Fund Industry Intelligence

Awards

Guest Presenter
Tyler Mathisen
"Power Lunch" Co-Anchor, CNBC

For the past 20 years, the highly-coveted Mutual Fund Industry Awards have recognized the people and organizations that stood-out for their excellence, achievements and contributions to the mutual fund industry.

Nominees and winners for these annual awards are selected by the editors of Institutional Investor’s Fund Industry Intelligence and Fund Director Intelligence – the leading sources or intelligence for the U.S. mutual fund industry – based on their extensive industry-wide due diligence. The editors draw on market intelligence as well as consider input from the industry garnered through an annual call for nominations when making their selections.

Each year the awards also honor the Rising Stars of Mutual Funds - up-and-comers whose accomplishments in, and contributions to the industry make them stand out among their peers and position them as future leaders.

NEW THIS YEAR! In celebration of the Awards’ 20th Anniversary, Institutional Investor will induct ten fund firms into its Mutual Fund Industry Awards Hall of Fame for having won three or more awards during the past 20 years.

All of this year’s nominees will be honored and winners will be announced and awarded on April 25, 2013 at the 20th Anniversary Mutual Fund Industry Awards dinner and ceremony taking place at the Mandarin Oriental in NYC.

We hope you’ll join us for this fun and meaningful night of networking and celebration!

Hancock's Hartstein Named Lifetime Achievement Winner

Keith Hartstein, former president and ceo of John Hancock Funds, will be honored with a lifetime achievement award at Fund Industry Intelligence’s 20th Annual Mutual Fund Industry Awards at New York’s Mandarin Oriental on April 25. Read More
Fund Leader Of The Year

Jim Ross, president and director at State Street Global Advisors Fund Management, was named Fund Leader Of The Year by FII at the 20th annual Mutual Fund Industry Awards hosted at the Mandarin Oriental in New York City. Read More
Retirement Leader of the Year

Prudential was quick to see that 2012 would be a banner year for pension transfers and sped to the forefront to capitalize on trend changes in the U.S. Read More
Deal Of The Year

MassMutual’s purchase of The Hartford’s retirement business was transformational for the firm and a huge deal for the retirement industry in 2012. Read More
Sales Success Of The Year

The PIMCO Total Return ETF dominated the actively managed exchange-traded fund landscape in 2012. Read More
Ad Campaign Of The Year

MassMutual hit the mark with its “Who Matters Most” advertising campaign, looking to reach those who could benefit from the firm’s retirement products. Read More
Fund Marketer Of The Year

Virtus Investment Partners saw its mutual fund sales increase by 30% and net inflows by 27% year-over-year, largely thanks to Cerutti's focus on marketing to intermediaries in 2012. Read More
Frischling To Be Honored For 45 Years In Fund Industry

Carl Frischling, who retired from the Invesco Funds board on Dec. 31 after 35 years, has been named this year's Lifetime Achievement Award winner. Read More
Trustee of the Year

Vroegop led efforts to unify the Met Investors Series Trust and MetLife Series Trust into a single entity with a board overseeing 88 sub-advised portfolios with assets of more than $130 billion. Read More
Small Board Trustee of the Year

Lambeth led the board through a comprehensive two-year process to substantially reconfigure the fund family it oversees, an exercise that included rebranding BB&T Funds as Sterling Capital Funds after parent BB&T Corp. merged subsidiaries BB&T Asset Management and Sterling Capital Management in 2010. Read More
Independent Counsel of the Year

Pike and Dykstra worked closely with the Denver board of OppenheimerFunds throughout the advisor’s 2012 acquisition of SteelPath Capital Management and SteelPath Fund Advisors. Read More

Hancock's Hartstein Named Lifetime Achievement Winner

Keith Hartstein, former president and ceo of John Hancock Funds, will be honored with a lifetime achievement award at Fund Industry Intelligence’s 20th Annual Mutual Fund Industry Awards at New York’s Mandarin Oriental on April 25. Read More
Fund Leader Of The Year Nominees

The Fund Leader of the Year is awarded to an individual who has made a key impact on their firm or the industry as a whole, through either an innovative concept, directive or product that changes the industry or helps their firm grow. Read More
Retirement Leader Of The Year Nominees

