Important Disclosure Information
Disclosures & Certifications
Accolades & Awards
- Barron's - Creative Planning
- Barron's - Peter Mallouk
- Barron's - Multiple Individual Advisors
- Boomer - Peter Mallouk
- CNBC - Creative Planning
- E&Y - Peter Mallouk
- FA Magazine - Creative Planning
- Financial Planning - Peter Mallouk
- Financial Times
- Five Star Professional
- Forbes
- Ingram's Magazine
- Invest in Others
- InvestmentNews
- KC Business Journal
- NAPA
- PLANADVISER
- RIA Channel, Published by Forbes
- Washingtonian
- Working Mother Magazine
- Worth Magazine - Creative Planning
- Worth Magazine - Peter Mallouk
Disclosure Information
Creative Planning, LLC. (“Company”) is an SEC registered investment adviser located in Overland Park, Kansas. Company and its representatives are in compliance with the current filing requirements imposed upon SEC registered investment advisers by those states in which Company maintains clients. Company may only transact business in those states in which it is registered, or qualifies for an exemption or exclusion from registration requirements. Company’s web site is limited to the dissemination of general information pertaining to its advisory services, together with access to additional investment-related information, publications, and links. Accordingly, the publication of Company’s web site on the Internet should not be construed by any consumer and/or prospective client as Company’s solicitation to effect, or attempt to effect transactions in securities, or the rendering of personalized investment advice for compensation, over the Internet. Any subsequent, direct communication by Company with a prospective client shall be conducted by a representative that is either registered or qualifies for an exemption or exclusion from registration in the state where the prospective client resides. For information pertaining to the registration status of Company, please contact the SEC or the state securities regulators for those states in which Company maintains a notice filing. A copy of Company’s current written disclosure statement discussing Company’s business operations, services, and fees is available from Company upon written request. Company does not make any representations or warranties as to the accuracy, timeliness, suitability, completeness, or relevance of any information prepared by any unaffiliated third party, whether linked to Company web site or incorporated herein, and takes no responsibility therefore. All such information is provided solely for convenience purposes only and all users thereof should be guided accordingly.
Certain portions of Company’s web site (i.e. newsletters, articles, commentaries, etc.) may contain a discussion of, and/or provide access to, Company (and those of other investment and non-investment professionals) positions and/or recommendations as of a specific prior date. Due to various factors, including changing market conditions, such discussion may no longer be reflective of current position(s) and/or recommendation(s). Moreover, no client or prospective client should assume that any such discussion serves as the receipt of, or a substitute for, personalized advice from Company, or from any other investment professional. Company is neither an attorney nor an accountant, and no portion of the web site content should be interpreted as legal, accounting or tax advice.
Rankings and/or recognition by unaffiliated rating services and/or publications should not be construed by a client or prospective client as a guarantee that he/she will experience a certain level of results if Company is engaged, or continues to be engaged, to provide investment advisory services, nor should it be construed as a current or past endorsement of Company by any of its clients. Rankings published by magazines, and others, generally base their selections exclusively on information prepared and/or submitted by the recognized adviser. Rankings are generally limited to participating advisers. The Company never pays a fee to be considered for any ranking or recognition, but may purchase plaques or reprints to publicize rankings, and participates in Barron's digital marketing program for ranked firms and individuals.
Affiliates
United Capital Financial Advisors is an affiliate of Creative Planning.
Certifications and Designations
1. Accredited Investment Fiduciary® (AIF®)
a. The AIF designation represents a thorough knowledge of and ability to apply the fiduciary Practices. Through fi360’s AIF Training programs, AIF designees learn the Practices and the legal and best practice framework they are built upon. AIF designees have a reputation in the industry for the ability to implement a prudent process into their own investment practices as well as being able to assist others in implementing proper policies and procedures.
