Broker Check

Award Disclosures

Five Star Wealth Manager Award 2012-2018

The Financial Times 401 Top Retirement Advisors

NAPA Young Guns

NAPA Top Women Advisors

NAPA Top DC Advisor Firms

PLANADVISER Top 100 Retirement Plan Advisers

Retirement Plan Adviser Team of the Year


Five Star Wealth Manager Award 2012-2018

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 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 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. 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 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 or this publication. 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. For more information on the Five Star award and the research/selection methodology, go to fivestarprofessional.com. 1,588 Indianapolis area wealth managers were considered for the award; 149 (9 percent of candidates) were named 2018 Five Star Wealth Managers. 2017: 1,164 considered, 182 winners; 2016: 1,083 considered, 332 winners; 2015: 1,743 considered, 348 winners; 2014: 2,009 considered, 360 winners; 2013: 1,624 considered, 413 winners; 2012: 1,375 considered, 387 winners.


The Financial Times 401 Top Retirement Advisors 2018

The Financial Times 401 Top Retirement Advisors is an independent listing produced annually by the Financial Times (September 2018). 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 six primary areas: DC plan assets under management, DC plan growth rate, specialization in DC plans, years of experience, advanced industry credentials, and compliance record. Out of 678 applications; about 59% of which (401) received the award. This honor is not indicative of the advisor’s future performance. Neither the advisors nor their parent firms pay a fee to the Financial Times in exchange for inclusion in the FT 401.


The Financial Times 401 Top Retirement Advisors 2017

The Financial Times 401 Top Retirement Plan Advisors is an independent listing produced annually by the Financial Times (September 2017). 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. This honor is not indicative of the advisor’s future performance. Neither the advisors nor their parent firms pay a fee to the Financial Times in exchange for inclusion in the FT 401. For the 2017 FT 401 ranking, the FT received about 550 applications. Only advisors who complete an application can be considered for the ranking. Please also note, only advisors who meet a minimum set of criteria are invited to apply: manage at least $50 million in assets under management in DC plans (as of 12/31/16); and have DC plan assets account for at least 20% of total AUM. 401 advisors are selected to the list, which is approximately 73% of applicants.


The Financial Times 401 Top Retirement Advisors 2016

The Financial Times 401 Top Retirement Plan Advisors is an independent listing produced by the Financial Times (September 2016). To qualify as a candidate for the FT 401, an advisor must: manage at least $75 million in assets under management in DC plans; and have DC plan assets account for at least 20% of total AUM. Once an advisor applies, The Financial Times score seach applicant on seven different factors to arrive at the final list. Those factors are: DC assets under management (AUM); Growth in DC plan business; Specialization in DC business; Years of experience; Industry certifications; Participation rate in DC plans; Compliance record. The FT 401 is based on data gathered from financial advisors, regulatory disclosures, and the FT’s research. The FT 401 ranking highlights the top defined contribution (DC) plan advisors across the U.S. In 2016, The Financial Times had over 540 pre-qualified advisors apply; 401 (74%) were named to the final list. This award does not evaluate the quality of services provided to clients and is not indicative of this advisor’s future performance. Neither the advisors nor their parent firms pay a fee to Financial Times in exchange for inclusion in the FT 401. The FT 401 ranking is produced by the Financial Times and Ignites Research, a subsidiary of the FT.


NAPA Young Guns:  Top Retirement Plan Advisors Under 40: 2018

Nominations from the list were provided by NAPA Broker-Dealer/RIA Firm Partners.  Nominees had to be retirement plan advisors with their own book of business, and had to be less than 40 years of age (born after January 1, 1977.) 

Nominees were required to submit responses to an application comprised of a series of quantitative and qualitative questions about their experience, size and composition of their practice, awards and recognitions, and industry contributions, which were then reviewed by a panel of senior advisor industry experts, who, based on those criteria, and following a broker-check review, selected the top young advisors. The list is created and conducted by the National Association of Plan Advisors, an affiliate organization of the American Retirement Association, a non-profit association.  No fee is charged to participate. The rating is not indicative of the applicant’s future performance

In 2018, 588 nominations were received.  75 were ultimately selected.


NAPA Young Guns:  Top Retirement Plan Advisors Under 40: 2017

Nominations from the list were provided by NAPA Broker-Dealer/RIA Firm Partners.  Nominees had to be retirement plan advisors with their own book of business, and had to be less than 40 years of age (born after January 1, 1977.) 

Nominees were required to submit responses to an application comprised of a series of quantitative and qualitative questions about their experience, size and composition of their practice, awards and recognitions, and industry contributions, which were then reviewed by a panel of senior advisor industry experts, who, based on those criteria, and following a broker-check review, selected the top young advisors. The list is created and conducted by the National Association of Plan Advisors, an affiliate organization of the American Retirement Association, a non-profit association.  No fee is charged to participate. The rating is not indicative of the applicant’s future performance

In 2017, 510 nominations were received.  75 were ultimately selected.


NAPA Young Guns:  Top Retirement Plan Advisors Under 40: 2016

Nominations from the list were provided by NAPA Broker-Dealer/RIA Firm Partners.  Nominees had to be retirement plan advisors with their own book of business, and had to be less than 40 years of age (born after January 1, 1977.) 

Nominees were required to submit responses to an application comprised of a series of quantitative and qualitative questions about their experience, size and composition of their practice, awards and recognitions, and industry contributions, which were then reviewed by a panel of senior advisor industry experts, who, based on those criteria, and following a broker-check review, selected the top young advisors. The list is created and conducted by the National Association of Plan Advisors, an affiliate organization of the American Retirement Association, a non-profit association.  No fee is charged to participate. The rating is not indicative of the applicant’s future performance

In 2016, 515 nominations were received.  50 were ultimately selected.


