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Our website offers general information about our services and should not be acted upon without obtaining specific advice from a qualified professional. The information provided is not intended to provide any investment, tax or legal advice; in addition, nothing on this website should be considered a solicitation for the purchase or sale of any security.

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Award Disclosures

Financial Planning Magazine's Top RIA Firm to Work For (2024)

Financial Planning Magazine (December 2024): Best Companies Group managed the overall registration and survey process, analyzed the data, and determined the final ranking. To be considered for participation, firms had to fulfill the following eligibility requirements:

  • Must be a firm registered as an RIA with the SEC
  • Have a facility in the United States
  • Have a minimum of 10 employees working in the United States
  • Must be in business a minimum of 1 year

No compensation was given or received for acquiring and advertising this award. To view all disclosure information, click here.

InvestmentNews Best Places to Work for Financial Advisers (2024)

Listed on  February 28, 2024. To find and recognize the Best Places to Work for Financial Advisors, InvestmentNews and Best Companies Group first invited organizations to participate by filling out an employer form, which asked companies to explain their various offerings and practices. To be eligible, an organization must:
  1. be a registered investment adviser (RIA), affiliated with (but not an employee of) an independent broker dealer (IBD), or a hybrid/dually registered firm affiliated with an IBD and doing business through an RIA;
  2. be based in the US;
  3. have a minimum of 15 full- or part-time employees working in the US (all employees in the company should be included in the employee count, not just in the financial advising department); and
  4. be in business for a minimum of one year.

Next, employers completed an in-depth questionnaire and employees were given the opportunity to offer their honest feedback by taking part in a company-wide survey. Once both portions of the assessment were complete, the InvestmentNews team analyzed the data to determine if an organization had what it takes to be the “best.”

To ensure credibility, organizations having 15–24 employees must have an 80 percent or better response rate on the employee survey.

InvestmentNews Best Places to Work for Financial Advisors (2023)

March 6, 2023: Currently in its fifth year, the InvestmentNews 2023 Best Places to Work for Financial Advisers program recognizes financial advice businesses that create meaningful work experiences for all their professionals. These firms value a commitment of excellence to both their employees and clients. It is from these encouraging foundations that advice firms can provide high quality and personalized investment and financial planning for clients.

Each year, this project is conducted in partnership with employee survey firm Best Companies Group. Winners are selected from a two-part survey completed by employers and employees. Employers report their organization’s workplace policies, practices and demographics, and employees complete a survey designed to measure the employee experience. Scores from the employee survey represent three-quarters of the weight of the final rankings.

To qualify as one of InvestmentNews Best Places to Work for Financial Advisers, an advice firm must have at least 15 employees and have been in business for one year. Link to award criteria: https://www.investmentnews.com/awards-and-recognition/best-places-to-work-for-financial-advisers-4

No compensation was given or received for acquiring and advertising this award.

RIA Edge 100 List (2024)

February 29, 2024: This list was developed by Wealthmanagement.com's WMIQ research team in partnership with ISS MI using data from its Discovery Data MarketPro platform. Qualifying firms were limited to SEC-registered investment advisory firms that provide financial planning services, have high-net-worth individuals as more than half of their client base and manage at least $500 million in assets. Analyzing that subset of RIAs, WMIQ ranked firms by several other metrics, including AUM growth over both one- and five-year periods, the ratio of employees to total clients, the percentage of employees with the CFP certification and average client account size, among other factors. Link to award information: https://www.wealthmanagement.com/ria-edge/ria-edge-100-growth-design-not-default

RIA Edge 100 List (2023)

February 6, 2023: The list was developed by the Wealth Management IQ team in partnership with Discovery Data. Analyzing the ADVs of all SEC-registered investment advisors, WMIQ and Discovery looked at AUM growth, ratio of employees to clients, ratio of advisors to clients, percentage of advisors with CFP certification and average client account size. Qualifying firms were limited to those that provide financial planning services, have high-net-worth individuals as more than half of their client base and manage at least $250 million in assets as of June 30, 2022. Link to award information: https://www.wealthmanagement.com/ria-edge/ria-edge-100-growing-above-and-beyond

The UB Fast 46 (2024)

The competition is open to all UB alumni and former students from around the world. In order to qualify for 2024, companies need to meet the following criteria:

  1. Company must have been in operation from at least Jan. 2020 to present.
  2. Company must have verifiable revenues of at least $100,000 in both 2020 and 2021 and a minimum of $250,000 in 2022.
  3. Company must be owned or led by a UB alumnus or former student(s).

The UB Fast 46 is the 46 companies with the highest revenue growth rates as verified by The Bonadio Group, the official verification firm—have been selected. Named in honor of UB's founding in 1846, Fast 46 recognizes the success of 46 of the fastest-growing businesses owned or led by University at Buffalo alumni or former students around the world in 2024.  

The UB Fast 46 (2023)

The UB Fast 46 is the 46 companies with the highest revenue growth rates as verified by The Bonadio Group, the official verification firm—have been selected. Named in honor of UB's founding in 1846, Fast 46 recognizes the success of 46 of the fastest-growing businesses owned or led by University at Buffalo alumni or former students around the world. 2023 Criteria: 1) Company must have been in operation from at least January 2019 to present. 2) Company must have verifiable revenues of at least $100,000 in both 2019 and 2020, and a minimum of $250,000 in 2021. 3) Company must be owned or led by a UB alumnus or former student.

Forbes America Top RIA Firm/SHOOK Research (2023)

Data provided by SHOOK® Research, LLC. Data as of 3/31/23. Source: Forbes.com (October, 2023). Forbes America’s Top RIA Firm's ranking was developed by SHOOK Research and is based on in-person, virtual and telephone due diligence meetings and a ranking algorithm that includes: a measure of each firm’s best practices, client retention, industry experience, review of compliance records, firm nominations; and quantitative criteria, including: 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. SHOOK’s research and rankings provide opinions intended to help investors choose the right financial advisor and firm, and are not indicative of future performance or representative of any one client’s experience. Past performance is not an indication of future results. Neither Forbes nor SHOOK Research receive compensation in exchange for placement on the ranking. For more information, please see www.SHOOKresearch.com. SHOOK is a registered trademark of SHOOK Research, LLC.

Selected by SHOOK Research, this list draws on a number of qualitative and quantitative methods designed to evaluate client experience. No compensation was given or received for this award. Criteria and methodology found here. 

Forbes Shook Best-in-State Wealth Advisors List (2024)

Forbes.com (January, 2024): Forbes Best-in-State Wealth Management Teams ranking was developed by SHOOK Research and is based on in-person, virtual and telephone due diligence meetings and a ranking algorithm that includes: a measure of each team’s best practices, client retention, industry experience, review of compliance records, firm nominations; and quantitative criteria, including: 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. SHOOK’s research and rankings provide opinions intended to help investors choose the right financial advisor and team, and are not indicative of future performance or representative of any one client’s experience. Past performance is not an indication of future results. Neither Forbes nor SHOOK Research receive compensation in exchange for placement on the ranking. For more information, please see www.SHOOKresearch.com. SHOOK is a registered trademark of SHOOK Research, LLC.

Social Media Disclosure

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DIRECT MESSAGING DISCLOSURE

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