Capital Advisors, Ltd. Named To 2019 Financial Times 300 Top Registered Investment Advisers
July 8, 2019 – Capital Advisors, Ltd. is pleased to announce it has been named to the 2019 edition of the Financial Times 300 Top Registered Investment Advisers. The list recognizes top independent RIA firms from across the U.S. Neil Waxman and Mark Ciulla are Managing Directors of Capital Advisers.
This is the sixth annual FT 300 list, produced independently by the Financial Times in collaboration with Ignites Research, a subsidiary of the FT that provides business intelligence on the investment management industry, and assesses registered investment advisers (RIAs) on traits desirable to investors. To ensure a list of established companies with substantial expertise, a database of RIAs registered with the US Securities and Exchange Commission was examined with those selected that reported $300M or more in assets under management (AUM). The Financial Times invited more than 2,000 qualifying RIA companies to complete a lengthy application that provided detailed information. Some 740 RIA companies applied and 300 made the final list.
The formula FT uses to grade advisers is based on six broad factors and calculates a numeric score for each adviser. Areas of consideration include adviser AUM, asset growth, the company’s age, industry certifications of key employees (CFA, CFP, etc.), SEC compliance record and online accessibility. The reasoning behind FT’s belief that this is the fairest way to identify the industry’s elite advisers while accounting for the companies’ different approaches and different specialization are as follows:
- AUM signals experience managing money and client trust.
- AUM growth rate can be a proxy for performance, as well as for asset retention and the ability to generate new business.
- Companies’ years in existence indicates reliability and experience of managing assets through different market environments.
- Compliance record provides evidence of past client disputes — a string of complaints can signal potential problems, for example.
- Industry certifications (CFA, CFP, etc) show the company’s staff has industry knowledge and signals a professional commitment to investment skills.
- Online accessibility demonstrates a desire to provide easy access and transparent contact information.
AUM accounted for an average of 70 to 75 per cent of each adviser’s score. Also, asset growth accounted for an average of 15 per cent. This year, to emphasize long-term client satisfaction, FT also used a three-year growth rate instead of the one- and two-year growth rates used in the past. Additionally, FT caps the number of advisory companies from any one state, based roughly on the distribution of millionaires across the US. This award does not evaluate the quality of services provided to clients and is not indicative of the practice’s future performance. Neither the RIA firms nor their employees pay a fee to The Financial Times in exchange for inclusion in the FT 300.
https://www.ft.com/content/44d2b2b2-6cef-11e9-9ff9-8c855179f1c4
The views and opinions expressed herein are those of the author and may or may not represent the views of Capital Analysts or Lincoln Investment. Articles are not written or produced by the named representative and the information has not been verified. There is no guarantee as to the completeness or accuracy of the content. Quotes and remarks have been excerpted from conversations with the interviewer and may have been taken out of context. All remarks are hypothetical in nature and are intended to be informational only. They should not be regarded as investment advice, performance claims or testimonials. This is not a solicitation, recommendation or endorsement of any investment, investment strategy, tax strategy or legal advice. There is no guarantee that any strategies discussed will result in a positive outcome or the achievement of financial or retirement goals. A plan of regular investing does not assure a profit or protect against loss in a declining market. You should discuss any legal, tax or financial matters with the appropriate professional. All investing involves risk and no investment strategy can guarantee a profit or protect against loss, including the potential loss of principal.
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About the Writers
Zachary Abrams
Manager, Wealth Management & Portfolio Analysis
CFP®
Nathan Creviston
Manager, Wealth Management and Portfolio Analysis
CFP®, ChFC®, RICP®
Rob Holub
Chief Investment Strategist
CFA, CFP®
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It should not be assumed that stocks with higher dividend growth will outperform those with lesser or no dividend growth. No amount of prior experience or success should be construed that a certain level of results or satisfaction will be achieved if Capital Advisors is engaged, or continues to be engaged, to provide investment advisory services. Capital Advisors is not a certified public accounting firm, and no portion of its services should be construed as accounting advice. Moreover, you should not assume that any discussion or information contained in this document serves as the receipt of, or as a substitute for, personalized investment advisory services from Capital Advisors. A copy of our current written disclosure Brochure and Form CRS discussing our advisory services and fees is available upon request or at www.capitaladvisorsltd.com.
Aggregated Portfolio Data as of 12-19-2023.
S&P 500: a stock market index that tracks the performance of 500 of the largest publicly traded companies in the United States
Vanguard U.S. Dividend Growers: measure the performance of U.S. companies that have followed a policy of consistently increasing dividends every year for at least 10 consecutive years. The index excludes the top 25% highest-yielding eligible companies from the index.
Capital Advisors, Ltd., 20600 Chagrin Boulevard 1115 Tower East Shaker Heights, Ohio 44122
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