*The Financial Times 401 Top Retirement Plan Advisors is an independent listing produced annually by the Financial Times. The FT 401 is based on data gathered from advisors, regulatory disclosures, and the FT's research. The listing reflects each advisor's status in seven primary areas: DC plan assets under management (AUM), DC AUM growth rate, specialization in DC plans, years of experience, advanced industry credentials, compliance record and DC plan participation rate. 770 qualified applicants were nominated, of which 401 were recognized (52% of candidates). This honor is not indicative of the advisor's future performance. Your experience may vary. Neither the advisors nor their parent firms pay a fee to the Financial Times in exchange for inclusion in the FT 401. For the full methodology, please visit FT.com
**Based on 10 objective eligibility and evaluation criteria, including a minimum of 5 years as an active credentialed financial professional, favorable regulatory and complaint history, accepts new clients, client retention rates, client assets administered, education, and professional designations. 1,680 New York City wealth managers were considered for the award; 155 (9 percent of candidates) were named 2017 Five Star Wealth Managers. (The criteria provided reflect the most recent year for which advisor received the award. The criteria used, the number of wealth managers considered for the award, and the percentage of those who receive the award may vary from year to year.) These awards are not indicative of the wealth managers’ future performance. Your experiences may vary. For more information, please visit www.fivestarprofessional.com.
***The NAPA Top Retirement Plan Advisors Under 40 list includes plan advisors who have built a solid practice—either alone or as part of a team—and are established leaders ready to take their defined contribution (DC) and 401(k) plans to the next level. Nominations were solicited by NAPA members. Nominees were asked to complete an application and winners were chosen based on criteria that include current and new DC assets under management, DC plans for the past 12 and 24 months, and DC/DB plan revenue. Votes were utilized to break ties, if applicable. The nominated advisor need not be a NAPA member. 309 advisors were considered for the award. 75 (24.3% of candidates) were recognized. This award is not indicative of the wealth manager’s future performance. Your experience may vary. For more information, please visit www.napa-net.org.