Award Disclosures

The 2020 ranking of the Forbes’ Best-in-State Wealth Advisors list was developed by SHOOK Research and is based on in-person and telephone due-diligence meetings to evaluate each advisor qualitatively and on a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria (including assets under management and revenue generated for their firms). Overall, 32,000 advisors were considered, and 4,000 (12.5% of candidates) were recognized. The full methodology that Forbes developed in partnership with SHOOK Research is available at www.forbes.com. This recognition and the due-diligence process conducted are not indicative of the advisor’s future performance. Your experience may vary. Winners are organized and ranked by state. Some states may have more advisors than others. You are encouraged to conduct your own research to determine if the advisor is right for you. Portfolio performance is not a criterion due to varying client objectives and lack of audited data. SHOOK does not receive a fee in exchange for rankings.

The 2019 ranking of the Forbes’ Best-in-State Next-Gen Wealth Advisors recognizes advisors born in 1980 or later with a minimum of four years of experience. Advisors were rated based on a proprietary algorithm of qualitative and quantitative criteria: assets under management, revenues generated for their firms, client retention, industry experience, credentials, and compliance records. SHOOK Research also employs an opinion- based weighting system that prioritizes its preferred “best practices,” which include business models, activities, processes, and structure. Overall, 6,389 advisors were considered, and 1,495 (23% of candidates) were recognized. Click here for the full methodology that Forbes developed in partnership with SHOOK Research. This recognition and the due-diligence process conducted are not indicative of the advisor’s future performance. Your experience may vary. You are encouraged to conduct your own research to determine if the advisor is right for you. Portfolio performance is not a criterion due to varying client objectives and lack of audited data. SHOOK does not receive a fee in exchange for rankings.

The Birmingham Business Journal’s 2019 Women to Watch award honorees were nominated and chosen based on their career accomplishments, their potential for future leadership and contributions to their organization and the overall economy and other factors. This award is not specific to financial services and does not imply an endorsement, recommendation, or otherwise reflect the performance of the advisor or any account.

The 2019 ranking of the Forbes’ Best-in-State Wealth Advisors list was developed by SHOOK Research and is based on in-person and telephone due-diligence meetings to evaluate each advisor qualitatively and on a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria (including assets under management and revenue generated for their firms). Overall, 30,000 advisors were considered, and 3,500 (11.6% of candidates) were recognized. The full methodology that Forbes developed in partnership with SHOOK Research is available at www.forbes.com. This recognition and the due-diligence process conducted are not indicative of the advisor’s future performance. Your experience may vary. Winners are organized and ranked by state. Some states may have more advisors than others. You are encouraged to conduct your own research to determine if the advisor is right for you. Portfolio performance is not a criterion due to varying client objectives and lack of audited data. SHOOK does not receive a fee in exchange for rankings.

Working Mother Magazine’s Top Wealth Advisor Moms: SHOOK Research considered wealth advisors who are mothers with at least one child living at home and under the age of 18. Ranking algorithm is based on qualitative measures derived from telephone and in-person interviews and surveys: service models, investing process, client retention, industry experience, review of compliance records, firm nominations, etc.; and quantitative criteria, such as assets under management and revenue generated for their firms. Investment performance is not a criterion because client objectives and risk tolerances vary, and advisors rarely have audited performance reports. Rankings are based on the opinions of SHOOK Research LLC. Overall, 3,500 advisors were considered, and 400 (11.4%) were recognized. This recognition and the due-diligence process conducted are not indicative of the advisor’s future performance. Your experience may vary.

The Financial Times 401 Top Retirement Plan Advisors is an independent listing produced annually by the Financial Times. The FT 401 is based on data gathered from advisors, regulatory disclosures, and the FT’s research. The listing reflects each advisor’s status in seven primary areas: DC plan assets under management (AUM), DC AUM growth rate, specialization in DC plans, years of experience, advanced industry credentials, compliance record and DC plan participation rate. 670 qualified applicants were nominated, of which 401 were recognized (60% of candidates). This honor is not indicative of the advisor’s future performance. Your experience may vary. Neither the advisors nor their parent firms pay a fee to the Financial Times in exchange for inclusion in the Financial Times 401. For the full methodology, please visit ft.com.

The 2018 ranking of Forbes’ Top 1,000 Next Generation Wealth Advisors recognizes advisors born in 1980 or later with a minimum of four years of experience. Advisors were rated based on a proprietary algorithm of qualitative and quantitative criteria: assets under management, revenues generated for their firms, client retention, industry experience, credentials, and compliance records. SHOOK Research also employs an opinion- based weighting system that prioritizes its preferred “best practices,” which include business models, activities, processes, and structure. Overall, 5,832 advisors were considered, and 1,000 (17% of candidates) were recognized. Please visit www.forbes.com for the full methodology that Forbes developed in partnership with SHOOK Research.This recognition and the due-diligence process conducted are not indicative of the advisor’s future performance. Your experience may vary. You are encouraged to conduct your own research to determine if the advisor is right for you.

Nominations were solicited from InvestmentNews readers and financial planning industry professionals. Nominees must be 39 or younger and are judged, by the editors of InvestmentNews, on their accomplishments, industry contributions, leadership, and promise (passion, enthusiasm, and ideas). 1,200 advisors were considered. 3.33% of candidates were named to the list. Individuals were selected solely based on the opinions of InvestmentNews’ editors and are not indicative of the advisor’s future performance. Your experience may vary. For more information, please visit: www.investmentnews.com/section/40-under-40.

NAPA Top Women Advisors list nominations were made by NAPA Broker-Dealer and RIA partners. Honorees were selected by a panel of judges based on criteria such as, a candidate’s percent revenues derived from retirement plans, total plan assets under management/advisement, years of experience working with workplace retirement plans, regulatory compliance record, and credentials. Votes were utilized to break ties, if applicable. List makers were honored in three separate categories: All-Stars, Captains, and Rising Stars.In 2015, 227 advisors were considered 146 were named to the list. List makers were honored in four categories: Captains (30 advisors), All-stars (25), Rising Stars (16), and MVPs (75). As defined by NAPA. All-Stars: Top producers who have their own practices. Captains: All-Stars who happen to be principals, owners, or team captains of their organizations. Rising Stars: Top producers who have less than five years’ experience with retirement plans as a financial advisor. MVPs: Outstanding players who are part of a team. The MVP category was removed in 2016. The nominated advisor need not be a NAPA member. This award is not indicative of the wealth manager’s future performance. Your experience may vary. For more information, please visit: www.napa-net.org.

Birmingham Business Journal’s (BBJ) Top 40 Under 40: This list recognizes young professionals in Birmingham and is based solely on the opinions of the editors of the magazine. They considered the candidates contributions to their company, impact to the business world, and their role in the community. This award is not specific to financial services and does not imply an endorsement, recommendation, or otherwise reflect the performance of the advisor or any accounts.

2016 UAB Excellence in Business Top 25 award program is designed to identify, recognize, and celebrate the success of alumni business leaders. Each company must have been founded, owned, or managed (most senior leadership team or regional/division leadership team) by a UAB alumnus/alumna. Nominees were asked to complete a confidential survey and were independently verified by Warren Averett. This list recognizes young professionals in Birmingham based on their contributions and impact to their business and role in the community. This recognition isn’t specific to financial services and does not imply an endorsement, recommendation, or otherwise reflect the performance of the advisor or any of their accounts. For more information, visit https://www.uab.edu/business/home/inthenews/1257-2016-uab-excellence-in- business-top-25.

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