Awards and Recognition

NAPA Young Guns Top Plan Advisors Under 40 – 2016, 2018 & 2020

Kelli Davis, an independent financial advisory at CSi Advisory Services, LLC has been recognized as a 2016, 2018 and 2020 Top Retirement Plan Advisory under 40 by NAPA Net, the editorial arm of NAPA.

Nominations from the list were provided by NAPA Broker-Dealer/RIA Firm Partners. Nominees had to be retirement plan advisors with their own book of business, and had to be less than 40 years of age. Nominees are required to submit responses to an application comprised of a series of quantitative and qualitative questions about their experience, size and composition of their practice, awards and recognitions, and industry contributions, which were then reviewed by a panel of senior advisor industry experts, who, based on those criteria, and following a broker-check review, selected the top young advisors. In 2019, 684 nominations were received, and from that 292 completed an application. From that 100 winners were selected. 

 

In 2018, 588 nominations were received.  75 were ultimately selected. (born after January 1, 1977.) 
 

In 2016, 515 nominations were received.  50 were ultimately selected. (born after January 1, 1977.) 


This award is not indicative of the advisor’s future performance. A fee was not paid by the advisor or advisor’s parent company for this award.

Top 100 Retirement Plan Advisers – 2017, 2018 & 2020

CSi Advisory Services, LLC is please to announce it has been named one of the 2020 PLANADVISER Top 100 Retirement Plan Advisers.

 

The “PLANADVISER Top 100 Retirement Plan Advisers” 2020 list is compiled from responses to the PLANADVISER Retirement Plan Adviser Survey. The list is drawn solely from a set of quantitative variables and information in the survey supplied by the advisers themselves. For an adviser to be eligible for recognition in this year’s Top 100, s/he had to submit a completed entry to our 2020 Retirement Plan Adviser Survey, which was fielded this past September.
 
The Top 100 Retirement Plan Advisers is segmented into four groups  based on the number of advisers and number of total employees including support staff:  individual adviser, meaning one adviser with support staff;  small team, a group of two or more advisers  and support staff, the total not exceeding 10;  large team, a group  of 11  to 35  advisers and support staff; and mega teams, 36  or more team members. To qualify for a particular segment, individuals needed to advise a minimum  of 110 plans or $900 million in retirement plan AUA; small teams had to advise at least $1.8 billion in retirement plan assets or 130 plans; large teams needed $4  billion or more in retirement plan AUA or 175 or more plans; and mega teams had to oversee at least $12 billion in retirement plan AUA or 250 plans.

In 2019, 684 nominations were received, and from that 292 were named to the list. The rating is not indicative of the investment adviser's future performance; and a fee was not paid to participate in the survey.

In 2017, 341 survey responses were collected for the PLANADVISER Retirement Plan Adviser Survey, from which the list is generated. Of those, 100 (29%) were named to the list.

In 2016, 325 survey responses were collected for the PLANADVSIER Retirement Plan Adviser Survey, from which the list is generated. Of those, 100 were named to the list.


This award is not indicative of the advisor’s future performance. A fee was not paid by the advisor or advisor’s parent company for this award.

Top DC Advisor Teams – 2017 - 2019

CSi Advisory Services, LLC was recognized as a 2019 Top DC Advisor Team.

Established in 2017, nominees had to be individual advisor team/offices with a defined contribution book of business. To be considered, firms had to submit responses to an application form, including information about their practices, notably their defined contribution (DC) assets under advisement. The list is created and conducted by the National Association of Plan Advisors, an affiliate organization of the American Retirement Association, a non-profit association. No fee is charged to participate. The rating is not indicative of the nominee’s future performance. Teams are ranked by assets under advisement, self-reported by advisor firm/teams. Approximately 282 submissions were received and 265 were selected.

In 2018, approximately 279 submissions were received and 257 were selected.

In 2017, approximately 300 submissions were received and 275 were selected.

The list is created and conducted by the National Association of Plan Advisors, an affiliate organization of the American Retirement Association, a non-profit association.  No fee is charged to participate.  The rating is not indicative of the nominee’s future performance.

This award is not indicative of the advisor’s future performance. A fee was not paid by the advisor or advisor’s parent company for this award.

Top DC Women Advisor - Captain - 2017-2019

Kristi Baker was selected by the National Association of Plan Advisors (NAPA) as a 2019 Top Woman Advisor for the 3rd year in a row.

