a combination of several factors, including flows, performance and innovation. ETFs launched on or after Jan. 1, 2018 are eligible for entry.
The Sales Success – ETFs award is given to an individual fund or line of funds that, whether through performance, sales strategy or a combination of both, achieved a dramatic increase or high level of flows. ETFs launched on or after Jan. 1, 2018 are eligible for entry.
The Alternative ETF award is given to the most successful ETF providing exposure to non-traditional investments, such as real estate, commodities and liquid alternatives. Success is determined by a combination of several factors, such as flows, fund objectives and innovation. ETFs launched by Jan. 1, 2018 are eligible for entry.
The Alternative ETF award is given to the most successful ETF providing exposure to non-traditional investments, such as real estate, commodities and liquid alternatives. Success is determined by a combination of several factors, such as flows, fund objectives and innovation. ETFs launched on or after Jan. 1, 2018 are eligible for entry.
The ETF of the Year award is given to the most successful ETF as determined by a combination of several elements, such as flows, performance, innovation and fund objectives. ETFs launched by Jan. 1, 2018 are eligible for entry.
The ETF of the Year award is given to the most successful ETF as determined by a combination of several elements, such as flows, performance, innovation and fund objectives. ETFs launched on or after Jan. 1, 2018 are eligible for entry.
The Top ETF Suite award is given to the most successful suite of ETFs as determined by a combination of several elements, such as flows, performance, innovation and fund objectives. Most of the ETFs in the suite should have been launched by Jan. 1, 2018 to be eligible for entry.
The ETF Newcomer award is given to the most successful ETF launched in 2018 as determined by a combination of several elements, such as flows, performance, innovation and fund objectives. ETFs launched in 2018 are eligible for entry.
The ETF Innovation award is given to the most successful ETF focused on a novel strategy or approach to the market. Success is determined by a combination of several elements, such as flows, performance, fund objectives and innovation. ETFs launched by Jan. 1, 2018 are eligible for entry.
Each year, Fund Action and Fund Directions scouts the market for up-and-comers who have made significant strides early in their careers and shown significant potential based on the following criteria:
• Leadership in their profession, firm and/or industry
• Outstanding contributions to innovations, product development, client service, sales and/or growth in assets or returns
• Recognition by the firm and/or industry groups
• Active contribution to the broader mutual fund community
• Spending fewer than 15 years working in the mutual fund industry
• Other quantifiable contributions to profession, firm, clients and/or industry
*Not open to entries.
The Mutual Fund Industry Awards honors outstanding members of the investment management community for their cumulative contributions to the industry by welcoming them into the prestigious Hall of Fame.
Candidates include firms that have received THREE or more Mutual Fund Industry Awards, and Individuals who have taken home at least TWO awards. These can include multiple wins in the same category, or winning two different awards.