2. CERTIFIED FINANCIAL PLANNER™ (CFP®)
a. The CFP® designation is issued by the CERTIFIED FINANCIAL PLANNER Board of Standards, Inc. and is a voluntary certification recognized by the United States and other countries for its (1) high standard of professional education, (2) stringent code of conduct and standards of practice and (3) ethical requirements governing professional engagements with clients. A candidate for designation must first obtain a bachelor’s degree from an accredited college or university with courses that included financial planning subject areas (e.g. insurance planning, risk management, employee benefits planning, investment planning, income tax planning, retirement planning and estate planning). Candidates must also have at least 3 years of full-time personal financial planning experience, measured as 2,000 hours per year. CFP® candidates must pass a 2-day comprehensive examination designed to test their ability to correctly diagnose financial planning issues and apply their knowledge to real world circumstances. Candidates must also agree to be bound by the CERTIFIED FINANCIAL PLANNER Board’s Standards of Professional Conduct. Anyone earning designation as a CFP® must complete 30 hours of continuing education every two years and renew the agreement to be bound by the Standards of Professional Conduct.
3. Certified Public Accountant (CPA)
a. A CPA primarily provides financial audit services, including attesting to the reasonableness of disclosures, freedom from material misstatements and adherence to applicable generally accepted accounting principles. To become a CPA, a candidate must pass the Uniform Certified Public Accountant Examination set by the American Institute of Certified Public Accountants and administered by the National Association of State Boards of Accountancy. Typically, eligibility to sit for the examination requires a candidate to have a bachelor’s degree that includes a minimum number of qualifying credit hours in accounting and business administration plus an additional one-year study. Candidates are also required to have public accounting work experience, with minimum requirements varying from state to state. Applicants for CPA status must also complete a special examination on ethics, including a review of state specific rules for professional practice. All CPAs are required to take continuing education courses. The requirements vary by state but usually require 120 hours of continuing education every three years with at least 20 hours taken every year. Many states require CPAs to take an ethics course during every renewal period, with courses ranging from 2-8 hours.
4. The CHARTERED FINANCIAL ANALYST™ (CFA®)
a. The CFA charter is a globally respected, graduate-level investment credential established in 1962 and awarded by CFA Institute — the largest global association of investment professionals. There are currently more than 90,000 CFA charter holders working in 134 countries. To earn the CFA charter, candidates must: 1) pass three sequential, six-hour examinations; 2) have at least four years of qualified professional investment experience; 3) join CFA Institute as members; and 4) commit to abide by, and annually reaffirm, their adherence to the CFA Institute Code of Ethics and Standards of Professional Conduct. High Ethical Standards. The CFA Institute Code of Ethics and Standards of Professional Conduct, enforced through an active professional conduct program, require CFA charter holders to:
- Place their clients’ interests ahead of their own
- Maintain independence and objectivity
- Act with integrity
- Maintain and improve their professional competence
- Disclose conflicts of interest and legal matters
Additionally, regulatory bodies in 22 countries and territories recognize the CFA charter as a proxy for meeting certain licensing requirements, and more than 125 colleges and universities around the world have incorporated a majority of the CFA Program curriculum into their own finance courses.
Comprehensive and Current Knowledge
The CFA Program curriculum provides a comprehensive framework of knowledge for investment decision making and is firmly grounded in the knowledge and skills used every day in the investment profession. The three levels of the CFA Program test a proficiency with a wide range of fundamental and advanced investment topics, including ethical and professional standards, fixed-income and equity analysis, alternative and derivative investments, economics, financial reporting standards, portfolio management, and wealth planning.
The CFA Program curriculum is updated every year by experts from around the world to ensure that candidates learn the most relevant and practical new tools, ideas, and investment and wealth management skills to reflect the dynamic and complex nature of the profession.