 

Established in 2015, nominations from the list were provided by NAPA Broker-Dealer/RIA Firm Partners.  Nominees had to be women, had to be retirement plan advisors with their own book of business.  Nominees were required to submit responses to an application comprised of a series of quantitative and qualitative questions about their experience, size and composition of their practice, awards and recognitions, and industry contributions, which were then reviewed by a panel of senior advisor industry experts, who, based on those criteria, and following a broker-check review, selected the top women advisors.
Within the group of top women advisors, those who were principals, owners or team captains of their organizations were designated as “Captains.”


The list is created and conducted by the National Association of Plan Advisors, an affiliate organization of the American Retirement Association, a non-profit association.  No fee is charged to participate.  The rating is not indicative of the nominee’s future performance.

 

In 2019, 502 nominations were received, and 209 were considered.  50 Captains, 50 All-Stars, and 19 Rising Stars were selected.
 

In 2018, about 500 nominations were received and 221 were considered. 50 Captains, 50 All-Stars and 15 Rising Stars were selected.

 

In 2017, 587 nominations were received and 201 were considered.  50 Captains, 50 All-Stars and 10 Rising Stars were selected.


This award is not indicative of the advisor’s future performance. A fee was not paid by the advisor or advisor’s parent company for this award.

April Top Advisor by Participant Outcomes (TAPO)

Kristi Baker & Kelli Davis were recognized by 401(k) Specialist as the April Top Advisor by Participant Outcomes (TAPO).

Established in 2017, nominees are review by The 401(b) Established in 2017, nominees are reviewed by The 401(k) Specialist editorial team will select and profile a Top Advisor by Participant Outcomes (TAPO) each month, a 401(k) advisor who proves their knowledge, innovation and exceptional achievements specifically in the area of Participant Outcomes, and someone who will then share their knowledge with our advisor audience.  


This award is created and conducted by 401(k) Specialist.  This award is not indicative of the advisor’s future performance.  A fee was not paid by the advisor or the advisor’s parent company for this award.

 

This award is not indicative of the advisor’s future performance. A fee was not paid by the advisor or advisor’s parent company for this award.

WiPN Leadership Fellow

Kelli Davis has been named as a 2019 Women in Pensions Network (WiPN) Leadership Fellow. This opportunity was open to all WiPN members and winners were selected using the following criteria: 
 

  • High achiever having substantial organizational impact

  • Senior level manager ready to take her career to the next level 

  • Advisor or TPA business owner with a proven track record of accomplishment

This award is not indicative of the advisor’s future performance. A fee was not paid by the advisor or advisor’s parent company for this award.

Five Star Wealth Manager Award – 2012 to 2019

Kristi Baker (for the 8th year in a row) and Kelli Davis were named a Five Star Wealth Manager for 2019. The Five Star Wealth Manager Award is given annually to wealth mangers who satisfy 10 objective evaluation and eligibility criteria associated with providing excellent service.

The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria. Eligibility criteria – required: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Actively licensed as a registered investment adviser or as a principal of a registered investment adviser firm for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by Five Star Professional, the wealth manager has not; A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. Had more than a total of three settled or pending complaints filed against them and/or a total of five settled, pending, dismissed or denied complaints with any regulatory authority or Five Star Professional’s consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional’s consumer complaint process; feedback may not be representative of any one client’s experience; C. Individually contributed to a financial settlement of a customer complaint; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients. Evaluation criteria – considered: 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. Award does not evaluate quality of services provided to clients. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The Five Star award is not indicative of the wealth manager’s future performance. Wealth managers may or may not use discretion in their practice and therefore may not manage their client’s assets. The inclusion of a wealth manager on the Five Star Wealth Manager list should not be construed as an endorsement of the wealth manager by Five Star Professional or this publication. Working with a Five Star Wealth Manager or any wealth manager is no guarantee as to future investment success, nor is there any guarantee that the selected wealth managers will be awarded this accomplishment by Five Star Professional in the future. 1,659 Indianapolis area wealth managers were considered for the award; 153 (9 percent of candidates) were named 2019 Five Star Wealth Managers. 2018: 1,588 considered, 149 winners; 2017: 1,164 considered, 182 winners; 2016: 1,083 considered, 332 winners; 2015: 1,743 considered, 348 winners; 2014: 2,009 considered, 360 winners; 2013: 1,624 considered, 413 winners; 2012: 1,375 considered, 387 winners. 

