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Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers.
Once awarded, wealth managers may opt to purchase additional profile ad space or related award promotional
products (including this item). The award methodology does not evaluate the quality of services provided.
Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. Once
awarded, wealth managers may opt to purchase additional profile ad space or related award promotional products
(including this item). The award methodology does not evaluate the quality of services provided. The Five Star Wealth
Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective
criteria: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Active
as a credentialed professional in the financial services industry for a minimum of 5 years; 3. Favorable regulatory and
complaint history review (As defined by Five Star Professional, the wealth manager has not: A. Been subject to a regulatory
action that resulted in a license being suspended or revoked, or payment of a fine; B. Had more than a total of three
customer complaints filed against them [settled or pending] 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; C.
Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority; D. Filed for
personal bankruptcy; E. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting
new clients; 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/
or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional
designations. XXXX CITY wealth managers were considered for the award; XXX (~XX % of candidates) were named Five
Star Wealth Managers.
© 2014 Five Star Professional