5. The Chartered Financial Consultant® (ChFC®)
a. A ChFC has taken eight or more college-level courses on all aspects of financial planning from The American College. Those who earn the designation are understood to be knowledgeable in financial matters and to have the ability to provide sound advice. The average study time for the program is over 400 hours, and advisors frequently spend years earning this distinction. Each ChFC® must also complete a minimum of 30 hours of continuing education every two years and must meet extensive experience requirements. In order to be considered for the program, the applicant must already have a minimum of three years working in the financial industry. In addition, it is recommended that applicants have a degree related to finance or business before applying. The authority to use the ChFC® mark is granted by the Certification Committee of the Board of Trustees of The American College, and that privilege is contingent on adherence to strict ethical guidelines. All ChFC® advisors are required to do the same for clients that they would do for themselves in similar circumstances, the standard of ethical behavior most beneficial for their clients.
6. The CHARTERED RETIREMENT PLANS SPECIALIST™ (CRPS®)
a. The CRPS is a professional designation awarded by the College for Financial Planning to financial professionals who successfully complete a self-study program, pass an exam and agree to comply with a code of ethics. The CRPS program covers the types and characteristics of retirement plans, including IRAs, small business retirement plans, defined contribution plans, nonprofit plans, 401(k) and 403(b) plans, and government plans. It also covers plan distributions, plan design and implementation, plan establishment and operation, and fiduciary issues. Every two years, CRPS professionals must complete 16 hours of continuing education and pay a fee to continue using the designation.
7. The Chartered Retirement Planning Counselor (SM) and CRPC®
a. The SM and CRPC are service marks of the College of Financial Planning®. The CRPC designation indicates successful completion of course requirements set forth by the College. The College for Financial Planning awards the CRPC designation to students who complete the program, pass the final examination, and sign a code of ethics commitment and declaration form. Successful students receive a certificate and are granted the right to use the designation on correspondence and business cards. The CRPC program focuses on the pre and post retirement needs of individuals, allowing the retirement planning process to be transformed into a positive experience. Enrollment in the program provides knowledge in a variety of principles in the retirement planning field.
8. Personal Financial Specialist (PFS)
a. The American Institute of CPAs (AICPA) established the PFS credential for CPAs who specialize in various areas of financial planning. In order to receive the credential, CPAs must pass the exam requirement that covers all of the planning process and professional responsibilities and disciplines that make up personal financial planning, including tax, estate, retirement, investments, and insurance planning as well as a few niche areas like employee benefits, education, and elder planning. CPAs who have passed the CFP or ChFC exams do not need to take the PFS exam and are deemed to have met the exam requirement.
Please remember that different types of investments involve varying degrees of risk, and there can be no assurance that the future performance of any specific investment or investment strategy (including those undertaken or recommended by Company), will be profitable or equal any historical performance level(s).
YouTube and Podcasts
All opinions expressed in these programs are for general informational purposes only and are not intended to provide specific advice or recommendations for any individual or on any specific security. These programs are only intended to provide information and education about the financial markets. To determine which investments may be appropriate for you, consult your financial advisor prior to investing. Any past performance discussed during this program is no guarantee of future results. Any indices referenced for comparison purposes are unmanaged and cannot be invested into directly. As always, please remember that investing involves risk and possible loss of principal.
Barron’s – Creative Planning
1. Accolade – Top 100 RIA Firms (2019-2024)
Disclosure: Barron’s Top 100 RIA Firm Rankings are “based on both qualitative and quantitative criteria, including: the assets a firm manages and the revenue those assets generate; regulatory record; staffing levels and diversity; technology spending; succession planning, and more.” Advisors that wish to be ranked must fill out a survey but do not pay to do so. Barron’s independently verifies data with regulatory databases when applying their ranking formula.
Barron’s – Peter Mallouk
1. Accolade: Barron’s #1 Independent Financial Advisor in America (2013, 2014, and 2015)
Disclosure: “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.”
2. Accolade: Barron’s Advisor Hall of Fame
Disclosure: “Barron’s Hall of Fame, is an award honoring a group of advisors who exemplify long-term success and commitment to their clients. Each member of the Hall of Fame has appeared in 10 or more of Barron’s annual Top 100 Advisor rankings, and their long-looking commitment to excellence is a hopeful example for the industry to follow.