Retirement Leader of the Year is awarded to a firm that has made a key impact on growing retirement assets with unique retirement solutions, marketing campaigns and significant contributions to the retirement industry at large. Read More
Deal Of The Year Nominees

Deal Of The Year is awarded to the M&A deal of 2012 that most affects the fund or retirement industry. Read More
Ad Campaign Of The Year Nominees

Ad Campaign Of The Year is awarded to the most innovative and attention-grabbing advertising effort by a fund industry player. Read More
Fund Marketer Of The Year Nominees

The Fund Marketer Of The Year award goes to individuals who have led innovative campaigns and/or strategies at their firms that have contributed to measurable improvements in areas such as inflows, investor perceptions and market share. Read More
Sales Success Of The Year Nominees

Sales Success Of The Year is awarded to an individual fund or line of funds that, whether through performance or sales strategy or a combination of both, has registered a dramatic increase in flows. Read More
Frischling To Be Honored For 45 Years In Fund Industry

Carl Frischling, who retired from the Invesco Funds board on Dec. 31 after 35 years, has been named this year's Lifetime Achievement Award winner. Read More
Trustee Of The Year Nominees

The following nominees were selected based on their accomplishments during the 2012 calendar year. They and Carl Frischling, who will receive the Lifetime Achievement Award, will be honored - and winners in each category announced - at the 20th Annual Mutual Fund Industry Awards ceremony on Thursday, April 25, at... Read More
Independent Counsel Of The Year Nominees

The following nominees were selected based on their accomplishments during the 2012 calendar year. They and Carl Frischling, who will receive the Lifetime Achievement Award, will be honored - and winners in each category announced - at the 20th Annual Mutual Fund Industry Awards ceremony on Thursday, April 25, at... Read More
Small Board Trustee Of The Year Nominees

The following nominees were selected based on their accomplishments during the 2012 calendar year. They and Carl Frischling, who will receive the Lifetime Achievement Award, will be honored - and winners in each category announced - at the 20th Annual Mutual Fund Industry Awards ceremony on Thursday, April 25, at... Read More

Fund Industry Intelligence Awards Criteria

Fund Industry Intelligence's Lifetime Achievement Award

Fund Industry Intelligence's Lifetime Achievement Award is presented annually to an individual who, over the course of their career, has been a driving force behind positive changes in the fund industry. Past winners include industry icons Jack Bogle of Vanguard and MFS' Robert Pozen. Last year's recipient was Prudential Investments' Judy Rice.

Fund Leader of the Year

The Fund Leader of the Year is awarded to an individual who was the driving force behind a product or initiative that helped propel his\her firm forward and\or had a meaningful impact on the industry as a whole.

Fund Marketer of the Year

The Fund Marketer of the Year award goes to individuals who have led innovative campaigns and/or strategies at their firms that have contributed to measurable improvements in areas such as inflows, investor perceptions and market share.

Retirement Leader of the Year

Retirement Leader of the Year is awarded to a firm that has made a key impact on growing retirement assets with unique retirement solutions, marketing campaigns and significant contributions to the retirement industry at large.

Deal of the Year

Deal of the Year is awarded to the M&A deal of 2012 that most affects the fund or retirement industry.

Sales Success of the Year

Sales Success of the Year is awarded to an individual fund or line of funds that, whether through performance or sales strategy or a combination of both, has registered a dramatic increase in flows.

Ad Campaign of the Year

Ad Campaign of the Year is awarded to the most innovative and attention-grabbing advertising effort by a fund industry player.

Fund Director Intelligence Awards Criteria

Fund Director Intelligence' Lifetime Achievement Award

Fund Director Intelligence's Lifetime Achievement Award recognizes an individual, who over the course of his or her career has been a driving force behind positive changes and developments to the role and responsibilities of fund boards of directors—either from within the boardroom or from outside. Past winners include Andrew “Buddy” Donohue, the former director of the Securities and Exchange Commission's Division of Investment Management, and James Bodurtha, independent director of BlackRock Funds. Last year’s winners were the former directors of Yacktman Funds.