NAPA Young Guns:  Top Retirement Plan Advisors Under 40: 2015

Nominations from the list were provided by NAPA Broker-Dealer/RIA Firm Partners.  Nominees had to be retirement plan advisors with their own book of business, and had to be less than 40 years of age (born after January 1, 1977.) 

Nominees were required to submit responses to an application comprised of a series of quantitative and qualitative questions about their experience, size and composition of their practice, awards and recognitions, and industry contributions, which were then reviewed by a panel of senior advisor industry experts, who, based on those criteria, and following a broker-check review, selected the top young advisors. The list is created and conducted by the National Association of Plan Advisors, an affiliate organization of the American Retirement Association, a non-profit association.  No fee is charged to participate. The rating is not indicative of the applicant’s future performance

In 2015, 489 nominations were received.  50 were ultimately selected.


NAPA Young Guns:  Top Retirement Plan Advisors Under 40: 2014

Nominations from the list were provided by NAPA Broker-Dealer/RIA Firm Partners.  Nominees had to be retirement plan advisors with their own book of business, and had to be less than 40 years of age (born after January 1, 1977.) 

Nominees were required to submit responses to an application comprised of a series of quantitative and qualitative questions about their experience, size and composition of their practice, awards and recognitions, and industry contributions, which were then reviewed by a panel of senior advisor industry experts, who, based on those criteria, and following a broker-check review, selected the top young advisors. The list is created and conducted by the National Association of Plan Advisors, an affiliate organization of the American Retirement Association, a non-profit association.  No fee is charged to participate. The rating is not indicative of the applicant’s future performance

In 2014, 121 nominations were received. 50 were ultimately selected.


NAPA Top Women Advisors:  2017

Established in 2015, nominations from the list were provided by NAPA Broker-Dealer/RIA Firm Partners.  Nominees had to be women, had to be retirement plan advisors with their own book of business.  Nominees were required to submit responses to an application comprised of a series of quantitative and qualitative questions about their experience, size and composition of their practice, awards and recognitions, and industry contributions, which were then reviewed by a panel of senior advisor industry experts, who, based on those criteria, and following a broker-check review, selected the top women advisors.

Within the group of top women advisors, those who were principals, owners or team captains of their organizations were designated as “Captains.”

The list is created and conducted by the National Association of Plan Advisors, an affiliate organization of the American Retirement Association, a non-profit association.  No fee is charged to participate.  The rating is not indicative of the nominee’s future performance.

In 2017 587 nominations were received and 201 were considered.  50 Captains, 50 All-Stars and 10 Rising Stars were selected.


NAPA Top Women Advisors:  2016

Established in 2015, nominations from the list were provided by NAPA Broker-Dealer/RIA Firm Partners.  Nominees had to be women, had to be retirement plan advisors with their own book of business.  Nominees were required to submit responses to an application comprised of a series of quantitative and qualitative questions about their experience, size and composition of their practice, awards and recognitions, and industry contributions, which were then reviewed by a panel of senior advisor industry experts, who, based on those criteria, and following a broker-check review, selected the top women advisors.

Within the group of top women advisors, those who were principals, owners or team captains of their organizations were designated as “Captains.”

The list is created and conducted by the National Association of Plan Advisors, an affiliate organization of the American Retirement Association, a non-profit association.  No fee is charged to participate.  The rating is not indicative of the nominee’s future performance.

In 2016 395 nominations were received and 191 were considered.  50 Captains, 50 All-Stars and 10 Rising Stars were selected.


NAPA Top DC Advisor Firms

Established in 2017, nominees had to be individual advisor team/offices with a defined contribution book of business.  To be considered, firms had to submit responses to an application form, including information about their practices, notably their defined contribution (DC) assets under advisement.  The list is created and conducted by the National Association of Plan Advisors, an affiliate organization of the American Retirement Association, a non-profit association.  No fee is charged to participate. Teams are ranked by assets under advisement, self-reported by advisor firm/teams.  Approximately 300 submissions were received and 250 were selected.

The list is created and conducted by the National Association of Plan Advisors, an affiliate organization of the American Retirement Association, a non-profit association.  No fee is charged to participate.  The rating is not indicative of the nominee’s future performance.


PLANADVISER Top 100 Retirement Plan Advisers 2018

The 2018 PLANADVISER Top 100 Retirement Plan Advisers recognizes the top defined contribution (DC) plan advisers across the U.S in terms of assets or plans under advisement. In 2017, 341 survey responses were collected for the PLANADVISER Retirement Plan Adviser Survey, from which the list is generated. Of those, 100 (29%) were named to the list. The Top 100 rating, created and conducted by PLANADVISER, is not indicative of the investment adviser's future performance and no adviser pays or is paid a fee to take part in the program.


Retirement Plan Adviser Team of the Year 2015

Nominated by industry professionals and selected based on quantitative evaluation of service levels and feedback from plan sponsor clients. Advisors who have attained the PLANSPONSOR Retirement Professional Designation receive an automatic nomination. In 2015, to be eligible to be a finalist, advisers had to meet the following minimum criteria: having a majority of business revenue derived from employer-sponsored retirement plans, serving as a fiduciary, being committed to fee-based compensation and using outcome-based metrics of plan success with clients. Neither the advisors nor their parent firms pay a fee to the PLANSPONSOR in exchange for inclusion in the 2015 PLANSPONSOR Retirement Plan Adviser of the Year. In 2015, there were three PLANSPONSOR Retirement Plan Adviser of the Year winners from 156 adviser entries. This award does not evaluate the quality of services provided to clients and is not indicative of this advisor’s future performance