Disclosures 

Top 15 Fee-Only RIAs –Investment News Magazine (2017) 

Investment News qualified 1,778 firms headquartered in the United States based on data reported on the form ADV to the securities and exchange commission as of November 1, 2016. The following criteria was included: 1) Latest ADV filing date on or after January 1, 2016 2) AUM exceeding $100 million 3) No employees registered as a broker dealer 4) Must have provided investment advisory services to clients 5) Assets attributable to pooled investment vehicles ≤50% 6) Assets attributable to pension and profit sharing plans ≤25% 7) Assets attributable to corporations/businesses ≤25% 8) Must offer financial planning services 9) May not serve as registered representative of a broker dealer, or have a related person who is a broker dealer/municipal securities dealer, government securities broker nor insurance company/agency. The firms were sorted based on the US Bureau of Labor Statistics Census Regions and then ranked. The South Region includes the following: Alabama, Arkansas, Delaware, District of Columbia, Florida, Georgia, Kentucky, Louisiana, Maryland, Mississippi, North Carolina, Oklahoma, South Carolina, Tennessee, Texas, Virginia and West Virginia. For more information, please see http://www.investmentnews.com.


Barron’s Top 100 Independent Advisors (2018)

Barron’s Top 100 Independent Advisors ranks advisors 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 advisor 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 scoring system assigns a top score of 100 and rates the rest by comparing them with the winner. The quality-of-practice components includes an evaluation of each advisor’s regulatory record.