Awards and Recognitions

Awards are not indicative of future performance. Working with an award winner is no guarantee of future financial success. Individuals should conduct their own evaluation.

Five Star Wealth Manager 2013-2018

The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria. Eligibility criteria – required: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Actively licensed as a registered investment adviser or as a principal of a registered investment adviser firm for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by Five Star Professional, the wealth manager has not; A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. Had more than a total of three settled or pending complaints filed against them and/or a total of five settled, pending, dismissed or denied complaints with any regulatory authority or Five Star Professional’s consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional’s consumer complaint process; feedback may not be representative of any one client’s experience; C. Individually contributed to a financial settlement of a customer complaint; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients. Evaluation criteria – considered: 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. Award does not evaluate quality of services provided to clients. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The Five Star award is not indicative of the wealth manager’s future performance. Wealth managers may or may not use discretion in their practice and therefore may not manage their client’s assets. The inclusion of a wealth manager on the Five Star Wealth Manager list should not be construed as an endorsement of the wealth manager by Five Star Professional or this publication. Working with a Five Star Wealth Manager or any wealth manager is no guarantee as to future investment success, nor is there any guarantee that the selected wealth managers will be awarded this accomplishment by Five Star Professional in the future. For more information on the Five Star award and the research/selection methodology, go to 2,112 Phoenix area wealth managers were considered for the award; 130 (6 percent of candidates) were named 2018 Five Star Wealth Managers. 2017: 1335 considered, 131 winners; 2016: 1149 considered, 232 winners; 2015: 2728 considered, 254 winners; 2014: 3247 considered, 191 winners; 2013: 2936 considered, 286 winners.

AdvisorOne’s Top Ten Best Wealth Manager Logos 2013

With 2,051 votes tallied, readers voting on AdvisorOne have selected the 10 Best Wealth Manager Logos out of 25 finalists. The finalists were selected by the editorial staff of the Investment Advisor Group—the editors and art directors of AdvisorOne and Research and Investment Advisor magazines. The winners comprised firms with staff sizes from 227 down to just one, but all came up big regarding their logos’ appeal to readers — and, therefore, potential clients.

National Association of Board Certified Advisory Practices (NABCAP) Premier Advisor 2012

The primary focus of NABCAP Board of Directors is to serve the needs of the investing public. Our multi-step verification process utilizes independent resources to objectively account for the accuracy and consistency of advisory practices. Comprehensively evaluating and validating twenty categories within a financial advisory practice distinguishes our process. The multi-step verification process utilizes independent resources to access the accuracy and truthfulness of the information submitted by participating advisory practices.  NABCAP's methodology is unique in deciphering advisors because it is primarily objective not subjective. The Board's attention is centered on investor's financial needs and an advisory practice's probability to service those needs. This award is not merely defined by AUM, revenues produced, or popularity.  Alternatively, NABCAP attempts to identify top advisors regardless of size, firm, or affiliation. 

Top 10 Independent Investment Consulting Firm 2015, 2016

Listed in the publication “Ranking Arizona: The Best of Arizona Business” The rankings are determined by the number of votes received. The voting is done online by the public and supervised by an outside firm. There are more than 20,000 companies listed in all categories, and once a company is nominated, they remain on the list unless some type of complaint is filed with Big Media (the sponsoring organization). Each company pays a fee to nominate itself to be entered on the list for voting, however, this fee does not guarantee a win. Working with an award winner, or any wealth manager is no guarantee as to future investment success, nor is there any guarantee that the selected wealth managers will be awarded this accomplishment in the future.

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