Important Disclosure

Important Disclosures: Awards and Recognitions of Empirical Wealth Management

Empirical Wealth Management (“Empirical”) is a SEC-registered investment adviser. Past performance may not be indicative of future results. Third-party rankings and recognition from rating services or publications should not be construed as a guarantee that a client or prospective client will experience a specific level of performance or results. Generally, ratings, rankings and recognition are based on information prepared and submitted by Empirical. Unless otherwise noted no fee was paid for consideration of any ranking or award. Empirical does not believe there is any conflicts of interests involved in its participation in the ratings and ranking and there is no business relationship between Empirical and the rankings/publications listed below.

Forbes America’s Top RIA Firms (2023):

The Forbes ranking of America’s Top RIA Firms, developed by SHOOK Research, is based on an algorithm of qualitative criteria mostly gained through telephone, virtual and in-person due diligence interviews, and quantitative data. The algorithm weighs varying factors like revenue trends, assets under management, compliance records, industry experience, and a measure of best practices. Portfolio performance is not a criterion due to varying client objectives and risk tolerances, and lack of audited data. Neither Forbes nor SHOOK receive a fee in exchange for rankings.

Empirical did not pay to participate in the ranking. Empirical does pay a licensing fee for use of this ranking.

Financial Advisor (FA) Magazine ranked as one of the top Registered Investment Advisors (2023):

The annual FA RIA survey is a ranking based on assets under management at year end of independent Registered Investment Advisory (RIA) firms that file their own ADV with the SEC. Firms must have at least $500 million in assets under management as of December 31, 2022. There were 521 firms evaluated in the survey.

Empirical did not pay a fee to appear on the published list. Empirical does pay a licensing fee for use of this ranking.

Barron’s Advisor Top 100 Registered Investment Advisor (RIA) Firms (2023):

The annual Barron’s ranking of independent advisory companies is based on assets under management, technology spending, staff diversity, succession planning. Advisors who wish to be ranked fill out a 102-question survey about their practice. Barron’s verifies the data of the advisory firms with regulatory databases and applies a ranking formula to generate a ranking. The formula features three major categories of calculations: (1) Assets (2) Revenue and (3) Qualify of Practice.

Empirical did not pay to participate in the ranking. Empirical does pay a licensing fee for use of this ranking. RIA Edge 100 List (2023):

The RIA Edge 100 list was developed by the Wealth Management IQ team in partnership with Discovery Data. WMIQ and Discovery Data analyzed the ADV of all SEC-registered investment advisors, looking 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 of June 30, 2022.

The methodology and weighting were intended to provide a clear picture of firm growth as it relates to client service. RIA Edge 100 firms are those with the most impressive growth rates combined with the best client ratios and most CFP certifications.

Empirical did not pay to participate in the ranking. Empirical does not pay a licensing fee for use of this ranking.

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