This award is not indicative of the advior's future performance. A fee was not paid by the advisor or advisor's parent company for this award. 

Top Retirement Plan Advisers – 2016 to 2019

In 2019, Kristi Baker & Kelli Davis were each individual selected as one of the Financial Times 401 Top Retirement Plan Advisers. 

The Financial Times 401 Top Retirement Advisors is an independent listing produced annually by the Financial Times (October 2019). The FT 401 is based on data gathered from advisors, regulatory disclosures, and the FT’s research. The listing reflects each advisor’s status in six primary areas: DC plan assets under management (AUM), DC AUM growth rate, specialization in DC plans, years of experience, advanced industry credentials and compliance record. This honor is not indicative of the advisor’s future performance. Neither the advisors nor their parent firms pay a fee to the Financial Times in exchange for inclusion in the FT 401. 

 

In 2018, Kristi was selected as one of the Financial Times 401 Top Retirement Advisors is an independent listing produced annually by the Financial Times (September 2018). The FT 401 is based on data gathered from advisors, regulatory disclosures, and the FT’s research. The listing reflects each advisor’s status in six primary areas: DC plan assets under management, DC plan growth rate, specialization in DC plans, years of experience, advanced industry credentials, and compliance record. Out of 678 applications; about 59% of which (401) received the award. 

In 2017, Kristi was selected as one of the Financial Times 401 Top Retirement Plan Advisors is an independent listing produced annually by the Financial Times (September 2017). The FT 401 is based on data gathered from advisors, regulatory disclosures, and the FT’s research. The listing reflects each advisor’s status in seven primary areas: DC plan assets under management (AUM), DC AUM growth rate, specialization in DC plans, years of experience, advanced industry credentials, compliance record and DC plan participation rate. This honor is not indicative of the advisor’s future performance. Neither the advisors nor their parent firms pay a fee to the Financial Times in exchange for inclusion in the FT 401. For the 2017 FT 401 ranking, the FT received about 550 applications. Only advisors who complete an application can be considered for the ranking. Please also note, only advisors who meet a minimum set of criteria are invited to apply: manage at least $50 million in assets under management in DC plans (as of 12/31/16); and have DC plan assets account for at least 20% of total AUM. 401 advisors are selected to the list, which is approximately 73% of applicants.

In 2016, Kristi was selected as one of the Financial Times 401 Top Retirement Plan Advisors is an independent listing produced by the Financial Times (September 2016). To qualify as a candidate for the FT 401, an advisor must: manage at least $75 million in assets under management in DC plans; and have DC plan assets account for at least 20% of total AUM. Once an advisor applies, The Financial Times score search applicant on seven different factors to arrive at the final list. Those factors are: DC assets under management (AUM); Growth in DC plan business; Specialization in DC business; Years of experience; Industry certifications; Participation rate in DC plans; Compliance record. The FT 401 is based on data gathered from financial advisors, regulatory disclosures, and the FT’s research. The FT 401 ranking highlights the top defined contribution (DC) plan advisors across the U.S. In 2016, The Financial Times had over 540 pre-qualified advisors apply; 401 (74%) were named to the final list. This award does not evaluate the quality of services provided to clients and is not indicative of this advisor’s future performance. Neither the advisors nor their parent firms pay a fee to Financial Times in exchange for inclusion in the FT 401. The FT 401 ranking is produced by the Financial Times and Ignites Research, a subsidiary of the FT.


This award is not indicative of the advisor’s future performance. A fee was not paid by the advisor or advisor’s parent company for this award.

900 East 96th Street, Suite 325

Indianapolis, IN 46240

Contact Us Directly:

Phone: (317) 844-3256

Email: info@csiadvisoryservices.com

LinkedIn Logo.png

Have a Question?

BrokerCheck_logo_big.png

Securities are offered through LPL Financial.  Member FINRA/SIPC.  Investment advisory services offered through CSi Advisory Services a registered investment advisor. CSi Advisory Services and LPL Financial are separate non-affiliated entities. 

The LPL Financial Registered Representatives associated with this site may only discuss and/or transact securities business with residents of the following states: IN, IL, DE, OH, KY, FL, NJ, PA, MD. ME. VA, NC, CO, MS, IA, LA, WY, OR, AL, MO, GA, CA, TN.