Leading Advisors Selection Methodology

The core value of the Leading Advisor program to our readers lies in its rigorous selection process and the credibility it bestows upon each listed advisor. Featured Registered Investment Advisor firms has successfully cleared stringent benchmarks:

• • AUM of Over $500 Million: Demonstrates substantial experience and trust in handling significant wealth.

• • Predominantly High-Net-Worth Clients: Shows specialized expertise in managing the complex financial situations typical of wealthier clients.

• • Substantial Planning Clientele: Indicates a focus on comprehensive financial planning rather than simple asset management.

• • Independence from Broker-Dealers: Ensures advice is unbiased and purely client-centric.

The rankings were developed in collaboration with Institutional Shareholder Services (ISS), a proxy advisory firm that helps investors comply with SEC rules for ADV Forms disclosure of proxy voting records. The Securities and Exchange Commission (SEC) requires companies to compile and present financial and business information, reports, and disclosures to provide transparency to investors and the public.  Leading Advisor assessments are based on the data that firms submit to the SEC in these disclosures. The public can review SEC filings through the commission’s online database, EDGAR.