Advisors appearing in our rankings have answered 100-plus questions about their practices in our annual survey. The questionnaire addresses a wide range of data points, including the assets the advisors oversee, the revenue they collect on those assets, the industry designations they possess, their regulatory records, the length of time they’ve been in the industry, their charitable and philanthropic work, the investment vehicles they use to allocate assets, the sizes and shapes of their teams, and more.
The rankings specifically do not factor in investment performance, as returns are tied inextricably to the risk tolerances of individual clients; to reward outsize returns would be to encourage advisors to chase them. Instead, we use assets and revenue as our primary quantitative measures, as clients tend to express their satisfaction by voting with their assets and their fees.”
Barron’s – Multiple Individual Advisors
1. Accolade: Barron’s Top 100 Independent Wealth Advisors (2018-2024)
Disclosure: “Disclosures Rankings and/or recognition by unaffiliated rating services and/or publications should not be construed by a client or prospective client as a guarantee that he/she will experience a certain level of results if the Wealth Advisor is engaged, or continues to be engaged, to provide investment advisory services, nor should it be construed as a current or past endorsement of the Wealth Advisor by any of his/her clients. Rankings published by magazines, and others, generally base their selections exclusively on information prepared and/or submitted by the recognized Wealth Advisor. Rankings are generally limited to participating advisors.
The Wealth Advisor does not pay a fee to be considered for any ranking or recognition, but may purchase plaques or reprints to publicize rankings. Advisors who wish to be ranked fill out a survey from Barron’s about their practice. Barron’s verifies that data with the advisors’ firms and with regulatory databases and then applies its own rankings formula featuring three major categories of calculations: (1) Assets, (2) Revenue, and (3) Quality of practice. Barron’s measures the growth of an advisors practice and their client retention and also considers a wide range of qualitative factors, including the advisors’ experience, their advanced degrees and industry designations, the size and shape of their teams, their charitable and philanthropic work, and their compliance record..”
2. Accolade: Barron’s Top 100 Women Advisors (2019-2024)
Disclosure: “Advisors who wish to be ranked fill out a survey from Barron’s about their practice. Barron’s verifies that data with the advisors’ firms and with regulatory databases and then applies its own rankings formula featuring three major categories of calculations: (1) Assets, (2) Revenue, and (3) Quality of practice. Barron’s measures the growth of an advisors’ practice and their client retention and also considers a wide range of qualitative factors, including the advisors’ experience, their advanced degrees and industry designations, the size and shape of their teams, their charitable and philanthropic work, and their compliance record.”
3. Accolade: Barron’s Top 1,200 Financial Advisors by State (2019-2024)
Disclosure: “The rankings are based on data provided by around 6,000 of the nation’s most productive 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 because not all advisors have audited results and because performance figures often are influenced more by clients’ risk tolerance than by an advisor’s investment-picking abilities.”
Boomer – Peter Mallouk
1. Accolade: Advisor of the Year (2008)
Disclosure: “We look at AUM and ask for a minimum of $100 million. We do extensive background checks. And we look at new ideas, strategies and boomer-specific focus. We also ask that advisors have a minimum of 10 years in the business.”
CNBC – Creative Planning
1. Accolade: #1 Wealth Management Firm in the United States (2014–2015)
Disclosure: “The CNBC Digital editorial team, along with Meridian-IQ, created the following ranking methodology for its Top 100 Fee-Only Wealth Management Firms rankings. Scores for each measure listed below were weighted according to a proprietary formula to arrive at a final total rank: Assets under management, Having staff with professional designations such as a CFP or CFA, Working with third-party professionals such as attorneys or CPAs, Average account size, Client segmentation, Growth of assets, Years in business, Number of advisory clients, Providing advice on insurance solutions. Firms with greater AUM totals were given a higher ranking in the case of numerical ties of the above formula. The Meridian/AdviceIQ team then applied the formula to the Meridian-IQ database of all RIAs to create the list. The final step to create the Top 100 Fee-Only Wealth Management Firms list for CNBC.com was to apply the AdviceIQ Regulatory Compliance Review (RCR) process to the master list and eliminate any firm that failed the RCR process. The RCR process is a due-diligence process whereby each advisory firm was compared with the RCR database of all regulatory actions from all four primary regulators: SEC, FINRA, state regulators and state insurance commissioners. In order to pass the RCR process, an advisory firm cannot have any complaints, actions or disclosures from any of the above regulators.”
