Weatherly Asset Management, L.P. was included in the 2018 Financial Times 300 Top Registered Investment Advisers list. This list was published in print and online on FT.com, on June 28, 2018. View the list here.
The selection process for the Financial Times 300 (“FT 300”) is based on the largest independent Registered Investment Advisers across the United States that meet the below criteria:
To qualify as a candidate for the FT 300, an RIA firm must:
Manage at least $300 million in assets under management (as of 12/31/17)
Have no more than 75% of its practice’s assets be institutional
Be independent (it cannot be the RIA arm of a broker-dealer, for example)
Financial Times invited more than 2000 SEC registered RIA companies across the US who reported $300mm or more in AUM to participate in the review process. About 760 RIAs applied, and 300 made the final list.
Qualified RIAs were required to fill out an online application, and were evaluated on several factors including AUM, AUM growth rate, years the firm has been in existence, industry certifications of staff, SEC compliance report, online accessibility and other factors such that the final list should include a diverse range of practice types. AUM comprised roughly 70 to 75 per cent of each adviser’s score, while asset growth accounted for an additional 15 to 20 percent.
Additionally, FT capped the number of companies from any one state. The cap was roughly based on the distribution of millionaires across the US. The research was conducted on behalf of the Financial Times by Ignites Research, a Financial Times sister publication.
The 300 firms were listed by state and alphabetically by business name. Weatherly paid Financial Times for custom hard copy reprints and digital access after the list was published. Wealth managers do not pay a fee to be considered or placed on the final list.
No organizational memberships were required of the Firm or individuals. Inclusion on this list is not representative of any one client’s experience and is not indicative of Weatherly’s future performance. Weatherly is not aware of any facts that would call into question the validity of the list or the appropriateness of advertising inclusion in this list.
About Weatherly Asset Management, L.P.
Weatherly Asset Management, L.P. is a Registered Investment Adviser, located in Del Mar, California, dedicated to providing high quality, holistic and innovative wealth management services to high net worth individuals, small businesses and institutional clients since inception of the Firm in 1994.
Our comprehensive approach to all aspects of a client’s financial life, the extensive experience of our principals, and the accessibility of experts, set us apart from other firms.
Our primary business focus is money management, with each account individually managed to maximize wealth preservation and growth over time. We also provide advice related to retirement planning, tax planning, philanthropic planning, financial planning and college planning, as well as estate planning and wealth transfer guidance. Our goal is to provide clients with as much information as necessary to effectively manage portfolios and help achieve their financial goals.
Weatherly Asset Management, L.P. is the investment advisory division of Weatherly Asset Management, Inc. As an independent partnership, the Firm is wholly owned and operated by the partnership.
For information on our wealth management team, and for a full list of services we provide, please visit: http://weatherlystage.wpengine.com/our-team/
For information on our ADV filings and Compliance, please visit: http://www.adviserinfo.sec.gov/IAPD/IAPDFirmSummary.aspx?ORG_PK=106935
http://weatherlyassetmgt.com/adv/
If you would like to learn more, please contact:
Carolyn P. Taylor
858-259-4507
Carolyn@weatherlyassetmgt.com
San Diego Business Journal included Weatherly Asset Management in the 2018 listing of Wealth Management Firms, published on March 5, 2018. Placed among the best in San Diego County, WAM lands the 16th spot of 34 firms in total. View the list here.
Eligibility requirements to participate included being a registered investment adviser with either the Securities Exchange Commission or the California Department of Corporations. The criteria by which Firms were ranked was based on assets managed in San Diego County for fiscal year 2017.
After receiving an email invitation from the Journal to participate in the list, Weatherly completed a brief online survey, including the submission of the Firm’s ADV. The ranking information was verified by the Journal through ADV forms filed for FY 2017 and www.adviserinfo.sec.gov.
It is not the intent of the list to endorse the participants nor to imply a firm’s size or numerical rank indicates its quality. There was no fee to participate in the list ranking, and Weatherly was not required to advertise in, or subscribe to, the San Diego Business Journal. After being included in the list, Weatherly paid the San Diego Business Journal for paper and electronic use reprints.
No organizational memberships were required of the Firm or individuals. Ranking on this list is not representative of any one client’s experience and is not indicative of Weatherly’s future performance. Weatherly is not aware of any facts that would call into question the validity of the ranking or the appropriateness of advertising inclusion in this list.
