Award Disclosures

FT Top 300 Registered Investment Advisors: The 2016 Financial Times Top 300 Registered Investment Advisors is an independent listing produced by the Financial Times (June, 2016). The FT 300 is based on data gathered from RIA firms, regulatory disclosures, and the FT’s research. As identified by the FT, the listing reflected each practice’s performance in six primary areas, including assets under management, asset growth, compliance record, years in existence, credentials and accessibility. Neither the RIA firms nor their employees pay a fee to The Financial Times in exchange for inclusion in the FT 300.

Worth®Leading Wealth Advisors ProgramTM: 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 utilities 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. Paladin was founded by Jack Waymire, author of Who’s Watching Your Money? The 17 Paladin Principles for Selecting a Financial Advisor. Mr. Waymire is a regular contributor of articles to Worth.

Worth magazine is a financial publisher and does not recommend or endorse investment, legal, insurance, or tax advisors. The listing of any firm in the Worth Leading Wealth Advisors Program does not constitute a recommendation or endorsement by Worth magazine of any such firm is not based upon Worth magazine’s experience with or prior dealing with any advisor. The information presented for each advisor, including but not limited to any related profile, statistical data, presentation, report, commentary, recommendation or strategy, has been provided by such advisor without review or independent verification by Worth magazine. Any such information is the sole responsibility of the advisor. Worth magazine makes no representation or warranty as to the accuracy or completeness of such information, assumes no liability for the inaccuracies or omissions therein, and disclaims responsibility for the suitability of any particular investment recommendation or strategy for any person. Nothing contained in Worth magazine constitute or should be construed as any form of investment, legal, insurance, or tax advice or as a recommendation to buy, sell hold or trade any securities, financial instruments or assets. Readers are advised to consult their legal, financial, insurance and tax advisors prior to making any investment or pursuing an investment strategy. Past, model or hypothetical performance is not indicative of future results.

The views or opinions expressed herein are those of the author and not Worth magazine. Nothing contained in this section is or should be construed as individually tailored investment advice, a solicitation or offer of investment advisory services or a recommendation to buy, sell, hold or trade any securities, financial instruments or assets. The strategies and/or investment referenced may not be suitable for all investors. Readers are advised to consult their legal, financial, insurance, and tax advisors prior to making any investment or pursuing any investment strategy. The author, or the author’s firm, has contributed to the production cost of Worth magazine.

The information and data submitted by the advisors to Worth magazine are not independently verified by Worth magazine. In no event will Worth magazine, its parents, subsidiaries (including subsidiaries of its parents), affiliated, directors, officers, employees, members, shareholders, partners and agents, or any other party who has been involved in the creation, production, promotion or marketing of the program be liable for any loss, injury, claim, liability or damage of any kind, whether direct, indirect, special, incidental, reliance or consequential, to the fullest extent permitted by law, for any information or content included in Worth magazine by any firm or advisor, even if Worth magazine or such other party has been advised of the possibility of such damages. Readers agree to defend, indemnify and hold harmless Worth magazine, and its directors, officers, employees, members, shareholders, partners and agents, for any such loss, injury, claim, liability or damage. Readers interested in obtaining the services of or being advised by any of the firms or advisors listed herein are required to conduct their own investigation and analysis of such firms and advisors.

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.

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.

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. Nominees 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

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