E&Y – Peter Mallouk
1. Accolade: Ernst & Young Central Midwest Entrepreneur of the Year Award (2017)
Disclosure: “Individuals who are nominated should be the founder or the current executive responsible for the day to day operations of the for-profit business. This is typically the CEO or President. Individuals should be in their role for a minimum of two years, and the business should be operational for at least two years. The regional and independent panels of judges include entrepreneurs and prominent leaders from academia business and the media. Each independent regional judging panel selects categories and award recipients based on the quality and quantity of the nominations received. Each independent panel of judges is allowed complete discretion in determining categories and award recipients.
FA Magazine – Creative Planning
1. Accolade: Top RIA Firms in America (2013-2022, 2024)
Disclosure: 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. FA Magazine does their 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.
Financial Planning – Peter Mallouk
1. Accolade: 22 People Who Will Change Wealth Management in 2022
Disclosure : “The staff at Financial Planning set out to identify the veteran professionals and up-and-comers who could make the biggest impact on the industry in 2022. With inclusion on a prior year’s list the only disqualifying factor, the professionals making up this admittedly subjective roster are reshaping a fragmented industry and serve a mission that extends beyond annual earnings.”
Financial Times
1. Accolade: Top Registered Investment Advisers (2014-2020)
Disclosures: The formula the FT uses to grade advisers is based on six broad factors and calculates a numeric score for each adviser. Areas of consideration include adviser AUM, asset growth, the company’s age, industry certifications of key employees, SEC compliance record, and online accessibility. the FT caps the number of companies from any one state. The cap is roughly based on the distribution of millionaires across the US.
2. Accolade: 401 Top Retirement Advisor (2020)
Disclosures: To select the FT 401, we started by setting minimum criteria for advisors to apply. Financial advisors were required to manage $75 million or more in DC plan assets and have DC assets account for at least 20% of their total AUM. Our research partner, Broadridge Financial Solutions, provided unique data from its proprietary database to help identify qualifying candidates. We also worked with the largest U.S. broker-dealers to obtain lists of advisors who met the defined criteria. Qualified advisors filled out an online application, and were scored on several factors, including DC AUM, growth in DC plan business, specialization in the DC business, years of experience, industry certifications and compliance record. Selection is independent and objective, and no money is exchanged as part of the process.
Five Star Professional
1. Accolade: Five Star Wealth Manager (Multiple Wealth Managers, Multiple Years)
Disclosures: “Five Star Professional’s (“Five Star”) wealth manager award is intended to recognize local wealth managers that promote professional excellence. Five Star identifies pre-qualified candidates by collecting nominations and verifying validity. Award candidates that do not pass Five Star’s regulatory and consumer complaint review process are removed from consideration. Award candidates who wish to be ranked complete an evaluation form. Five Star’s evaluation criteria may include, but is not limited to: client retention rate, non-institutional discretionary and/or non-discretionary client assets administered, client households served, and education and professional designations.
Disclosures: Rankings and/or recognition by unaffiliated rating services and/or publications should not be construed by a client or prospective client as a guarantee that he/she will experience a certain level of results if the Wealth Manager is engaged, or continues to be engaged, to provide investment advisory services, nor should it be construed as a current or past endorsement of the Wealth Advisor by any of his/her clients. Rankings published by magazines, and others, generally base their selections exclusively on information prepared and/or submitted by the recognized Wealth Manager. Rankings are generally limited to participating advisors. The Wealth Manager does not pay a fee to be considered for any ranking or recognition, but may purchase plaques or reprints to publicize rankings.”