About Weatherly Asset Management, L.P.
Weatherly Asset Management, L.P. is a Registered Investment Advisor, located in Del Mar, California, dedicated to providing high quality, holistic and innovative wealth management services to high net worth individuals, small businesses and institutional clients since inception of the Firm in 1994.
Our comprehensive approach to all aspects of a client’s financial life, the extensive experience of our principals, and the accessibility of experts, set us apart from other firms.
Our primary business focus is money management, with each account individually managed to maximize wealth preservation and growth over time. We also provide advice related to retirement planning, tax planning, philanthropic planning, financial planning and college planning, as well as estate planning and wealth transfer guidance. Our goal is to provide clients with as much information as necessary to effectively manage portfolios and help achieve their financial goals.
Weatherly Asset Management, L.P. is the investment advisory division of Weatherly Asset Management, Inc. As an independent partnership, the Firm is wholly owned and operated by the partnership.
For information on our wealth management team, and for a full list of services we provide, please visit: http://weatherlystage.wpengine.com/our-team/
For information on our ADV filings and Compliance, please visit: http://www.adviserinfo.sec.gov/IAPD/IAPDFirmSummary.aspx?ORG_PK=106935
http://weatherlyassetmgt.com/adv/
If you would like to learn more, please contact:
Carolyn P. Taylor
858-259-4507
Carolyn@weatherlyassetmgt.com
In September 2017, Five Star Professional completed an interview process to determine 2018 Five Star Wealth Managers. Weatherly’s senior team, including Carolyn Taylor, Candise Holmlund, Brent Armstrong, Ashley Copp, and Kelli Ruby all received this inclusion to participate. Upon completion, all five advisors were named 2018 Five Star Wealth Managers.
The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria. Eligibility criteria – required: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Actively licensed as a registered investment adviser or as a principal of a registered investment adviser firm 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 settled or pending complaints led 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 client’s experience; C. Individually contributed to a financial settlement of a customer complaint; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients. Evaluation criteria – considered: 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
The Five Star Wealth Manager award program recognizes and promotes wealth managers. Five Star Wealth Manager candidates were identified by one of three sources; firm nomination, peer nomination or pre-qualification based on industry standing. Five Star Professional notified advisors of their candidacy for the award via an email solicitation. Weatherly provided data in the form of an online survey submission. Neither Weatherly nor its employees were required to be a member of an organization to be eligible to receive the award. No payment was required of Weatherly to be considered for the award or to be named a Five Star Wealth Manager. Once awarded, wealth managers may opt to purchase additional profile ad space or related award promotional products.
Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. The 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 client’s assets. The inclusion of a wealth manager on the Five Star Wealth Manager list should not be construed as an endorsement of the wealth manager by Five Star Professional. Working with a Five Star Wealth Manager or any wealth manager is no guarantee as to future investment success, nor is there any guarantee that the selected wealth managers will be awarded this accomplishment by Five Star Professional in the future. Five Star Professional is not an advisory firm, and the contents of the advertisement should not be construed as financial advice. For more information on the Five Star award and the research/selection methodology, go to www.fivestarprofessional.com. Five Star considered 1,498 San Diego wealth managers for the award; 228 (15 percent of candidates) were named 2018 Five Star Wealth Managers.
Five Star Professional conducts a regulatory review of each nominated wealth manager using the Investment Advisor Public Disclosure (IAPD) website. Five Star Professional also uses multiple supporting processes to help ensure that a favorable regulatory and complaint history exists. Data submitted through these processes was applied per the above criteria: 1) each wealth manager who passes the Five Star Professional regulatory review must attest that they meet the definition of a favorable regulatory history, based on the criteria listed above; 2) Five Star Professional promotes via local advertising the opportunity for consumers to confidentially submit complaints regarding a wealth manager; and 3) Five Star Professional contacted approximately 1 in 12 households identified as having a high propensity to use the services of wealth managers in order to provide consumers the opportunity to submit complaints regarding a wealth manager.
Receipt of this award is not representative of any one client’s experience and is not indicative of Weatherly’s future performance. Weatherly is not aware of any facts that would call into question the validity of the award or the appropriateness of advertising the award.
About Weatherly Asset Management, L.P.
Weatherly Asset Management, L.P. is a Registered Investment Advisor, located in Del Mar, California, dedicated to providing high quality, holistic and innovative wealth management services to high net worth individuals, small businesses and institutional clients since inception of the Firm in 1994.