Trustee of the Year

Trustee of the Year recognizes a director for outstanding accomplishments in the previous year, either with their own board or for the mutual fund industry in general. Past winners have led their boards on important issues such as fund mergers, fees, regulation and director education outside the boardroom.

Small Board Trustee of the Year

Small Board Trustee of the Year recognizes a director who serves on boards that oversee under $20 billion in assets. The category recognizes a director for outstanding accomplishments in the previous year, either with their own board or for the mutual fund industry in general. Past winners have led their boards on important issues such as fund mergers, fees, regulation and director education outside the boardroom.

Independent Counsel of the Year

Independent Counsel of the Year is presented to a lawyer for outstanding representation of independent directors during the previous 12 months. Nominees are seen as knowledgeable, trustworthy, accessible and/or proactive.

Rising Stars of Mutual Funds

The Rising Stars of Mutual Funds are up-and-comers whose accomplishments in, and contributions to their firms and\or to the industry make them standout among their peers and position them as future leaders. Stars may hold any position in any type of firm, and should meet some or all of 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
* Formal recognition by their firm and/or industry groups
* Active contributor to the broader mutual fund community
* Has spent fewer than 20 years working in the mutual fund industry
* Other quantifiable contributions to their profession, firm, clients and/or industry

In celebration of the 20th Anniversary Mutual Fund Industry Awards, Institutional Investor has inducted ten fund firms into the Hall of Fame for having won three or more awards during the past 20 years.

Our inaugural inductees will be awarded at the dinner and ceremony on April 25th, 2013 at the Mandarin Oriental in NYC.

New inductees will be announced as they cross the three-win threshold and will be awarded at the annual dinner and ceremony.

HALL OF FAME INDUCTEES

BlackRock
Eaton Vance
Fidelity Investments
JPMorgan Funds
Neuberger Berman

OppenheimerFunds
Prudential Investments
Putnam Investments
T. Rowe Price
Vanguard Group

Click here for editorial coverage on the Hall of Fame

Thursday, April 25, 2013

Venue
Mandarin Oriental
80 Columbus Circle at 60th Street
New York, New York 10023, USA
T: +1 (212) 805 8800
www.mandarinoriental.com/newyork/

A limited number of rooms at the Mandarin Oriental are available to guests at a discounted rate of $695. This rate will expire on April 1st. To make your reservation, please call (866) 801-8880 (press #3 for planned events) and request the group rate for the Mutual Funds Industry Awards.

Evening Agenda
6:00 p.m. - 7:00 p.m.: Registration and Cocktail Reception (Ballroom, 36th Floor)
7:00 p.m. - 9:30 p.m.: Dinner and Awards Ceremony (Ballroom, 36th Floor)

Dress Code
This year, in celebration of our 20^th anniversary, we’d like to have a bit more fun with the dress code. While sticking with black-tie optional, we want to encourage guests who are inclined to call on styles of ‘days gone by’. Roaring 20s, Great Gatsby, prohibition, the 50s, 60’s, Madmen….you get the idea.

Car Services: (servicing the New York City area)

XYZ Executive Luxury Sedan Service - Tel: 718-768-7333

Carmel Car & Limousine Service - Tel: 212-666-6666

Dial 7 Car & Limousine Service - Tel: 212-777-7777

Hotels:

Hudson Hotel
356 West 58th Street (0.3 miles)
212-554-6000
www.hudsonhotel.com

The Pierre
2 East 61st Street at Fifth Avenue (0.3 miles)
212-838-8000
www.tajhotels.com/Luxury/Grand-Palaces-And-Iconic-Hotels/The-Pierre-New-York/Overview.html

The Empire Hotel
44 West 63rd Street (0.3 miles)
212-265-7400
www.empirehotelnyc.com

Jumeirah Essex House
160 Central Park South (0.5 miles)
212-247-0300
www.jumeirah.com

Ritz Carlton, Central Park
50 Central Park South (0.6 miles)
212-308-9100
www.ritzcarlton.com

Le Parker Meridien
119 West 56 Street (0.7 miles)
212-245-5000
www.parkermeridien.com

