The Worth Leading Wealth Advisor Program: All firms and advisors featured in the Worth Leading Wealth Advisors Program have submitted comprehensive questionnaires that Worth magazine used to evaluate their credentials, disciplinary history and business practices. The advisors included in the Worth Leading Wealth Advisors Program contribute toward the production cost of Worth magazine. Worth magazine utilizes services provided by Paladin Advisor Research in its review of the professionals featured in the Worth Leading Advisors Program. Paladin is an information services website that researches financial professionals for investors.
The Worth Leading Wealth Advisor admittance process is based on, but not limited to, the Advisor’s experience, education, certifications, fiduciary status, compliance record, wealth management services, methods of compensation and scope of current business. Worth does not represent that the financial professionals profiled in its magazine will produce superior results compared to professionals who are not profiled in the magazine and does not make any guarantees about one client’s experience. Financial professionals profiled in the magazine are not endorsed or recommended by Worth.
Forbes Top 50 Wealth Manager: RIA Database compiled the Top Advisor lists using data as reported March 31, 2013. The Top Advisor list ranked RIAs (registered investment advisors) based on total assets under management. Advisors qualified based on quantitative and qualitative factors. RIAs (registered investment advisors) qualified for the list if at least 50% of their clients include high net worth and/or non-high net worth individuals and conduct wealth management services including portfolio management services, asset allocation, manager selection and/or financial planning services. Firms that were dually registered with FINRA as a broker/dealer and firms where their primary business includes managing hedge funds or mutual funds were excluded. Firms affiliated with banks or broker/dealers were included. Firms with no or unreported assets under management as of March 31, 2011 were excluded from the lists. Selection as a Forbes Top 50 Wealth Manager is not necessarily indicative of any particular client’s experience or a guarantee that the firm will perform in the future as it did during the period evaluated by Forbes.
Forbes Top 100 Wealth Managers:
The Top 100 Wealth Manager list was compiled using data from RIA database. Candidate firms qualify based on both quantitative and qualitative criteria and are ranked by assets under management for year-end 2014, reported as of March 31, 2015. Members of the list must have managed at least 50% of their assets on behalf of retail clients, cannot run a broker-dealer (they can be affiliated with one), cannot be a bank (trust companies are permitted), and must be performing wealth management services. Firms cannot have had any regulatory, civil or criminal disclosures. Selection as a Forbes Top 100 Wealth Manager is not necessarily indicative of any particular client’s experience or a guarantee that the firm will perform in the future as it did during the period evaluated by Forbes.
The PAM Awards: The PAM Awards (“PAMA”) are awarded annually by Private Asset Management, a financial services industry trade publication. PAMA invites firms to compete for awards in several categories by providing answers regarding their business model, services offered, growth in client count and assets managed, countries of operation, service innovation, and performance. In addition, PAMA permits firms to provide additional information of their choosing in support of their candidacy. A panel of independent industry experts selects the nominees and winners based on a number of qualitative and quantitative performance indicators. PAMA does not release statistics on the number of firms competing. Nomination or receipt of a PAMA is not necessarily indicative of any particular client’s experience or a guarantee that the firm will perform in the future as it did during the period evaluated by PAMA. The PAM Awards were announced on February 7, 2012. They are sponsored by Private Asset Management magazine, a publication of Pageant Media.
Wealth Advisor Weekender: The list is ranked by assets under management and the number used to compile the ranking may or may not reflect the assets personally controlled by the individual advisor at that firm. To qualify for the ranking, an advisor must hold a client-facing role, and their firms must be retail-oriented. The firms must have some clients for whom they do financial planning and none may operate a broker/dealer, a bank or be affiliated with an investment company. Inclusion on this list is not an indication of any particular client’s satisfaction with the adviser or the firm. Past performance is not indicative of future results and inclusion on this list is not representative of any one client’s experience with an Adviser.
PLANADVISER Top 100 Adviser: The advisers listed are taken from entries for the 2013 & 2015 PLANSPONSOR Retirement Plan Adviser and Adviser Team of the Year awards. To enter the awards process, nominees must complete a form providing various details of their practice. The PLANADVISER Top 100 is based solely on quantitative factors. Advisors who are current PLANSPONSOR Retirement Professional designees receive an automatic nomination. Past performance is not indicative of future results and inclusion on this list is not representative of any one client’s experience with an Adviser.
Family Office Review Awards: Nomination Criteria: Nominees may send applications on their own behalf or others may nominate, either with the knowledge of the nominee or anonymously. Nominees must have offices in the United States or Canada, and must be in good standing with any regulatory body overseeing their work (i.e. Bar Association, AICPA, SEC). Nominations may not be added to the long list after the grace period after the deadline has passed. Nomination or receipt of a Family Office Review Award is not necessarily indicative of any particular client’s experience or a guarantee that the firm will perform in the future as it did during the period evaluated by Family Office Review.
Short List/Winner Criteria: Family Office Review looks for outstanding/remarkable performance in: client service, technical expertise, leadership in the industry, consistent high quality work, and innovation.
To avoid undue discrimination, Family Office Review does not consider: size of firm, if a company; location of individual or firm; or years of experience.
Investment News and Financial Planning: Rankings are based on growth in discretionary assets under management since 2008, as defined by the Securities and Exchange Commission. Data are as reported to the SEC as of Sept. 30, 2011. Firms were included on the list based on the following criteria: 1) Greater than 50% of their business must serve the retail marketplace; 2) They must provide financial planning services, portfolio management for individuals, or conduct due diligence on third-party advisers; 3) They must not be doing business as a broker-dealer, bank or insurance company; 4) They must not charge commissions, or have registered representative employees at the firm; and 5) A dominant portion of their business must not be invested in proprietary products. Inclusion on the list is not necessarily indicative of any particular client’s experience or a guarantee that the firm will perform in the future as it did during the period evaluated by Investment News and Financial Planning.