Forbes
1. Accolade: Top Next-Gen Wealth Advisors (2020, 2024)
Disclosures: The Forbes Next-Gen Wealth Advisors rankings, developed by SHOOK Research, is based on an algorithm of qualitative criterion, mostly gained through telephone and in-person due diligence interviews, and quantitative data. Those advisors that are considered have a minimum of four years’ experience, and the algorithm weighs factors like revenue trends, assets under management, compliance records, industry experience and those that encompass the highest standards of best practices. Portfolio performance is not a criterion due to varying client objectives and lack of audited data. Neither Forbes nor SHOOK receive a fee in exchange for rankings.
2. Accolade: Best-In-State Wealth Advisors (2020-2021)
Disclosures: The Forbes ranking of Best-In-State Wealth Advisors, developed by SHOOK Research, is based on an algorithm of qualitative criteria, gained through telephone, virtual and in-person due diligence interviews, and quantitative data. Those advisors that are considered have a minimum of seven years experience, and the algorithm weights factors like revenue trends, assets under management, compliance records, industry experience and those that encompass best practices in their approach to working with clients. Portfolio performance is not a criteria due to varying client objectives and lack of audited data. Neither Forbes or SHOOK receive a fee in exchange for rankings.
3. Accolade: Forbes Top Women Advisors – (2021)
Disclosures: The Forbes ranking of America’s Top Women Wealth Advisors, developed by SHOOK Research, is based on an algorithm of: qualitative data, learned through surveys and interviews (in-person, telephone and virtual), so we can evaluate best practices, service and investing models, compliance records, etc.; as well as quantitative data, like revenue trends and assets under management. All advisors have a minimum of seven years’ experience. Portfolio performance is not a criteria due to varying client objectives and lack of audited data. Neither Forbes nor SHOOK receive a fee in exchange for rankings.
Ingram’s Magazine
1.Ingram’s 250
Ingram’s 250 is a compilation of the most influential leadership figures in the Kansas City region. The list spans business and commerce including key figures from higher education, non-profit, arts and entertainment, sports venues and other venues. Nominees are evaluated on objective criteria such as influence, civic engagement, industry expertise, and revenue generation which the Ingram’s staff subjectively evaluates.
2. Accolade: Best Wealth Manager (2020)
Disclosures: Per Joe Sweeney @ Ingram’s: Nothing unique this year—we named about four dozen companies in Best of Best due purely to the number of Gold Awards earned over the years. Reader’s Choice awards—7 or more golf awards in their respective categories. The recognition was awarded based on the number of Gold Awards earned by the firm over the years. A company winning 7 or more Gold Awards based on Reader’s Choice awards in their respective category was named to the 2020 Best of the Best list.
3. Accolade: Corporate Champion (2018)
Disclosures: Winners are determined internally, with the editorial committee evaluating nominations and staff research gathered through the year in the form of stories by other media, in-house newsletters, news releases, TV features, etc. The staff assesses the level of philanthropic engagement donations, volunteer work, etc. to create a scoring matrix built around impact of the effort and engagement of the firm’s staff.
4. Accolade: 40 Under 40 (Multiple Years)
Disclosure: Ingram’s “40 Under Forty” lists recognizes the achievements and promise of the area’s young executives, professionals, and community leaders. Ingram’s considers nominees who are younger than 40 as of April 1 of the award year. Nomination basis includes the following: Ethics and Integrity, Leadership Skills, Achievement in Business, Entrepreneurship, Executive-level Managerial Status, Professional Affiliations and Associations, Appointments to Boards and Commissions, or Community Service.
5. Accolade: 20 in their Twenties (Multiple Years)
Disclosure: Ingram’s “20 In Their Twenties” lists recognizes the achievements and promise of the area’s young entrepreneurs. Ingram’s considers nominees who are in their 20s as of Oct. 1 of the award year. Nomination recognizes the achievements and promise of the area’s young entrepreneurs, as well as those who demonstrate entrepreneurial qualities and thinking on behalf of their employers.
