Awards

2007 Barron’s Top 100 Independent Advisors

2009 Reg Rep Top 100

2013 Forbes.com- Top 50 Emerging RIA’s #26

2013 Barron’s Top 1000 Financial Advisors

2014 Barron's Top 1200 Financial Advisors

2016 Financial Times 300 Top Registered Investment Advisers

2017 Financial Times 300 Top Registered Investment Advisers

1) BARRON’S – Top 100 Independent Financial Advisors

In August 2007 Barron’s listed for the first time its ranking of the top Independent Advisors compiled by an industry consultant. It was based on an advisor’s assets under management, their contribution to the firm’s revenues and profits, indications of service quality as well as regulatory records. Investment performance was not a criterion. Mr. Werner was nominated by his broker dealer. No compensation was paid to Barron’s for this ranking.

2) Registered Representative magazine – October 2000

Ms. Wright was nominated for this recognition by her branch manager at Legg Mason. The criteria were: specific instances of exemplary service to clients, brokers and the firm, demonstrated leadership abilities at work and in the community and peer recognition and respect.

3) Barron’s Top 1,000 Financial Advisors – February 2013

4) Barron’s Top 1,200 Financial Advisors – February 2014

These rankings were based on nomination by the broker dealer and compiled by an outside consultant for Barron’s. It was based on Mr. Daniel’s assets under management, types of clients, average account size, and regulatory record. No compensation was paid to Barron’s for this listing.

5) Registered Rep. Magazine – August 2009

This ranking was based on total assets under management as submitted by the broker dealer. No compensation was paid to Registered Representative magazine.

6) Forbes Top 50 Emerging RIA’s – April 2013

This ranking listed the top 50 RIA’s based solely on the increase in total RIA assets over the prior year. This data was supplied to Forbes by the broker dealer. No compensation was paid to Forbes for this listing.

7) 2016 Financial Times Top 300 Registered Investment Advisers -

The 2016 Financial Times 300 Top 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.

8) 2017 Financial Times Top 300 Registered Investment Advisers -

The Financial Times 300 Top Registered Investment Advisers is an independent listing produced annually by the Financial Times (June, 2017). The FT 300 is based on data gathered from RIA firms, regulatory disclosures, and the FT’s research. The listing reflected each practice’s performance in six primary areas: assets under management, asset growth, compliance record, years in existence, credentials and online accessibility. This award does not evaluate the quality of services provided to clients and is not indicative of the practice’s future performance. Neither the RIA firms nor their employees pay a fee to The Financial Times in exchange for inclusion in the FT 300.