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Amazon Editorial Disclosures

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Disclosures


1. Barron’s 2017 – #1 Independent Advisory Firm

As in years past, this year’s Top 100 is based on a 102-question survey that queries advisors about everything about their practices—from the investments they favor to the number of clients they serve and the size and structure of their staffs. The rankings formula is based on three general categories of factors: assets, revenue, and quality of practice. There are multiple factors and calculations in each of these categories. Investment performance is not an explicit rankings criterion, because the returns experienced by clients are affected by their appetite for risk. Still, returns come into play indirectly, as assets under management and revenue rise and fall with an advisor’s ability to deliver results that meet client expectations.


2. Barron’s Independent Financial Advisor in America (2013, 2014, and 2015)

The ranking reflects the volume of assets overseen by the advisors and their teams, revenues generated for the firms and the quality of the advisors’ practices. The scoring system assigns a top score of 100 and rates the rest by comparing them with the winner.

3. CNBC the #1 Independent Wealth Management Firm in the United States (2014–2015)
The CNBC Digital editorial team, along with Meridian-IQ, created the following ranking methodology for its Top 100 Fee-Only Wealth Management Firms rankings. Scores for each measure listed below were weighted according to a proprietary formula to arrive at a final total rank: Assets under management, Having staff with professional designations such as a CFP or CFA, Working with third-party professionals such as attorneys or CPAs, Average account size, Client segmentation, Growth of assets, Years in business, Number of advisory clients, Providing advice on insurance solutions. Firms with greater AUM totals were given a higher ranking in the case of numerical ties of the above formula. The Meridian/AdviceIQ team then applied the formula to the Meridian-IQ database of all RIAs to create the list. The final step to create the Top 100 Fee-Only Wealth Management Firms list for CNBC.com was to apply the AdviceIQ Regulatory Compliance Review (RCR) process to the master list and eliminate any firm that failed the RCR process. The RCR process is a due-diligence process whereby each advisory firm was compared with the RCR database of all regulatory actions from all four primary regulators: SEC, FINRA, state regulators and state insurance commissioners. In order to pass the RCR process, an advisory firm cannot have any complaints, actions or disclosures from any of the above regulators.

4. Power 100 – 100 most powerful men and women in global finance (2017, 2018)
Per a news release, the Worth Editor in Chief stated that “The most powerful person in finance should be a leader, an innovator, a visionary and a disruptor”. In order to compile the Power 100, Worth’s editorial team goes through a rigorous selection process, which includes close monitoring of the comings and goings of both past honorees and newcomers to the scene, as well as talking to industry influencers.

5. Ernst & Young Central Midwest Entrepreneur of the Year Award
Individuals who are nominated should be the founder or the current executive responsible for the day to day operations of the for-profit business. This is typically the CEO or President. Individuals should be in their role for a minimum of two years, and the business should be operational for at least two years. The regional and independent panels of judges include entrepreneurs and prominent leaders from academia, business and the media. Each independent regional judging panel selects categories and award recipients based on the quality and quantity of the nominations received. Each independent panel of judges is allowed complete discretion in determining categories and award recipients.

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