Our comprehensive approach to all aspects of a client’s financial life, the extensive experience of our principals, and the accessibility of experts, set us apart from other firms.
Our primary business focus is money management, with each account individually managed to maximize wealth preservation and growth over time. We also provide advice related to retirement planning, tax planning, philanthropic planning, financial planning and college planning, as well as estate planning and wealth transfer guidance. Our goal is to provide clients with as much information as necessary to effectively manage portfolios and help achieve their financial goals.
Weatherly Asset Management, L.P. is the investment advisory division of Weatherly Asset Management, Inc. As an independent partnership, the Firm is wholly owned and operated by the partnership.
For information on our wealth management team, and for a full list of services we provide, please visit: http://www.weatherlyassetmgt.com/our-team/
For information on our ADV filings and Compliance, please visit: http://www.adviserinfo.sec.gov/IAPD/IAPDFirmSummary.aspx?ORG_PK=106935
http://www.weatherlyassetmgt.com/adv/
If you would like to learn more, please contact:
Carolyn P. Taylor
858-259-4507
Carolyn@weatherlyassetmgt.com
Candise Holmlund was included in the second edition of the San Diego 500, an annual book listing 500 influential business leaders published by the San Diego Business Journal. Candise’s profile includes her established career in the wealth management industry, her educational background, and well-rounded engagement with the San Diego Community. Reference Candise’s San Diego 500 profile here!
The 2018 San Diego 500 is comprised of 10 main categories: 1) Civic, 2) Education, 3) Health and Science, 4) Leading Industries, 5) Lifestyle, 6) Money, 7) Professional Services, 8) Real Estate, 9) Technology, and 10) Icons. Members of the SD500 are selected by SDBJ’s newsroom on editorial merit alone, thus representing the most influential and accomplished business leaders in the market. The San Diego Business Journal’s process for inclusion in the list involved asking for feedback from numerous industry experts. Evaluation criteria included merit, business savvy, and civic engagement.
Candise was one of 76 professionals included in the Money subcategory. Weatherly did not apply for consideration or inclusion in the list. Once selected for the list, Candise provided biography-related information for inclusion in the publication.
There was no fee to participate in the list, and Weatherly was not required to advertise in, or subscribe to, the San Diego Business Journal. When or if reprints of the list become available, Weatherly will pay the Journal for electronic reprints.
No organizational memberships were required of the Firm or individuals. Inclusion in this list is not representative of any one client’s experience and is not indicative of Weatherly’s future performance. Weatherly is not aware of any facts that would call into question the validity of the ranking or the appropriateness of advertising inclusion in this list.
About Weatherly Asset Management, L.P.
Weatherly Asset Management, L.P. is a Registered Investment Advisor, located in Del Mar, California, dedicated to providing high quality, holistic and innovative wealth management services to high net worth individuals, small businesses and institutional clients since inception of the Firm in 1994.
Our comprehensive approach to all aspects of a client’s financial life, the extensive experience of our principals, and the accessibility of experts, set us apart from other firms.
Our primary business focus is money management, with each account individually managed to maximize wealth preservation and growth over time. We also provide advice related to retirement planning, tax planning, philanthropic planning, financial planning and college planning, as well as estate planning and wealth transfer guidance. Our goal is to provide clients with as much information as necessary to effectively manage portfolios and help achieve their financial goals.
Weatherly Asset Management, L.P. is the investment advisory division of Weatherly Asset Management, Inc. As an independent partnership, the Firm is wholly owned and operated by the partnership.
For information on our wealth management team, and for a full list of services we provide, please visit: http://www.weatherlyassetmgt.com/our-team/
For information on our ADV filings and Compliance, please visit: http://www.adviserinfo.sec.gov/IAPD/IAPDFirmSummary.aspx?ORG_PK=106935
http://www.weatherlyassetmgt.com/adv/
If you would like to learn more, please contact:
Carolyn P. Taylor
858-259-4507
Carolyn@weatherlyassetmgt.com
Weatherly Asset Management’s President Carolyn Taylor was listed as a finalist for the San Diego Business Journal Business Woman of the Year award. Each year, the San Diego Business Journal (“Journal”) recognizes dynamic women business leaders who have contributed significantly to San Diego’s business. This year, Carolyn was listed among 100 finalists!
