Securities offered through Royal Alliance Associates, Inc. member FINRA/SIPC and a registered investment advisor. Insurance services offered through Patricia Brennan are independent of Royal Alliance Associates, Inc. Advisory services offered through Key Financial, Inc. a registered investment advisor not affiliated with Royal Alliance Associates.
The Advisors at Key Financial Inc., are Registered Representatives of and offer securities products & services through Royal Alliance Associates, Inc. Member FINRA/SIPC, a registered broker-dealer. In this regard, this communication is strictly intended for individuals residing in the states of California, Delaware, Florida, Georgia, Illinois, Indiana, Maryland, Massachusetts, Nevada, New Jersey, New Mexico, New York, North Carolina, Pennsylvania, South Carolina, Texas and Virginia. No offers may be made or accepted from any resident outside the specific states referenced.
The advisors at Key Financial Inc., are also separately registered as an investment advisers under Key Financial Inc., a registered investment adviser, offering advisory services in the states of Delaware, Florida, Massachusettes, North Carolina, New Jersey, Pennsylvania, South Carolina, Texas and Virginia. As such these services are strictly intended for individuals residing in the above named states.
Important Consumer Information:
A broker-dealer “BD”, investment adviser “IA”, a BD agent, or IA Representative may only transact business in a state if first registered in that state, or is excluded or exempt from registration in that state as a broker-dealer, investment adviser, BD agent or IA Representative, as appropriate. Follow-up, individualized responses to persons in a state by such a firm or individual that involve either affecting or attempting to affect transactions in securities, or the rendering of personalized investment advice for compensation, will not be made without first complying with appropriate registration requirements, or an applicable exemption or exclusion.
For information concerning the licensing status or disciplinary history of a broker-dealer, investment adviser, BD agent, or IA rep, a consumer should contact his or her state securities law administrator.
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Awards & Rankings:
The Financial Times Top 300 Financial Advisors (2019-2020) is an independent listing produced by the Financial Times (March, 2019). The FT 300 is based on data gathered from firms and verified by broker-dealer home offices, regulatory disclosures, and the FT’s research. The listing reflects each advisor’s performance in six primary areas, including assets under management, asset growth, compliance record, experience, credentials and accessibility as identified by the FT. Neither the brokerages nor the advisors pay a fee to The Financial Times in exchange for inclusion in the FT 300.
The Financial Times 400 Top Financial Advisors is an independent listing produced by the Financial Times (March, 2016). The FT 400 is based on data gathered from firms and verified by broker-dealer home offices, regulatory disclosures, and the FT’s research. The listing reflects each advisor’s performance in six primary areas, including assets under management, asset growth, compliance record, experience, credentials and accessibility as identified by the FT. Neither the brokerages nor the advisors pay a fee to The Financial Times in exchange for inclusion in the FT 400.
Financial Times FT300 & FT400 Methodology Summary:
RIA firms applied for consideration, having met a minimum set of criteria. Applicants were then graded on six factors: assets under management (AUM); AUM growth rate; years in existence; advanced industry credentials of the firm’s advisers; online accessibility; and compliance records. There are no fees or other considerations required of RIAs that apply for the FT 300. The final FT 300 represents an impressive cohort of elite RIA firms, as the “average” practice in this year’s list has been in existence for over 22 years and manages $4.6 billion in assets. The FT 300 Top RIAs hail from 37 states.
The Financial Times Top 300 Financial Advisors (2019-2020) is an independent listing produced by the Financial Times (March, 2019). The FT 300 is based on data gathered from firms and verified by broker-dealer home offices, regulatory disclosures, and the FT’s research. The listing reflects each advisor’s performance in six primary areas, including assets under management, asset growth, compliance record, experience, credentials and accessibility as identified by the FT. Neither the brokerages nor the advisors pay a fee to The Financial Times in exchange for inclusion in the FT 300. For more information on methodology, please visit: https://www.ft.com/content/2c9001aa-eb26-11e3-bab6-00144feabdc0
The Financial Times 400 Top Financial Advisors is an independent listing produced by the Financial Times (March, 2016). The FT 400 is based on data gathered from firms and verified by broker-dealer home offices, regulatory disclosures, and the FT’s research. The listing reflects each advisor’s performance in six primary areas, including assets under management, asset growth, compliance record, experience, credentials and accessibility as identified by the FT. Neither the brokerages nor the advisors pay a fee to The Financial Times in exchange for inclusion in the FT 400. For more information on methodology, please visit: https://www.ft.com/content/ddb3b6e0-78bd-11ea-9840-1b8019d9a987
Forbes-Ranked Advisors (ex. Forbes Top 250 Wealth Advisors, Forbes Top Women Wealth Advisors, Forbes Best-in-State Wealth Advisors) Methodology Summary: developed by SHOOK Research, is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes: 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. Rankings are based on the opinions of SHOOK Research, LLC and not indicative of future performance or representative of any one client’s experience. For more information on methodology, please visit: https://www.forbes.com/sites/rjshook/2022/04/07/methodology-forbes-best-in-state-wealth-advisors-2022/?sh=5e1d81147fee
Barron’s publishes four individual advisor rankings each year (Top 100 Advisors, Top 100 Women Advisors, Top 100 Independent Advisors, Top 1,200 Advisors) along with three team- or firm-based rankings, Barron’s “Top 100 Women Financial Advisors,” (2015-2020). Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights reserved.
Barron’s “Top 100 Women Financial Advisors” Methodology Summary:
Barron’s bases its ratings on qualitative criteria: professionals with a minimum of 7 years financial services experience, acceptable compliance records, client retention reports, customer satisfaction, and more. Financial Advisors are quantitatively rated based on varying types of revenues and assets advised by the financial professional, with weightings associated for each. Because individual client portfolio performance varies and is typically unaudited, this rating focuses on customer satisfaction and quality of advice. The rating may not be representative of any one client’s experience because it reflects a sample of all of the experiences of the Financial Advisor’s clients. The rating is not indicative of the Financial Advisor’s future performance.
Barron’s Top 1,200 Financial Advisors (2016-2020) Methodology Summary:
Barron’s state-by-state ranking of the top financial advisors in the United States. Factors included in the rankings are assets under management, revenues generated by advisors for their firms, quality of practices, and philanthropic work. Barron’s examines regulatory records, internal company documents, and extensive questionnaires filled out by the advisors themselves. Investment performance isn’t explicitly a criterion, because the advisors pursue a wide range of investment goals for their clients. A total of 1,200 advisors were ranked based on data provided by over 4,000 advisors across the nation. In the final list, advisors are ranked by state. The number of advisors included for each state was based on population. Royal Alliance did not pay to participate in this ranking. For more information about the Barron’s Top 1,200 Financial Advisors Ranking, including the other firms listed, please follow this link.
Barron’s List of America’s Top Advisors Methodology Summary:
Over 4,000 advisors who wish to be ranked fill out a 102 question survey about their practice, data is then applied to a ranking formula. 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 top-ranked advisor.
For more info on Barron’s Top Advisor methodology, please visit: https://www.barrons.com/articles/barrons-methodology-for-ranking-financial-advisors-51615843316
The views expressed are not necessarily the views of Royal Alliance Associates, Inc. There are risks inherent in all investments including the potential loss of principal. Seek council of a tax professional and investment advisor prior to making any changes. Third party awards, rankings, and recognitions are no guarantee of future investment success and do not ensure that a client or prospective client will experience a higher level of performance or results. These ratings should not be construed as an endorsement of the advisor by any client nor are they representative of any one client’s evaluation.
