Award Disclaimers

CNBC – Top Financial Advisory Firms 2019

DISCLAIMER

The rating is not indicative of Halbert Hargrove Global Advisors future performance. Halbert Hargrove Global Advisors did not pay a fee to participate in the survey.

Methodology
CNBC enlisted data provider AccuPoint Solutions to assist with delivering the CNBC FA 100 ranking of registered investment advisors.  The methodology consisted of first analyzing a variety of core data points from AccuPoint’s database of financial services firms. This analysis started with an initial list of 35,511 RIA firms.

AccuPoint then applied weighted categories to further refine and rank the firms, ultimately creating the list of the top 100. The primary data points used in the analysis were reviewed, either as a minimum baseline or within a range, eliminating those firms that did not meet our requirements. Once the initial list was compiled, weightings were also applied accordingly. These data points included:

  • Disclosures
    • Number of years in the business
    • Number of employees
    • Number of investment advisors registered with the firm
    • The ratio of investment advisors to total number of employees
    • Total assets under management
    • Percentage of discretionary assets under management
    • Total accounts under management
    • Number of states where the RIA is registered
    • Country of domicile

Financial Planning -RIA Leaders 2019

DISCLAIMER

The rating is not indicative of Halbert Hargrove Global Advisors future performance. Halbert Hargrove Global Advisors did not pay a fee to participate in the survey.

Methodology
To be eligible for this list, firms must be independent registered investment advisors and file their own ADV statement with the SEC and provide financial planning and related services to individual clients.  They must have at least $50 million in assets under management as of December 31, 2017. Corporate RIA firms, investment advisor representatives (IARs) and hybrids are not eligible for this survey. Firms need to complete and submit a survey on their firm’s behalf in order to be included in the published survey.


Financial Planning -RIA Leaders 2017

Disclaimer

The rating is not indicative of Halbert Hargrove Global Advisors future performance. Halbert Hargrove Global Advisors did not pay a fee to participate in the survey.

Methodology

RIA Leaders 2017

Discovery Data complied the rankings based on discretionary and nondiscretionary assets under management listed on SEC Form ADV, as of November 2016.  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 does not include roll-ups, aggregators or turnkey asset management programs.  To capture firms that provide true, holistic financial advice to individuals, only firms with more than 50% individual clients, as can be determined through Form ADVs, are included.  Review of unusual cases may result in inclusion or exclusion, based on unique factors.  As the RIA sector evolves, so do the criteria.


Forbes –100 Fastest Growing RIAs

Disclaimer

The rating is not indicative of Halbert Hargrove Global Advisors future performance. Halbert Hargrove Global Advisors did not pay a fee to participate in the survey.

Methodology

100 Fastest Growing RIAs Ranking Methodology

Forbes and RIA Channel recently announced the 2016 Top 100 RIAs by 10 Years of Growth List. RIA Channel is an affiliate of RIA Database, an independently owned and operated data company that collects and profiles financial advisory firms. RIA Database maintains profiles on over one million financial advisors across all intermediary channels: registered investment advisors, investment advisor representatives, registered representatives of broker/dealers, family office advisors, bank, trust, and independent brokers.  RIA Database was founded in 2005, and tracks historical investment and asset information on all registered investment advisors (RIAs).  RIAs are fiduciaries, registered with states or the Securities Exchange Commission (the SEC) as a regulated entity. Many asset managers, consultants, broker/dealer firms, trading firms, hedge funds and family offices are also RIAs. The Forbes and RIA Channel Top 100 RIAs by 10 Years of Growth specifically identified wealth managers, and ranked them by asset growth over prior ten years ending September 30, 2016.  If an RIA was not registered as an RIA each of the past ten years, it was not included in this ranking. Additionally, firms were excluded if they had violations: civil, criminal or regulatory. Assets were based on assets under management as reported on each firm’s Form ADV Part I. Further qualification, defined by RIA Channel, required that each RIA advised clients on comprehensive wealth management services including manager due diligence, manager selection, asset allocation, portfolio construction, portfolio management for individuals, and ongoing supervisory management of client assets.  Fund companies, hedge funds, broker/dealers, registered representatives, and banks were excluded.  For more information, contact RIA Database.


Wealth Management – Top 100 Retail RIAs of 2016

Disclaimer
The rating is not indicative of Halbert Hargrove Global Advisors future performance. Halbert Hargrove Global Advisors did not pay a fee to participate in the survey.

Methodology
WealthManagement.com’s “Top 100 Retail RIAs of 2016” ranking was assembled using data from Discovery Data. RIA firms are ranked by the total assets under management reported on Form ADV. To make this list, firms had to be U.S.-based and serve individual investors as their primary business.

Note: The AUM amounts listed are those on Form ADV as of Sept. 14, 2016. However, for most firms, the AUM listed is as of year-end 2015 or early 2016, as calculated at the time of the firm’s last Form ADV amendment filing.


Financial Planning – RIA Leaders 2016

Disclaimer
The rating is not indicative of Halbert Hargrove Global Advisors future performance. Halbert Hargrove Global Advisors did not pay a fee to participate in the survey.

