1101 Wootton Parkway
The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on ten objective criteria. Eligibility criteria required: (a) Credentialed as a registered investment adviser or a registered investment adviser representative; (b) Actively licensed as a registered investment adviser or as a principal of a registered investment adviser firm for a minimum of 5 years; (c) Favorable regulatory and complaint history review (as defined by Five Star Professional, the wealth manager has not; (i) Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; (ii) Had more than a total of three settled or pending complaints filed against them and/or a total of five settled, pending, dismissed or denied complaints with any regulatory authority or Five Star Professional’s consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional’s consumer complaint process; feedback may not be representative of any one clients’ experience; (iii) Individually contributed to a financial settlement of a customer complaint; (iv) Filed for personal bankruptcy within the past 11 years; (v) Been terminated from a financial services firm within the past 11 years; (vi) Been convicted of a felony); (d) Fulfilled their firm review based on internal standards; (e) Accepting new clients. Evaluation criteria considered: (f) One-year client retention rate; (g) Five-year client retention rate; (h) Non-institutional discretionary and/or non-discretionary client assets administered; (i) Number of client households served; (j) Education and professional designations.
Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. Award does not evaluate quality of services provided to clients. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The Five Star award is not indicative of the wealth manager’s future performance. Wealth managers may or may not use discretion in their practice and therefore may not manage their clients’ assets.