Awards

The 22nd Annual Mutual Fund Industry Awards


For the past 22 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.

All of this year's nominees will be honored and winners will be announced and awarded on March 26, 2015 at the 22nd Annual Mutual Fund Industry Awards dinner and ceremony taking place at the Mandarin Oriental in NYC.

We hope you'll join us for next year's fun and meaningful night of networking and celebration!

  • Morningstar's Phillips Named Lifetime Achievement Winner

    Don Phillips, former head of Morningstar's global research group, will be honored with a Lifetime Achievement Award at Fund Industry Intelligence's 21st Annual Mutual Fund Industry Awards at New York's Mandarin Oriental on March 27.   Read More

  • Fund Leader Of The Year

    George Aylward, president and ceo of Virtus Investment Partners, was awarded the coveted Fund Leader Of The Year award during FII’s Mutual Fund Industry Awards, held at New York City’s Mandarin Oriental on Thursday.   Read More

  • Fund Marketer Of The Year

    Shawn Alexander, head of Americas fund marketing at JPMorgan Funds, was named Fund Marketer Of The Year at FII’s 21st Annual Mutual Fund Industry Awards on Thursday.   Read More

  • Deal Of The Year

    RidgeWorth Capital Management’s management-led buyout was a smart, effective way for the firm to break away from SunTrust Banks and step on the path to becoming an independent asset manager focused on gathering outside assets.   Read More

  • Sales Success Of The Year

    WisdomTree Investments found a niche that really resonated with investors and advisors in 2013—the Japanese equity market.   Read More

  • Ad Campaign Of The Year

    ING U.S.’s “Orange Money” ad campaign creatively paired the pressing issue of retirement readiness with brand awareness, which helped boost the firm’s appeal.   Read More

  • Retirement Leader Of The Year

    JPMorgan Asset Management experienced strong growth in 2013 as it kept busy by working to improve its small- to mid-size plan offerings.   Read More

  • Stroock's Goldberg To Be Feted For Decades Of Work With Funds

    'Lion' Of The '40 Act Bar

    Joel Goldberg, who retired from Stroock & Stroock & Lavan on Dec. 31 after a decades-long career in the mutual fund industry, has been named this year's Fund Director Intelligence Lifetime Achievement Award recipient.   Read More

  • Trustee of the Year

    James Oates, independent chairman of John Hancock Funds, implemented a unique committee structure on his board in 2013 to more thoroughly oversee the 240 sub-advisers that manage the funds’ assets and instituted a process to continuously evaluate the fund complex—and take action when necessary.   Read More

  • Small Board Trustee of the Year

    John Brown and the board of Blackstone Alternative Investment Funds devoted countless hours in 2013 to preparation in advance of the launch of the $1.2 billion Blackstone Alternative Multi-Manager Fund, the private equity giant’s first daily valued alternatives fund for individual investors. It is innovative in its investment approach and...   Read More

  • Independent Counsel of the Year

    Brian McCabe and Gregory Sheehan, partners at Ropes & Gray in Boston, have advised the independent trustees of the Pax World Funds throughout the complicated process of open-ending the $64 million Pax MSCI EAFE ESG Index ETF, the first time such a transaction has been undertaken.   Read More

  • Morningstar's Phillips Named Lifetime Achievement Winner

    Don Phillips, former head of Morningstar's global research group, will be honored with a Lifetime Achievement Award at Fund Industry Intelligence's 21st Annual Mutual Fund Industry Awards at New York's Mandarin Oriental on March 27.   Read More

  • 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. And the nominees are...   Read More

  • Fund Marketer Of The Year

    The Fund Marketer of the Year award goes to an individual(s) 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. And the nominees are...   Read More

  • 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. And the nominees are...   Read More

  • 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. And the nominees are...   Read More

  • Deal Of The Year

    Deal of the Year is awarded to the M&A deal of 2013 that has most changed the landscape of the fund or retirement industries. And the nominees are...   Read More

  • 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. And the nominees are...   Read More

  • Stroock's Goldberg To Be Feted For Decades Of Work With Funds

    'Lion' Of The '40 Act Bar

    Joel Goldberg, who retired from Stroock & Stroock & Lavan on Dec. 31 after a decades-long career in the mutual fund industry, has been named this year's Fund Director Intelligence Lifetime Achievement Award recipient.   Read More

  • Trustee of the Year

    Trustee of the Year recognizes a director who serves on a board that oversees $20 billion or more in assets for his or her outstanding accomplishments in the calendar year, either with his or her own board or for the mutual fund industry in general.   Read More

  • Small Board Trustee of the Year

    Small Board Trustee of the Year recognize a director who serves on a board that oversees $20 billion or less in assets for his or her outstanding accomplishments in the calendar year, either with his or her own board or for the mutual fund industry in general.   Read More

  • Independent Counsel of the Year

    Independent Counsel of the Year is presented to a lawyer for outstanding representation of independent directors during the calendar year.   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 Jack Bogle of Vanguard, MFS' Robert Pozen and Prudential Investments' Judy Rice. Last year's recipient was John Hancock Funds' Keith Hartstein.


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 an individual(s) 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 2013 that has most changed the landscape of the fund or retirement industries.


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, Patricia Woolf from American Funds, and the former directors of Yacktman Funds. Last year’s winner was Carl Frischling of Invesco Funds.


Trustee of the Year

Trustee of the Year recognizes a director who serves on a board that oversees $20 billion or more in assets. The individual will be recognized for his or her outstanding accomplishments in the calendar year, either with his or her 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.