6. Accolade: WeKC (Multiple Years)
Disclosure: Ingram’s WeKC (Women Executives – Kansas City) list recognizes women executives in Kansas City that have demonstrated the qualities of positive executive leadership for their organizations and significant contributions to the Kansas City region overall.
7. Accolade: Best Companies to Work for (2015, 2019 & 2022)
Disclosure: Ingram’s “Best Companies to Work For” recognizes companies that have created what Ingram’s considers the best workplaces in the region through a strategic mix of compensation, benefits and organizational culture. Company policies, practices and demographics and philosophies in the areas of management practices, training and development, pay and benefits, work environment, financial outlook and community services are all taking into consideration. This program showcases local workplaces that have won the loyalty of their employees and the respect of the business community. Winners in any one year must sit out the next two years.
Invest in Others
1. Accolade: Charitable Champions (2023 - 2024)
Disclosure: The Invest in Others Charitable Foundation is a 501(c)(3) nonprofit dedicated to supporting and empowering financial advisors and firms that invest in others by giving back to their communities with overwhelming generosity. The Invest in Others Charitable Champions List recognizes advisory firms for their exemplary efforts to give back to their communities by promoting a culture of philanthropy among employees and financial advisors. Applications were reviewed blindly by a panel of financial advisors and evaluated on criteria that included leadership and culture, events and activities, incentives, contributions, and impact.
InvestmentNews
1. Accolade: 40 Under 40 (2022 - 2023)
Disclosure: InvestmentNews’ 40 Under 40 program recognizes up-and-comers in the financial advice industry who are 39 or younger. Over 1,000 nominees are judged on their accomplishments, contribution to the industry, leadership and promise by the InvestmentNews editorial team who selects 40 outstanding professionals.
Kansas City Business Journal (KCBJ)
1. Accolade: Fee-Based Investment Advisor #1 Ranking (Multiple Years)
KCBJ’s Top Fee-based Investment Advisor list is based on overall assets under Local Management, which includes any local or non-local money being managed by a local firm out of its local offices. Local for this award is defined as Jackson, Clay, Platte, Cass and Ray counties in Missouri and Johnson, Leavenworth and Wyandotte counties in Kansas. This award compares growth from the previous year in overall assets under local management, number of accounts managed in local offices, different client types, the number of local employees and the number of companywide office locations.
2. Accolade: Best Places to Work (2020)
Disclosures: The 2020 Best Places to Work honorees participated in an employee survey during the summer facilitated by Kansas City Business Journal’s survey partner, Quantum Workplace. To qualify for consideration, companies had to have a minimum of 10 employees in the Kansas City area, and a preset number of employees had to complete the survey. Quantum Workplace uses a proprietary algorithm to determine the top-scoring companies.
3. Accolade: Rising Star (Multiple Years)
Disclosure: The Rising Star award recognizes outstanding professionals in Kansas City who are under the age of 40 and demonstrate tremendous work ethic and leadership skills in their businesses and communities.
NAPA
1. NAPA Top DC Advisor Multi-Office
Disclosure: The NAPA Top DC Advisor Multi-Office is based on self-reported defined contribution (DC) assets under advisement (AUA) as of end of year for the organizations that submitted data. Firms must have more than one office/physical location to be included and have with over $1 billion in DC AUA. There is no charge to be included in the listing.
2. Accolade: NAPA Top Women of Excellence
The NAPA Top Women of Excellence, formerly the Top Women Advisors, award program is based on self-reported responses to questions, both quantitative and qualitative, about their experience and practice, as well as their accomplishments, their contributions to the industry, the state of workplace retirement plans, and in what way(s) they “give back.” There is no charge to be included in the listing.
3. Accolade: NAPA Top Retirement Plan Advisors Under 40
Established in 2014, this list – officially the NAPA Top Retirement Plan Advisors Under 40, a.k.a. “Aces” – is based on applications received from nominees designated by NAPA Broker-Dealer/RIA Firm Partners. Those applications are then vetted by a blue-ribbon panel of senior advisor industry experts based on a combination of quantitative and qualitative data submitted by the nominees, as well as a broker-check review.