Methodology
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 management programs. To capture firms that provide true holistic financial advice to individuals, only firms with 50% or more individual clients, as can be determined 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.


Wealth Management – Top 10 High-Net-Worth Advisors in 2016

Disclaimer
The rating is not indicative of Halbert Hargrove Global Advisors future performance. Halbert Hargrove Global Advisors did not pay a fee to participate in the survey.

Methodology
WealthManagement’s Top 25 High-Net-Worth Advisors ranking was assembled using data from Meridian-IQ (in which Penton Media has a stake). Advisory firms are ranked by total assets under management. To land on the list, high-net-worth clients had to account for 76 percent or more of the firm’s business. Firms also had to have a focus on financial and retirement planning; 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.


Wealth Management – Top 100 RIAs 2015

Disclaimer
The rating is not indicative of Halbert Hargrove Global Advisors future performance. Halbert Hargrove Global Advisors did not pay a fee to participate in the survey.

Methodology
WealthManagement.com’s “Top 100 RIAs of 2015” ranking was assembled using data from Meridian-IQ (in which Penton Media has a stake). 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.


Forbes – Top Wealth Managers 2015

Disclaimer
The rating is not indicative of Halbert Hargrove Global Advisors future performance. Halbert Hargrove Global Advisors did not pay a fee to participate in the survey.

Methodology
Data for the Top Wealth Managers list is compiled by our partners at RIA Database. Candidate firms qualify based on both quantitative and qualitative criteria. This year we expanded the list to 100 firms, and ranked them by assets under management for year-end 2014, reported as of March 31, 2015.

Members of the list must have manage at least 50% of their assets on behalf of retail clients, cannot run a broker-dealer (they can be affiliated with one), can not be a bank (trust companies are permitted), and must be performing wealth management services. Firms can not have had any regulatory, civil or criminal disclosures.

The list looks beyond exclusively fee-only advisors because the RIA industry is evolving to incorporate more hybrid models as more reps break way from broker-dealers but carry along old business that includes some commission-based work.


Investment News – Fastest Growing Fee-Only RIAs

Disclaimer
The rating is not indicative of Halbert Hargrove Global Advisors future performance. Halbert Hargrove Global Advisors did not pay a fee to participate in the survey.

InvestmentNews qualified firms headquartered in the United States based on data reported on Form ADV to the Securities and Exchange Commission as of May 1. To qualify, firms must have met the following criteria: (1) Latest ADV filing date is either on or after Jan. 1, 2012. (2) Total AUM is at least $100M. (3) Does not have employees who are registered representatives of a broker-dealer. (4) Provided investment advisory services to clients during its most recently completed fiscal year. (5) No more than 50% of regulatory assets under management is attributable to pooled investment vehicles (other than investment companies). (6) No more than 25% of regulatory assets under management is attributable to pension and profit-sharing plans (but not the plan participants). (7) No more than 25% of regulatory assets under management is attributable to corporations or other businesses. (8) Does not receive commissions. (9) Provides financial planning services. (10) Is not actively engaged in business as a broker-dealer (registered or unregistered). (11) Is not actively engaged in business as a registered representative of a broker-dealer. (12) Has neither a related person who is a broker-dealer/municipal securities dealer/government securities broker or dealer (registered or unregistered) nor one who is an insurance company or agency.

Source: (http://data.investmentnews.com/ria/)p>


Financial Times – Top Financial Advisors 2015

Disclaimer
The rating is not indicative of Halbert Hargrove Global Advisors future performance. Halbert Hargrove Global Advisors did not pay a fee to participate in the survey.

FT 300 Disclosure:
The 2014 Financial Times Top 300 Registered Investment Advisors is an independent listing produced by the Financial Times (June, 2014). 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.

Source: (www.ft.com)


CNBC – Top Fee only Wealth Managers 2015

Disclaimer
The rating is not indicative of Halbert Hargrove Global Advisors future performance. Halbert Hargrove Global Advisors did not pay a fee to participate in the survey.

Methodology
The CNBC Digital editorial team, along with Meridian-IQ, created the following ranking methodology for its Top 100 Fee-Only Wealth Management Firms rankings. Scores for each measure listed below were weighted according to a proprietary formula to arrive at a final total rank:

Assets under management
Having staff with professional designations such as a CFP or CFA
Working with third-party professionals such as attorneys or CPAs
Average account size
Client segmentation
Growth of assets
Years in business
Number of advisory clients
Providing advice on insurance solutions

Firms with greater AUM totals were given a higher ranking in the case of numerical ties of the above formula. The Meridian/AdviceIQ team then applied the formula to the Meridian-IQ database of all RIAs to create the list. The final step to create the Top 100 Fee-Only Wealth Management Firms list for CNBC.com was to apply the AdviceIQ Regulatory Compliance Review (RCR) process to the master list and eliminate any firm that failed the RCR process. The RCR process is a due-diligence process whereby each advisory firm was compared with the RCR database of all regulatory actions from all four primary regulators: SEC, FINRA, state regulators and state insurance commissioners. In order to pass the RCR process, an advisory firm cannot have any complaints, actions or disclosures from any of the above regulators.

Source: (http://www.cnbc.com/id/102605785)