Rankings Disclaimer

Barron’s Top 1,200 Financial Advisor

Source: Barron’s “America’s Top 1,200 Financial Advisors,” (2014, 2015, 2016). Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights reserved. Barron’s “America’s Top 1,200 Financial Advisors” bases its rankings upon data provided by individual advisers and their firms, including submissions by RZH Advisors, LLC (“RZH”). Barron’s confirms that data via regulatory databases, cross-checks with securities firms and conversations with individual advisers. The ranking reflects “the volume of assets overseen by the advisors and their teams, revenues generated for the firms and the quality of the advisors’ practices.” The scoring system assigns a top score of 100 and rates the rest by comparing them with the winner. A ranking of “N” denotes an advisor who is new to the list. The formula Barron’s uses to rank advisers 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 adviser’s returns are dictated largely by the risk tolerance of clients. The quality-of-practice component includes an evaluation of each adviser’s regulatory record.

 

Neither RZH nor any other participating advisers paid a fee to be eligible for the “America’s Top 1200  Financial Advisors” ranking. RZH is unaware of any undisclosed facts that could potentially invalidate the appropriateness of the ranking. By virtue of disclosing this ranking, RZH is disclosing favorable ratings (to the extent that RZH is ranked above other advisors) and unfavorable ratings (to the extent that RZH is ranked below other advisors).  Barron’s does not publish, nor is RZH aware of the percentage of other advisers that received the applicable ranking.  The ranking may not be representative of any one client’s experience because of the way in which it is calculated. The ranking is absolutely not indicative of RZH’s future performance, or any future performance pertaining to its clients’ investments. This ranking or any other rankings and/or recognition by unaffiliated rating services and/or publications should not be construed as a guarantee that a client will experience a certain level of results or satisfaction if RZH is engaged, nor should it be construed as a current or past endorsement by any of its clients.  A copy of RZH’s current written disclosure statement discussing its advisory services and fees remains available upon request.

 

Additional information about Barron’s “America’s Top 1200 Financial Advisors” is available at the following link: http://www.barrons.com/report/top-financial-advisors?mod=BOL_Nav_TAD_hpp

 

 FT 300 Top Registered Investment Advisor

“FT” and “Financial Times” are trademarks of The Financial Times Ltd. (“FT”).The Financial Times 300 Top Registered Investment Advisors is an independent listing (“The FT 300”) produced annually by the Financial Times (June, 2017).  The FT is not affiliated with RZH Advisors, LLC (“RZH”).  The FT 300 is presented as “an elite group,” not a competitive ranking of one to 300. The results are not based upon information or opinions of participating Registered Investment Advisers’ (“RIA’s”) clients.  Therefore, inclusion on the FT 300 is not representative of any participating RIA’s clients’ experiences. Neither the participating RIAs nor their employees pay a fee to The Financial Times in exchange for inclusion in The FT 300.

The FT 300 is based on data gathered from RIAs, regulatory disclosures, The FT’s research, and/or research conducted on The FT’s behalf by “Ignites Distribution Research,” a Financial Times sister publication. The FT invited RIAs reporting $300 million or more in client assets under management to complete a lengthy application, which was analyzed along with data available from regulatory filings. The FT indicates that the methodology used to evaluate inclusion on The FT 300 is quantifiable and objective, and that the participating RIAs had no subjective input in the analysis.

Approximately 520 RIAs applied and 300 made the final list.  The formula utilized to evaluate participating RIAs for inclusion on the list is based on six factors and calculates a numeric score for each participating RIA. Areas of consideration include: assets under management, asset growth, RIA age, industry certifications of key employees, SEC compliance record, and online accessibility. By considering the “SEC compliance record,” eligibility to appear on The FT 300 is designed to ensure that a participating RIA has an established and significant history and record free from regulatory sanctions. Assets under management and asset growth, combined, comprised roughly 80 to 85 per cent of each participating RIA’s score. Additionally, The FT caps the number of companies from any one state. The cap is roughly based on the distribution of millionaires across the US.

To the best of RZH’s knowledge: The FT does not include RIAs on The FT 300 if the ratings are not statistically valid with respect to any RIA; and there are no facts that would call into question the validity of the inclusion on The FT 300 or the appropriateness of RZH advertising the same.

Inclusion on the FT 300 is absolutely not indicative of RZH’s future performance, or any future performance pertaining to its clients’ investments; should not be construed by a client or prospective client as a guarantee that they will experience a certain level of results if RZH is engaged, or continues to be engaged, to provide investment advisory services; and should not be construed as a current or past endorsement of RZH by any of its clients.

More information about FT 300 is available here: https://www.ft.com/content/37bd6974-31b9-11e6-ad39-3fee5ffe5b5b

 

Rep. Magazine Top 50 Women-Owned RIAs

In 2013, Rep. Magazine presented a list of the Top 50 Women RIAs. The top 50 were awarded based on total AUM (from ADV), direct ownership of at least 25 percent of firm, provided financial planning as a service and had no more than 50 percent institutional clients,. In addition, the RIA could notbe affiliated with a broker/dealer or investment company.

Rep.’s Top 50 Women RIAs list was assembled using SEC filings and Meridian-IQ (in which Penton Media has a stake). Advisors were ranked according to their firm’s total assets under management.

Rep. Magazine became Wealthmanagement.com in 2016 and is still owned by Penton Media.

Inclusion on the Rep. Magazine Top 50 is absolutely not indicative of RZH’s future performance, or any future performance pertaining to its clients’ investments; should not be construed by a client or prospective client as a guarantee that they will experience a certain level of results if RZH is engaged, or continues to be engaged, to provide investment advisory services; and should not be construed as a current or past endorsement of RZH by any of its clients.

More information about Top 50 Women-Owned RIAs in 2013: http://www.wealthmanagement.com/rankings/top-50-women-owned-rias-2013