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Barron's Ranking Disclosure
The ranking is based on data provided by individual advisors and their firms. Advisor data is confirmed via regulatory databases, cross-checks with securities firms and conversations with individual advisors.
The formula Barron's uses to rank advisors is proprietary. It has three major components: assets managed, revenue produced and quality of practice. Investment returns are not a component of the rankings because an advisor's returns are dictated largely by the risk tolerance of clients. The quality-of-practice component includes an evaluation of each advisor's regulatory record.
Source: Barron's Online
Investment News Ranking
RIA Database qualified and ranked registered investment advisers as of Sept. 30 based on the following criteria: (1) They must have a significant number of financial planning clients. (2) Greater than 50% of their business serve the retail marketplace. (3) They must not be doing business as a broker-dealer or a bank. (4) A dominant portion of their business must not be invested in proprietary products or managing proprietary products.
Source: RIA Database
Financial Times Ranking
The 2015 Financial Times Top 300 Registered Investment Advisors is an independent listing produced by the Financial Times (June, 2015). 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.
Financial Planning Ranking
Discovery Data compiled the rankings based on discretionary and nondiscretionary assets under management listed on SEC Form ADV. To capture independent fee-only planning firms, every effort is made to exclude firms with broker-dealer and insurance company affiliations and those with substantial outside ownership stakes held by private equity firms and some outside investors. The list also does not include roll-ups, aggregators or turnkey asset manageŽment programs. To capture firms that provide true holistic financial advice to individuals, only firms with 50% or more individual clients, as can be deterŽmined through the Form ADV, are included. Subjective review of unusual cases may result in inclusion or exclusion based on factors unique to those firms. As the RIA industry evolves, so does the criteria.
WealthManagement.com's “Top 100 RIAs of 2015” ranking was assembled using data from Meridian-IQ. Advisory firms are ranked by total assets under management. To land on the list, firms had to have a focus on financial and retirement planning for individual and high-net-worth clients. And institutional clients do not make up a substantial portion of their businesses. Finally, none of these firms are owned by a bank, broker/dealer or investment company.