Important Disclosure Information
Creative Planning, LLC (“Company”) is an SEC registered investment adviser located in Overland Park, Kansas. Company and its representatives are in compliance with the current filing requirements imposed upon SEC registered investment advisers by those states in which Company maintains clients. Company may only transact business in those states in which it is registered, or qualifies for an exemption or exclusion from registration requirements. Company’s websites (collectively, “web site”) are limited to the dissemination of general information pertaining to its advisory services, together with access to additional investment-related information, publications, and links. Accordingly, the publication of Company’s web site on the Internet should not be construed by any consumer and/or prospective client as Company’s solicitation to effect, or attempt to effect transactions in securities, or the rendering of personalized investment advice for compensation, over the Internet. Any subsequent, direct communication by Company with a prospective client shall be conducted by a representative that is either registered or qualifies for an exemption or exclusion from registration in the state where the prospective client resides. For information pertaining to the registration status of Company, please contact the SEC or the state securities regulators for those states in which Company maintains a notice filing. A copy of Company’s current written disclosure statement discussing Company’s business operations, services, and fees is available from Company upon written request. Company does not make any representations or warranties as to the accuracy, timeliness, suitability, completeness, or relevance of any information prepared by any unaffiliated third party, whether linked to Company’s web site or incorporated therein, and takes no responsibility therefor. All such information is provided solely for convenience purposes only and all users thereof should be guided accordingly.
Please remember that different types of investments involve varying degrees of risk, and there can be no assurance that the future performance of any specific investment or investment strategy (including those undertaken or recommended by Company) will be profitable or equal any historical performance level(s).
Certain portions of Company’s web site (i.e. newsletters, articles, commentaries, etc.) may contain a discussion of, and/or provide access to, Company (and those of other investment and non-investment professionals) positions and/or recommendations as of a specific prior date. Due to various factors, including changing market conditions, such discussion may no longer be reflective of current position(s) and/or recommendation(s). Moreover, no client or prospective client should assume that any such discussion serves as the receipt of, or a substitute for, personalized advice from Company, or from any other investment professional. Company is neither an attorney nor an accountant, and no portion of the web site content should be interpreted as legal, accounting, or tax advice.
Rankings and/or recognition by unaffiliated rating services and/or publications should not be construed by a client or prospective client as a guarantee that he/she will experience a certain level of results if Company is engaged, or continues to be engaged, to provide investment advisory services, nor should it be construed as a current or past endorsement of Company by any of its clients. Rankings published by magazines, and others generally base their selections exclusively on information prepared and/or submitted by the recognized adviser. Rankings are generally limited to participating advisers. The Company never pays a fee to be considered for any ranking or recognition, but may purchase plaques or reprints to publicize rankings. For information on individual rankings, including methodology, please see the disclosures below.
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.