Sheraton New York Hotel & Towers
811 7th Avenue (0.8 miles)
212-581-1000
www.StarwoodHotels.com/Sheraton

The Helmsley, Park Lane
36 Central Park South (0.8 miles)
212-371-4000
www.helmsleyhotels.com

Warwick Hotel
65 West 54th Street (0.9 miles)
212-247-2700
www.warwickhotelny.com

Shoreham
33 W. 55th St (0.9 miles)
877-847-4444
www.shorehamhotel.com

Chambers Hotel
15 West 56 Street (0.9 miles)
212-974-5656
www.chambershotel.com

Hilton New York Hotel
1335 Avenue of the Americas (0.9 miles)
212-586-7000
www.newyorkhiltonhotel.com

If you are attending the awards dinner and have special dietary requirements, please email them to myesenosky@institutionalinvestor.com no later than April 15th. Please note that you will not need to bring an invitation with you to the dinner.

If you have questions regarding the awards dinner and ceremony, please contact Tracey Redmond at 212-224-3239 or tredmond@iinews.com.

2013 Rising Stars of Mutual Funds

Every year, as FII scouts the market for nominees for its Mutual Fund Industry Awards, it also seeks out up-and-comers who are making significant progress. This year, FII, with the industry’s help, has identified 12 self-starters who have made great strides to further the development of their company or institution and made a difference in the industry as a whole. The following individuals were nominated by their mentors, peers and others in the industry, with additional research and determination of the final list made by FII based on all or some of the following criteria:

Leadership in 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 10 years working in the mutual fund industry;
Other quantifiable contributions to profession, firm, clients and/or industry.

This year’s winners are below.

Awards Dinner and Ceremony Sponsor:

Cocktail Reception Sponsor:

Exclusive Rising Stars of Mutual Funds Sponsor:

Red Carpet Sponsor:

Exclusive Premium Chocolate Sponsor:

Table Sponsors:

For information on attending or sponsoring the 2013 awards dinner, please contact:

Patricia Bertucci
Associate Publisher
212-224-3890
pbertucci@iiintellligence.com

Awards

Instutional Investor 20th Anniversary Mutual Fund Industry Awards - Images by Jeffrey Holmes

EXPECT MIRACLES AWARDS

Sponsored by

At this years awards dinner, our charity partner of seven years, the Expect Miracles Foundation - Financial Services Against Cancer, will present their 4th Annual Expect Miracles Awards. The Expect Miracles Awards, sponsored by American Century Investments, are presented to individuals and firms within the financial community who have demonstrated outstanding support, commitment and dedication to the fight against cancer.

The Nomination form can be found at: http://www.expectmiraclesfoundation.org/4th-annual-expect-miracles-awards
Nominations must be submitted by Monday, February 25, 2013

Categories of recognition include:

Corporate Commitment Award: Recognizes a firm that has demonstrated a strong organizational commitment to the fight against cancer by furthering cancer awareness or contributing significant funds to a cancer related cause.
Miracle Maker Leadership Award: Recognizes an individual at an executive or board level who has demonstrated long-standing personal leadership in cancer advocacy.
Inspirational Contributor Award: Recognizes an individual whose personal efforts helped to ensure the success of a cancer-related project, event, or fundraising initiative in 2012.

A sample of past award recipients includes: CIBC, Huntington Bank, Eaton Vance Corp., The Haas Group at Merrill Lynch, Stephen J. Czech of Czech Asset Management L.P. and the Mikey Czech Foundation, Dee Dee Ricks of Ricks Consulting Group, Inc., John London of Suttonbrook Capital Management and Solving Kids Cancer, and Robert Jones of Bluff Point Associates.

For more information, contact: Executive Director, Christina E. Thirkell at: cthirkell@expectmiraclesfoundation.org

About Expect Miracles Foundation:
Expect Miracles Foundation, formerly Mutual Funds Against Cancer, is one of the leading advocates in the fight against cancer within the financial services industry. Proceeds benefit cancer patient care initiatives nation-wide and cutting-edge cancer research at the Belfer Institute for Applied Cancer Science at Dana-Farber Cancer Institute. To learn more, visit: www.ExpectMiraclesFoundation.org.

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