In order to be considered for the nomination, individuals were evaluated based on the following criteria: 1) contributions to her company/organization above and beyond the normal position requirement; 2) management of 3 or more part or full-time employees; 3) been in business for 5+ years; and 4) commitment to community service. The selection process included two rounds of judging, first cutting the field in half, and then submitting the 100 finalists to the SDBJ panel of judges for the selection of winners. Finalists were grouped by company size.
Weatherly supplied the information for the nomination in the form of a survey, but no award was granted to Carolyn Taylor.
Weatherly was not required to make payments or purchases in order to nominate, be nominated, be considered or included on the list related to the award. Weatherly paid the Journal for Carolyn and 4 colleagues to attend the awards ceremony program.
No organizational memberships were required of the Firm or individuals. The advertisement of nomination for the award is not representative of any one client’s experience and is not indicative of Weatherly’s future performance. Weatherly is not aware of any facts that would call into question the validity of the award, nominations for the award, or the appropriateness of related advertising.
About Weatherly Asset Management, L.P.
Weatherly Asset Management, L.P. is a Registered Investment Advisor, located in Del Mar, California, dedicated to providing high quality, holistic and innovative wealth management services to high net worth individuals, small businesses and institutional clients since inception of the Firm in 1994.
Our comprehensive approach to all aspects of a client’s financial life, the extensive experience of our principals, and the accessibility of experts, set us apart from other firms.
Our primary business focus is money management, with each account individually managed to maximize wealth preservation and growth over time. We also provide advice related to retirement planning, tax planning, philanthropic planning, financial planning and college planning, as well as estate planning and wealth transfer guidance. Our goal is to provide clients with as much information as necessary to effectively manage portfolios and help achieve their financial goals.
Weatherly Asset Management, L.P. is the investment advisory division of Weatherly Asset Management, Inc. As an independent partnership, the Firm is wholly owned and operated by the partnership.
For information on our wealth management team, and for a full list of services we provide, please visit: http://www.weatherlyassetmgt.com/our-team/
For information on our ADV filings and Compliance, please visit: http://www.adviserinfo.sec.gov/IAPD/IAPDFirmSummary.aspx?ORG_PK=106935
http://www.weatherlyassetmgt.com/adv/
If you would like to learn more, please contact:
Carolyn P. Taylor
858-259-4507
Carolyn@weatherlyassetmgt.com
Carolyn Taylor, Candise Holmlund, Ashley Copp, Kelli Ruby and Lindsey Fiske Thompson were nominees for the San Diego Magazine’s 2017 Celebrating Women award series, including “Woman of the Year.” One individual will be chosen as the Woman of the Year among all the nominees across the following categories: Industry Leader, Nonprofit Visionary, Rising Star and Military Service. San Diego Magazine listed 183 nominees across all categories. View our San Diego Magazine profile here!
Carolyn and Candise were nominated as Industry Leaders by their colleagues. This award recognizes an individual who is a dynamic and passionate leader who has a positive influence on others and works tirelessly for causes near and dear to his/her heart, and women who’ve successfully executed on a strategy, and transformed their business line or brand. Ashley, Kelli, and Lindsey were nominated as Rising Stars by their colleagues. This award is designed to recognize women on the rise, making their mark, even at the early stages of their careers.
San Diego Magazine solicited nominations via email in the form of an online survey. Nominators are asked to provide subjective justification, detailed professional achievements, and additional comments regarding the individual nominee. The nominations were reviewed by San Diego magazine staff and a judging panel consisting of winners from the past five years.
No payment was required for to be nominated or considered for the award. Weatherly paid San Diego Magazine for a half page advertisement and electronic use rights featuring Weatherly team members’ nominations.
No organizational memberships were required of the Firm or individuals. The advertisement of nomination for the award is not representative of any one client’s experience and is not indicative of Weatherly’s future performance. Weatherly is not aware of any facts that would call into question the validity of the award, nominations for the award, or the appropriateness of related advertising.
About Weatherly Asset Management, L.P.
Weatherly Asset Management, L.P. is a Registered Investment Advisor, located in Del Mar, California, dedicated to providing high quality, holistic and innovative wealth management services to high net worth individuals, small businesses and institutional clients since inception of the Firm in 1994.
Our comprehensive approach to all aspects of a client’s financial life, the extensive experience of our principals, and the accessibility of experts, set us apart from other firms.