Small Board Trustee of the Year

Small Board Trustee of the Year recognize a director who serves on a board that oversees $20 billion or less in assets. The individual will be recognized for his or her outstanding accomplishments in the calendar year, either with his or her 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.


Independent Counsel of the Year

Independent Counsel of the Year is presented to a lawyer for outstanding representation of independent directors during the calendar year. Nominees are regarded 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 stand out 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
* No more than 10 years working in the mutual fund industry
* Other quantifiable contributions to their profession, firm, clients and/or industry


To be eligible for induction, a firm must have three or more award wins over the history of the awards. Awards won by individuals for contributions to their organizations will count toward the total of the firm by which they were employed at the time they received the award. The Hall Of Fame is a way to recognize continued excellence by firms and the stellar executives they employ.

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

2014 HALL OF FAME INDUCTEES

  • Franklin Templeton Investments
  • K&L Gates

  • MassMutual
  • PIMCO
Click here for editorial coverage on the Hall of Fame
2013 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, March 26, 2015

Venue

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

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:

    A block of rooms has been reserved at the Mandarin Oriental for dinner guests. To reserve a room, please call the reservations department at the hotel at 866-801-8880, press #3 for planned events, and reference the Institutional Investor room block for the March 27, 2014, event. Room rate is $795/night plus taxes, room charges and portage charges. This room block ends on Tuesday, February 25, 2014.

    While the Mandarin Oriental is the most convenient place to stay for the awards dinner, there are many other hotels within walking distance. Following are a few reputable options. You may also want to check www.expedia.com, www.hotels.com, or www.travelocity.com for hotel details, pricing specials and other hotels nearby. When booking online, however, please be aware that there may be restrictions or cancellation fees.

    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 christine.redinger@institutionalinvestor.com no later than March 10th. 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@institutionalinvestor.com.

    2014 Rising Stars of Mutual Funds

    Every year, as FII scouts the market for nominees for its mutual fund awards, it looks for up-and-comers who are making strides in the industry. This year, FII, with the industry’s help, has identified 13 self-starters who’ve risen quickly to further the development of their company or institution and/or advance the industry as a whole. The following individuals were nominated by their mentors, peers and colleagues, with additional research and determination of the final list made by FII based on 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:
      State Street
      Cocktail Reception Sponsor:
      BNY Mellon
      Exclusive Rising Stars of Mutual Funds Sponsor:
      Putnam Investments
      Red Carpet Sponsor:
      MFS Investment Management
      Exclusive Premium Chocolate Sponsor:
      MassMutual Financial Group
      Table Sponsors:

      KPMG
      Morningstar
      K&L Gates

      J.P. Morgan Asset Management
      Virtus Investment Partners
      Aberdeen Asset Management

      Sullivan & Worcester
      Ropes & Gray
      J.P. Morgan

      Stradley Ronon Stevens & Young, LLP
      AST Fund Solutions
      Advisers Investment Trust

      ING
      Allianz
      John Hancock

      PwC
      Dechert LLP
      Goldman Sachs Asset Management
      Goodwin Procter
      Franklin Templeton Investments
      Shearman & Sterling LLP
      Stroock & Stroock & Lavan LLP
      RidgeWorth Investments
      Willkie Farr & Gallagher LLP
      Wells Fargo Advantage Funds
      BlackRock
      Ivy Funds
      U.S. Bancorp Fund Services, LLC
      American Century Investments
      Bleakly Platt
      SPDR
      Kramer Levin
      Third Ave Management

      Supporting Sponsors:

      WisdomTree Asset Management

      For information on attending or sponsoring the 2014 awards dinner, please contact:

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



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      The annual High Water Women Backpack Drive helps thousands of children start the school year ready to learn. In 2013, we provided 10,000 children in need with fully-supplied backpacks made possible by hundreds of donors and volunteers. Demand for backpacks keeps growing and each year we are committed to increasing the number of backpacks we supply and to fulfilling the requests from every agency requesting backpacks from us.

      This year, Institutional Investor will be featuring the annual High Water Women Backpack Drive as their featured charity at this year’s awards dinners at the Mandarin Oriental Hotel in NYC.

      The Backpack Drive begins in April with fundraising outreach to dozens of individuals and corporate sponsors and culminates with backpack assembly events and distribution of backpacks to our program partners in August. Please make your donation today. Donate now

      Learn more about the Backpack Drive by watching this short video. Watch now

      It costs only $20 for each backpack filled with supplies including notebooks, folders, paper, markers, pens, pencils, pencil cases, dictionaries, scissors, erasers, and much more. With your support, we will fill all the requests for backpacks from our nonprofit partners who provide services to some of the neediest children in the New York metro area: Child Center of New York, Children's Storefront, DreamYard, Good Shepherd Services, Inwood House, Iris House, the Jubilee Center, Hoboken NJ, Newark Now, Partnership with Children, Inpirica, CT, The After School Corporation, The TEAK Fellowship, Women in Need, Young Women's Leadership Network, Jewish Childcare, The Children's Learning Center CT, Friends of the Children, Stanwich Congregation, Manhattan Christian Academy. We have also been providing backpacks to the children of Cambridge Family Services with generous donations from our Boston area supporters.

      Since beginning the drive in 2005, HWW has provided backpacks to more than 55,000 area school children.

      The High Water Women Foundation has been designated a 501(c) (3) organization by the Internal Revenue Service, which means that all contributions are tax deductible to the extent permitted by law.

      Congratulations to all of Institutional Investor's 2014 Award Winners.

      Sponsors

      2014 AWARD SPONSORS




      For information on attending or sponsoring the 2014 awards dinner, please contact:

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