*This award was issued by Five Star Professional (FSP) for the time period (2012-2025). Fee paid for use of marketing materials. Self-completed questionnaire was used for rating. This rating is note related to the quality of the investment advisor and based solely on the disclosed criteria. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. This award is based on 10 objective criteria. Eligibility criteria - required: 1. Credentialed as a registered investment advisers (RIA) or a registered investment adviser representative; 2. Actively licensed as an RIA or as a principal of a registered investment adviser firm for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by FSP, the wealth manager has not: A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. Had more than a total of three settled or pending complaints filed against them and/or a total of five settled, pending, dismissed or denied complaints with any regulatory authority or FSP's consumer complaint process. Unfavorable feedback may have been discovered through a check of compaints registered with a regulatory authority or complaints registered through FSP's consumer complaint process; feedback may not be representative of any one client's experience; C. Individually contributed to a financial settlement of a customer complaint; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. FSP does not evaluate quality of services provided to clients. The award is not indicative of the wealth manager's future performance. Wealth managers may or may not use discretion in their practice and therefore may not manage their clients' assets. The inclusion of a wealth manager on the Five Star Wealth Manager list should not be construed as an endorsement of the wealth manager by FSP or this publication. Working with a Five Star Wealth Manager or any wealth manager is no guarantee as to future investment success, nor is there any guarantee that the selected wealth managers will be awarded this accomplishment of FSP in the future. Visit www.fivestarprofessional.com
**The 2025 Top Firms by AUM issued by Accounting today. Accounting Today's annual ranking showcases the top CPA-affiliated firms providing financial planning and investment advisory services. Firms must be CPA affiliated to be included. Listing in this publication and/or award is not a guarantee of future investment success. This recognition should not be construed as an endorsement of the financial professional by any client. No compensation was provided directly or indirectly by the recipient for participation or in connection with obtaining or using the third-party rating or award.
***The IMPACT Award issued by Avantax by Cetera is awarded to Wealth Management Assistants who have taken on a leadership role in their firm and whose work directly resulted in a firm’s acquisition of new wealth management clients and innovative solutions for existing clients.