Our primary business focus is money management, with each account individually managed to maximize wealth preservation and growth over time. We also provide advice related to retirement planning, tax planning, philanthropic planning, financial planning and college planning, as well as estate planning and wealth transfer guidance. Our goal is to provide clients with as much information as necessary to effectively manage portfolios and help achieve their financial goals.
Weatherly Asset Management, L.P. is the investment advisory division of Weatherly Asset Management, Inc. As an independent partnership, the Firm is wholly owned and operated by the partnership.
For information on our wealth management team, and for a full list of services we provide, please visit: http://www.weatherlyassetmgt.com/our-team/
For information on our ADV filings and Compliance, please visit: http://www.adviserinfo.sec.gov/IAPD/IAPDFirmSummary.aspx?ORG_PK=106935
http://www.weatherlyassetmgt.com/adv/
If you would like to learn more, please contact:
Carolyn P. Taylor
858-259-4507
Carolyn@weatherlyassetmgt.com
San Diego Business Journal included Weatherly Asset Management in the 2017 listing of Wealth Management Firms, published on July 17, 2017. Placed among the best in San Diego County, WAM lands the 16th spot of 38 firms in total. View the list here.
Eligibility requirements to participate included being a registered investment adviser with either the Securities Exchange Commission or the California Department of Corporations. The criteria by which Firms were ranked was based on assets managed in San Diego County for fiscal year 2016.
After receiving an email invitation from the Journal to participate in the list, Weatherly completed a brief online survey, including the submission of the Firm’s ADV. The ranking information was verified by the Journal through ADV forms filed for FY 2015 and FY 2016 and www.adviserinfo.sec.gov.
It is not the intent of the list to endorse the participants nor to imply a firm’s size or numerical rank indicates its quality. There was no fee to participate in the list ranking, and Weatherly was not required to advertise in, or subscribe to, the San Diego Business Journal. After being included in the list, Weatherly paid the San Diego Business Journal for paper and electronic use reprints.
No organizational memberships were required of the Firm or individuals. Ranking on this list is not representative of any one client’s experience and is not indicative of Weatherly’s future performance. Weatherly is not aware of any facts that would call into question the validity of the ranking or the appropriateness of advertising inclusion in this list.
About Weatherly Asset Management, L.P.
Weatherly Asset Management, L.P. is a Registered Investment Advisor, located in Del Mar, California, dedicated to providing high quality, holistic and innovative wealth management services to high net worth individuals, small businesses and institutional clients since inception of the Firm in 1994.
Our comprehensive approach to all aspects of a client’s financial life, the extensive experience of our principals, and the accessibility of experts, set us apart from other firms.
Our primary business focus is money management, with each account individually managed to maximize wealth preservation and growth over time. We also provide advice related to retirement planning, tax planning, philanthropic planning, financial planning and college planning, as well as estate planning and wealth transfer guidance. Our goal is to provide clients with as much information as necessary to effectively manage portfolios and help achieve their financial goals.
Weatherly Asset Management, L.P. is the investment advisory division of Weatherly Asset Management, Inc. As an independent partnership, the Firm is wholly owned and operated by the partnership.
For information on our wealth management team, and for a full list of services we provide, please visit: http://weatherlystage.wpengine.com/our-team/
For information on our ADV filings and Compliance, please visit: http://www.adviserinfo.sec.gov/IAPD/IAPDFirmSummary.aspx?ORG_PK=106935
http://weatherlyassetmgt.com/adv/
If you would like to learn more, please contact:
Carolyn P. Taylor
858-259-4507
Carolyn@weatherlyassetmgt.com
Carolyn Taylor represented Weatherly in an article focusing on the importance and presence of women in the Financial Advisor space, published by Fidelity Investments. “Attracting Women Advisors to Your Firm” was published in July of 2017. View the article here!
Carolyn Taylor participated in the Fidelity Executive Panel, Women’s Power Breakfast on May 1st 2017. Carolyn was invited to participate in this panel by the Firm’s Fidelity Relationship Manager. Invitees included female RIA and Broker-Dealer leaders, with the goal being to discuss what it takes for women to win in today’s career environment and share stories from their own professional paths, lessons learned, and how they are enabling the next generation of female leaders. Four panelists and Fidelity’s SVP of marketing contributed to the discussion and article content.
