Five Star Professional awards are based on following criteria: Eligibility Criteria-Required 1. Credentialed as an investment advisory representative (IAR) or a registered investment advisor; 2. Actively employed as a credentialed professional in the financial services industry for a minimum of five years. 3. Favorable regulatory and complaint history review. * 4. Fulfilled their firm review based on internal firm standards. 5. Accepting new clients. Evaluation Criteria - Considered 1. One-year client retention rate. 2. Five-year client retention rate. 3. Non-institutional discretionary and/or non-discretionary client assets administered. 4. Number of client households served. 5. Education and professional designations. *A favorable regulatory and complaint history review is defined by Five Star Professional, as the person cannot have: (1) Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine, (2) Had more than a total of three customer complaints filed against them (settled or pending) with any regulatory authority or Five Star Professional’s consumer complaint process, (3) Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority, (4) Filed for personal bankruptcy, or(5) Been convicted of a felony. The Five Star Wealth Manager award does not evaluate the quality of service provided to clients. Recipients of the award may have had unfavorable ratings. 2452 of award candidates in the Seattle area were considered for the Five Star WealthManager award. 266 winners, approximately 11% of award candidates, were named 2018 Five Star Wealth Managers. The award is not indicative of the wealth manager’s future performance. The Five Star Wealth Manager Award is administered by Crescendo Business Services, LLC (dba Five Star Professional). Candidates and winners do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. Once awarded, winners, may opt to purchase additional profile ad space or related award promotional products. 2017: 1785 considered, 436 winners; 2016: 1678 considered, 412 winners; 2015: 2023 considered, 530 winners; 2013: 2732 considered, 664 winners; 2012: 2697 considered, 682 winners.
Financial Times Top 401 Adviser is awarded to financial advisors advising at least $50 million in defined contribution (DC) plan assets where DC plans represent at least 20% of total AUM. Graded on several criteria, including growth in DC plans and assets, plan participation rates, experience and industry certifications, and compliance record. 2017
NAPA Top DC Advisor Firms are selected based solely on defined contribution (DC) plan assets under advisement as reported directly by nominees.
