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Website Terms and Conditions
This website is not an offer to buy or sell any securities or securities product or to participate in any specific investment strategy. There is no guarantee that any investment strategy will generate a profit or even a loss. Investing in the securities markets involves risk, including loss of principal. Examples on this website are for informational purposes only. All recommendations will vary by client and should be discussed with an individual financial adviser before action is taken. The examples on this website are sample recommendations only and may not apply to your individual financial needs.
Information about Awards & Rankings
The 2024 CNBC FA100 ranking was published on October 2, 2024. The methodology used for this ranking can be found here. Financial advisory firms, including CFA, did not pay any compensation to be considered for this ranking. The 2023 CNBC FA100 ranking was published on September 12, 2023. The methodology used for this ranking can be found here. Financial advisory firms, including CFA, did not pay any compensation to be considered for this ranking. The 2022 CNBC FA100 ranking was published on October 4, 2022. The methodology used for this ranking can be found here. Financial advisory firms, including CFA, did not pay any compensation to be considered for this ranking.
The 2021 CNBC FA100 ranking was published on October 6, 2021. The methodology used for this ranking can be found here. Financial advisory firms, including CFA, did not pay any compensation to be considered for this ranking. The 2020 CNBC FA100 ranking was published on October 6, 2020. The methodology used for this ranking can be found here. Financial advisory firms, including CFA, did not pay any compensation to be considered for this ranking. The 2019 CNBC FA100 ranking was published on October 10, 2019. The methodology used for this ranking can be found here. Financial advisory firms, including CFA, did not pay any compensation to be considered for this ranking.
CNBC requires firms to pay a licensing fee for the use of the CNBC FA100 logo in marketing materials.
The FA's 2024 RIA Ranking was published on July 12, 2024. The data is as of 12/31/23 unless noted otherwise on the survey. The data was compiled by Financial Advisor magazine through the information provided to us by the firms that completed and submitted a survey. FA's RIA survey is a ranking based on assets under management at year end of independent RIA firms that file their own ADV with the SEC. FA's RIA ranking orders firms from largest to smallest, based on AUM reported to us by firms that voluntarily complete and submit FA's survey by our deadline. We do our best to verify AUM by reviewing ADV forms. To be eligible for the ranking, 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. Firms must have at least $1 billion in assets under management as of December 31, 2023, to be included in the print edition of Financial Advisor magazine's 2024 RIA survey. Firms with under $1 billion will be included in FA's expanded 2024 online RIA survey. The methodology used for this ranking can be found here. Financial advisory firms, including CFA, did not pay any compensation to be considered for this ranking. The FA's 2023 RIA Ranking was published on July 14, 2023. The methodology used for this ranking can be found here. Financial advisory firms, including CFA, did not pay any compensation to be considered for this ranking. The FA's 2022 RIA Ranking was published on July 14, 2023. The methodology used for this ranking can be found here. Financial advisory firms, including CFA, did not pay any compensation to be considered for this ranking. Financial advisory firms, including CFA, did not pay any compensation to be considered for this ranking. FA requires firms to pay a licensing fee for the use of the FA RIA logo in marketing materials.
The 2024 Five Star Wealth Manager Award was published on October 1, 2024 for the time period 1/9/24 through 8/9/24. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. ​Five Star Professional (FSP) requires firms to pay a licensing fee for the use of marketing materials. ​Self-completed questionnaire was used for rating. This rating is not related to the quality of the investment advice and based solely on the disclosed criteria. 1567 San Francisco East Bay-area wealth managers were considered for the award; 85 (5% of candidates) were named 2024 Five Star Wealth Managers. The following prior year statistics use this format: YEAR: # Considered, # Winners, % of candidates, Issued Date, Research Period. 2023: 1,291, 87, 7%, 10/1/23, 1/9/23 - 7/31/23; 2022: 1155, 90, 8%, 10/1/22, 1/17/22 - 7/15/22; 2021: 1413, 89, 6%, 10/1/21, 12/28/20 - 7/30/21; 2020: 1260, 88, 7%, 10/1/20, 1/13/20 - 8/7/20; 2019: 1340, 104, 8%, 10/1/19, 12/31/18 - 8/9/19; 2018: 1397, 113, 8%, 10/1/18, 1/16/18 - 8/10/18; 2017: 1049, 95, 9%, 10/1/17, 1/13/17 - 7/28/17; 2016: 948, 182, 19%, 9/1/16, 2/24/16 - 8/22/16; 2015: 2261, 183, 8%, 10/1/15, 3/5/15 - 7/31/15; 2014: 4527, 204, 5%, 10/1/14, 3/5/13 - 7/31/13; 2013: 858, 195, 23%, 10/1/13, 3/5/12 - 7/31/12; 2012: 1145, 233, 20%, 10/1/12, 3/5/11 - 7/31/11. The award is based on 10 objective criteria. Eligibility criteria - required: 1. Credentialed as a registered investment adviser (RIA) or a registered investment adviser representative; 2. Actively licensed as a RIA 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 FSP, 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 FSP's consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through FSP'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. FSP does not evaluate quality of services provided to clients. The 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 clients' 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 FSP 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 FSP in the future.