Based on the panel discussion, Fidelity published the article “Attracting Women Advisors to Your Firm”, which includes featured quotes from the panelists and topics discussed at the event. Carolyn and panelists focused on women in the financial industry, strategies to retain and mentor female advisors, and the strengths of a balanced team. The article was composed after the panel has taken place, using a transcript from the video recording at the event. Panelists all received a draft of the article for review, and were required to give consent to publish. There were four panelists total.
The article was shared with Fidelity clients in an email newsletter, posted on Fidelity’s websites (for both clients and prospective clients), and/or used via Fidelity’s social media platforms.
It is not the intent of the story to endorse the participating businesses or to indicate quality. There was no fee to be included in this article. After the article was published, Weatherly received the PDF at no charge, with approved distribution and full use.
Weatherly’s status as a Fidelity client allowed for inclusion in the panel and Article, however no fee was paid to be featured. Inclusion in the article is not representative of any one client’s experience and is not indicative of Weatherly’s future performance. Weatherly is not aware of any facts that would call into question the validity of the reporting or appropriateness of advertising inclusion in this article.
About Weatherly Asset Management, L.P.
Weatherly Asset Management, L.P. is a Registered Investment Advisor, located in Del Mar, California, dedicated to providing high quality, holistic and innovative wealth management services to high net worth individuals, small businesses and institutional clients since inception of the Firm in 1994.
Our comprehensive approach to all aspects of a client’s financial life, the extensive experience of our principals, and the accessibility of experts, set us apart from other firms.
Our primary business focus is money management, with each account individually managed to maximize wealth preservation and growth over time. We also provide advice related to retirement planning, tax planning, philanthropic planning, financial planning and college planning, as well as estate planning and wealth transfer guidance. Our goal is to provide clients with as much information as necessary to effectively manage portfolios and help achieve their financial goals.
Weatherly Asset Management, L.P. is the investment advisory division of Weatherly Asset Management, Inc. As an independent partnership, the Firm is wholly owned and operated by the partnership.
For information on our wealth management team, and for a full list of services we provide, please visit: http://www.weatherlyassetmgt.com/our-team/
For information on our ADV filings and Compliance, please visit: http://www.adviserinfo.sec.gov/IAPD/IAPDFirmSummary.aspx?ORG_PK=106935
http://www.weatherlyassetmgt.com/adv/
If you would like to learn more, please contact:
Carolyn P. Taylor
858-259-4507
Carolyn@weatherlyassetmgt.com
Weatherly Asset Management, L.P. was included in the Financial Advisor’s Magazine of 2017 RIA Survey and Ranking List. This list was published in the July 2017 issue. To view the article and list, click here.
The criteria on which each award (or ranking) was based included 1) 2016 year end discretionary and non-discretionary AUM reported on ADV; 2) % growth in assets 2015-2016; 3) average assets per client; 4) percent growth in assets per client; 5) percent change in number of client relationships. 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 $50 million in assets under management as of December 31, 2016. Corporate RIA firms and investment advisor representatives (IARs) were not eligible for this survey.
The list was segmented by asset categories: 1) $1 billion and over; 2) $500 million to <$1billion; 3) $300 million to <$500 million; 4) $100 million to <$300 million; 5) <$100 million; and 6) <$50 million*. Within each of the asset category segments, firms were ranked by criteria #1 (2016 year end discretionary and non-discretionary AUM). The list of segments 1-5 consisted of 605* firms. Weatherly was ranked 281 overall. Of the 96 firms in the $500 million to <$1 billion category, Weatherly was ranked 65. *The print version of this list notes that firms with under $50 million that participated in the survey are visible on the www.fa-mag.com/research/ria-survey.
Weatherly received an email invitation to participate in FA’s annual nation-wide RIA ranking survey. Weatherly completed the survey, which in addition to AUM, focused on services offered by the firm; service fee structure; anticipated changes to the business in the next 5 years; staffing and recruiting; operations and strategy. The survey review included information provided by Weatherly, as well as public data available through the firm’s ADV filing.
No payment was required for participating in the survey. After receiving notice of inclusion in the list and list publication, Weatherly elected not to pay for electronic use or hard copy reprints.
No organizational memberships were required of the Firm or individuals. Ranking on this list is not representative of any one client’s experience and is not indicative of Weatherly’s future performance. Weatherly is not aware of any facts that would call into question the validity of the ranking or the appropriateness of advertising inclusion in this list.
About Weatherly Asset Management, L.P.
