To be eligible for consideration, organizations must meet all of the following criteria:

• Must be in business a minimum of 1 year 

• Have a minimum of 15 employees in the United States (Please note: All employees in your company should be included in your employee count, not just your financial advising department).*

• Be a registered investment adviser (RIA), affiliated with (but not an employee of) an independent broker dealer (IBD), or a hybrid/dually-registered firm affiliated with an IBD and doing business through an RIA. (Please note: Firms should directly provide financial advice to households or organizations.)

*To ensure credibility, organizations having 15-24 employees must have an 80% or better response rate on the employee survey.

How to enter your organization

All organizations will participate in one of three ways:

1. As an individual organization possessing one Federal Employer Identification Number (FEIN).

2. As the parent/holding company of multiple organizations with one FEIN for all subsidiaries. The parent/holding company must register with all eligible employees working for that parent/holding company.

3. Subsidiaries of a parent/holding organization may register separately if each subsidiary organization possesses a separate FEIN. If the organization has multiple facilities, branches, factories, offices or stores, all locations must be included in the survey if they operate under the same FEIN.

Which employees to include

Include all current, full- and part-time United States employees in the survey process, from the CEO, partners, all the way to line-level employees, including remote employees. Remote employees are defined as employees that work from home or on the road who directly report to a supervisor in the United States.

Exclude all temporary, seasonal or per diem employees, PRN, 1099 employees/independent contractors, volunteers, interns, outside consultants or staffing employees placed by other organizations.

 

 

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