Financial Times Top Registered Investment Advisers (2014)disclosure
FT 300 Disclosure
The 2014 Financial Times 300 Top Registered Investment Advisors is an independent listing produced by the Financial Times (June, 2014). The FT 300 is based on data gathered from RIA firms, regulatory disclosures, and the FT’s research. As identified by the FT, the listing reflected each practice’s performance in six primary areas, including assets under management, asset growth, compliance record, years in existence, credentials and accessibility. Neither the RIA firms nor their employees pay a fee to The Financial Times in exchange for inclusion in the FT 300. Inclusion on the list is not indicative of BWC’s future performance.
Financial Advisor Magazine - RIA Survey & Rankings Disclosure:
Financial Advisor magazine published its tenth annual ranking of independent advisory firms. To be eligible for the ranking, firms must be independent registered investment advisors and file their own ADV statement with the SEC, provide financial planning and related services to individual clients, and have at least $50 million in assets under management as of December 31, 2014. Neither the RIA firms nor their employees pay a fee to Financial Advisor in exchange for inclusion in FA Magazine’s Registered Investment Advisor (RIA) Survey & Ranking. Inclusion on the list is not indicative of BWC’s future performance.
Barron's Top Independent Advisors Ranking Disclosure
The rankings are based on data provided by over 4,000 of the nation's financial advisors. Factors included in the rankings: assets under management, revenue produced for the firm, regulatory record, quality of practice and philanthropic work. Investment performance isn't an explicit component. Neither BWC nor any of its employees paid a fee for the ranking.
The formula Barron's uses to rank advisors is proprietary. It has three major components: assets managed, revenue produced and quality of practice. Investment returns are not a component of the rankings because an advisor's returns are dictated largely by the risk tolerance of clients. The quality-of-practice component includes an evaluation of each advisor's regulatory record. Inclusion on the list is not indicative of BWC’s future performance.
Five Star Professional Wealth Manager (2012 – 2016)disclosure
The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria:
Credentialed as an investment advisory representative (IAR) or a registered investment advisor;
Actively employed as a credentialed professional in the financial services industry for a minimum of five years;
Favorable regulatory and complaint history review;
Fulfilled their firm review based on internal firm standards;
Accepting new clients;
One-year client retention rate;
Five-year client retention rate;
Non-institutionalized discretionary and/or non-discretionary client assets administered;
Number of client households served;
Educational and professional designations.
Wealth managers do not pay a fee to be considered or awarded.
Once awarded, wealth managers may opt to purchase additional profile ad space or related award promotional products. The award methodology does not evaluate the quality of services provided. The award is not indicative of the award winner’s future performance. For 2016, 1,983 Connecticut wealth managers were considered for the award; 417 (22 percent of candidates) were named Five Star Wealth Managers. For 2015, 2,398 Connecticut wealth managers were considered for the award; 468 (20 percent of candidates) were named Five Star Wealth Managers. For 2014, 3,926 Connecticut wealth managers were considered for the award; 417 (22 percent of candidates) were named Five Star Wealth Managers. For 2013, 2,263 Connecticut wealth managers were considered for the award; 531 (24 percent of candidates) were named Five Star Wealth Managers. For 2012, 2,204 Connecticut wealth managers were considered for the award; 503 (23 percent of candidates) were named Five Star Wealth Managers.
To qualify as having a favorable regulatory and complaint history for this award, the person cannot have (1) been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine, (2) had more than a total of three customer complaints filed against them (settled or pending) with any regulatory authority or Five Star Professional’s consumer complaint process, (3) individually contributed to a financial settlement of a customer complaint filed with a regulatory authority, (4) filed for bankruptcy, or (5) been convicted of a felony.