PLANADVISER
1. Accolade: PLANADVISER Top Retirement Plan Advisers (2022 - 2024)
PLANADVISER Top Retirement Plan Advisers listing recognizes individual retirement plan advisers based on quantitative metrics, including number of plans under advisement and total assets under advisement. To be considered, advisers must complete the annual PLANADVISER Retirement Plan Adviser Survey.
RIA Channel, Published by Forbes
1. Accolade: #1 Wealth Manager (2020)
Disclosures: RIA Channel ranked the Top 100 RIA firms of 2020 based on a proprietary set of criteria and data. The ranking is based on both size and growth in assets as of June 30, 2020, as reported to the SEC. RIA Database (RIADatabase.com) was used for regulatory data, organic research, and advisor surveys. We recognize these firms as leaders in their field and congratulate them on their success. RIA Database uses quantitative and qualitative criteria to create the rankings. Refer to our METHODOLOGY for more information on how firms qualified. We are delighted to recognize these firms for their independence, their entrepreneurial spirit, and their ability to emerge as leaders in their field. We congratulate each of them on their success.
2. Accolade: RIA Channel® Top 50 Wealth Managers By Growth in Assets (2024)
Wealth managers have earned their positions on the list by demonstrating exceptional growth, with a minimum asset growth rate of 30% over the past two years, as verified by the most current annual ADV filings. The rankings are based on RIA Channel’s proprietary data, which combines qualitative and quantitative factors. Criteria and requirements include being actively registered investment advisers with the SEC with no regulatory, criminal or administrative violations on file per the SEC as of the most current annual ADV filing and wealth management services must be the primary business. All qualified wealth managers with a two-year growth rate of 30% or more were ranked based on assets reported to the SEC on the most current annual ADV filing. Broker dealers, fund managers and hedge funds managers were excluded.
Washingtonian
1. Accolade: Top Financial Advisers (2022)
Disclosure: “To arrive at the names of the area’s top financial advisers—the fee-only financial planners, fee-based advisers, estate attorneys, tax accountants, and insurance advisers marked with a “Top Financial Adviser” tag—we distributed surveys to hundreds of people who work in the local financial industry. We asked them whom they would trust with their own money. We also did our own research, consulting industry experts and publications. The “Top Financial Adviser” names on this list are the people who received the strongest recommendations.”
Working Mother Magazine
1. Accolade: Top Wealth Advisor Moms (2020-2021)
Disclosure: SHOOK Research considered women advisors with a child 21 or younger still living at home. 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. Neither SHOOK nor Working Mother receive compensation from the advisors or their firms in exchange for placement on a ranking. For more information, see shookresearch.com.
Worth Magazine – Creative Planning
1. Accolade: Leading Advisors List (2024)
Disclosure: Consideration for this achievement was independent of recipients, there is no fee or application for inclusion. There is also no ranking within the 300 listed. “This is an independent undertaking from Worth and its editorial staff to curate a list of exceptional advisors that demonstrate an unwavering commitment to deliver unparalleled service to their clients.”
The public data used was scrubbed from ISS Market Intelligence, an independent 3rd party data provider. The criteria used in the process started with pooling Independent SEC Registered Investment Advisors that 1. provide financial planning services to their customers, 2. have a minimum of $500 million AUM, and 3. have a client base primarily consisting of domestic high net worth clients. Data from the last five years was considered to give a baseline of growth in AUM.
Worth Magazine – Peter Mallouk
1. Accolade: 100 most powerful men and women in global finance (2017, 2018)
Disclosure: The most powerful person in finance should be a leader, an innovator, a visionary and a disruptor. In order to compile the Power 100, Worth’s editorial team goes through a rigorous selection process, which includes close monitoring of the comings and goings of both past honorees and newcomers to the scene, as well as talking to industry influencers.