Weatherly Asset Management, L.P. is a Registered Investment Advisor, located in Del Mar, California, dedicated to providing high quality, holistic and innovative wealth management services to high net worth individuals, small businesses and institutional clients since inception of the Firm in 1994.
Our comprehensive approach to all aspects of a client’s financial life, the extensive experience of our principals, and the accessibility of experts, set us apart from other firms.
Our primary business focus is money management, with each account individually managed to maximize wealth preservation and growth over time. We also provide advice related to retirement planning, tax planning, philanthropic planning, financial planning and college planning, as well as estate planning and wealth transfer guidance. Our goal is to provide clients with as much information as necessary to effectively manage portfolios and help achieve their financial goals.
Weatherly Asset Management, L.P. is the investment advisory division of Weatherly Asset Management, Inc. As an independent partnership, the Firm is wholly owned and operated by the partnership.
For information on our wealth management team, and for a full list of services we provide, please visit: http://www.weatherlyassetmgt.com/team/
For information on our ADV filings and Compliance, please visit: http://www.adviserinfo.sec.gov/IAPD/IAPDFirmSummary.aspx?ORG_PK=106935
http://www.weatherlyassetmgt.com/adv/
If you would like to learn more, please contact:
Carolyn P. Taylor
858-259-4507
Carolyn@weatherlyassetmgt.com
Weatherly Asset Management, L.P. was included in the 2017 Financial Times 300 Top Registered Investment Advisors list. This list was published online on June 22, 2017 on FT.com. View the article on FT.com here.
The selection process for the Financial Times 300 (“FT 300”) is based on the largest independent Registered Investment Advisors across the United States that meet the below criteria:
To qualify as a candidate for the FT 300, an RIA firm must:
Manage at least $300 million in assets under management (as of 12/31/16)
Have no more than 75% of its practice’s assets be institutional
Be independent (it cannot be the RIA arm of a broker-dealer, for example)
Financial Times invited more than 2000 SEC registered RIA companies across the US who reported $300mm or more in AUM to participate in the review process. About 725 RIAs applied, and 300 made the final list.
Qualified RIAs were required to fill out an online application, and were evaluated on several factors including AUM, AUM growth rate, years the firm has been in existence, industry certifications of staff, SEC compliance report, online accessibility and other factors such that the final list should include a diverse range of practice types. AUM comprised roughly 65 to 70 per cent of each adviser’s score, while asset growth accounted for an additional 10 to 15 percent.
Additionally, FT capped the number of companies from any one state. The cap was roughly based on the distribution of millionaires across the US. The research was conducted on behalf of the Financial Times by Ignites Research, a Financial Times sister publication.
The 300 firms were listed by state and alphabetically by business name. Weatherly paid Financial Times for custom hard copy reprints after the list was published. Wealth managers do not pay a fee to be considered or placed on the final list.
No organizational memberships were required of the Firm or individuals. Inclusion on this list is not representative of any one client’s experience and is not indicative of Weatherly’s future performance. Weatherly is not aware of any facts that would call into question the validity of the list or the appropriateness of advertising inclusion in this list.
About Weatherly Asset Management, L.P.
Weatherly Asset Management, L.P. is a Registered Investment Advisor, located in Del Mar, California, dedicated to providing high quality, holistic and innovative wealth management services to high net worth individuals, small businesses and institutional clients since inception of the Firm in 1994.
Our comprehensive approach to all aspects of a client’s financial life, the extensive experience of our principals, and the accessibility of experts, set us apart from other firms.
Our primary business focus is money management, with each account individually managed to maximize wealth preservation and growth over time. We also provide advice related to retirement planning, tax planning, philanthropic planning, financial planning and college planning, as well as estate planning and wealth transfer guidance. Our goal is to provide clients with as much information as necessary to effectively manage portfolios and help achieve their financial goals.
Weatherly Asset Management, L.P. is the investment advisory division of Weatherly Asset Management, Inc. As an independent partnership, the Firm is wholly owned and operated by the partnership.
For information on our wealth management team, and for a full list of services we provide, please visit: http://www.weatherlyassetmgt.com/team/
For information on our ADV filings and Compliance, please visit: http://www.adviserinfo.sec.gov/IAPD/IAPDFirmSummary.aspx?ORG_PK=106935
http://www.weatherlyassetmgt.com/adv/
If you would like to learn more, please contact:
Carolyn P. Taylor
858-259-4507
Carolyn@weatherlyassetmgt.com