Financial Planning's RIA Leaders ranks firms based on AUM, as listed on the firm’s Form ADV filings. Only firms with 50 percent or more individual clients are included in the listing and the list is announced in November of the same year. Barron’s Top 100 RIA firm ranking is based on both qualitative and quantitative factors including assets under management (AUM), revenue, regulatory record, staffing levels and diversity, technology spending, succession planning, and more. Barron’s ranking is announced in September of the same year. Financial Advisor Top 50 Registered Investment Advisors 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 them by firms that voluntarily complete and submit FA's survey by their deadline. Financial Advisor does its 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. Firms must have at least $500 million in assets under management as of year end to be included in the print edition of Financial Advisor Magazine's RIA survey. Firms with under $500 million will be included in FA's expanded online RIA survey. Financial Advisor’s ranking is announced in July of the same year. Awards not indicative of future performance and no compensation was given to receive an award. Previous awards are not reliable indicators of future results. This material is not a recommendation, offer or solicitation to sell or purchase any security.