Rankings & Recognition

In Financial Advisor Magazine’s 2022 RIA Rankings, SPC Financial, Inc. was ranked #311 based on the combined total of discretionary and nondiscretionary assets under management as of December 31, 2021. In Financial Advisor Magazine’s 2020 RIA Rankings, SPC Financial, Inc. was ranked #361 based on the combined total of discretionary and nondiscretionary assets under management as of December 31, 2019. These figures are reported by investment advisor firms in the SEC Form ADV that is filed with the SEC. To be eligible for FA’s annual RIA rankings, firms must be registered investment advisors and provide financial planning and related services to individual clients. The rankings for investment advisor firms were published in the August 2022 and August 2020 issues of Financial Advisor Magazine, respectively. The rankings may not be representative of any one client’s experience, is not an endorsement, and is not indicative of an advisor’s future performance. SPC Financial® does not pay a fee in exchange for these ranking. Financial Advisor Magazine is not affiliated with SPC Financial®. Additional information on the 2022 advisor ranking can be found at https://www.fa-mag.com/userfiles/0000000002022_IMAGES_ALL/FA_ISSUES_2022/06_FA_JULYAUG_2022/RIA22_Main_Rank_Online5aa.pdf, and information on the 2020 advisor ranking can be found at https://www.fa-mag.com/userfiles/00000002020_IMAGES_ALL/FA_ISSUES_2020/08_FA_AUGUST_2020/RIA_Rankings/2020_RIA_Ranking_Online.pdf.

Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights reserved. Advisors who wished to be ranked filled out a questionnaire survey about their practice. Barron’s verifies the data with the advisor’s firms and applies their rankings formula to the data to generate a ranking. The formula features three major categories of calculations: (1) Assets, (2) Revenues, and (3) Quality of Practice. In each of those categories, Barron’s does multiple sub-calculations. For instance, Barron’s takes into account not just the amount of assets an advisor manages, but also the type of assets—are they private-wealth assets or institutional? If they are institutional, are they for a foundation or an endowment, or are they corporate assets? Barron’s measures the growth of advisors’ practices and their client retention. It also considers a wide range of qualitative factors, including the advisors’ experience, their advanced degrees and industry designations, the size, shape, and diversity of their teams, their charitable and philanthropic work and their compliance records. This ranking may not be indicative of the advisor’s future performance, is not an endorsement, and may not be representative of any individual client’s experience. SPC Financial® does not pay a fee to Barron’s in exchange for this ranking. Barron’s is not affiliated with SPC Financial®. This ranking may not be representative of any one client’s experience, is not an endorsement, and is not indicative of an advisor’s future performance. SPC Financial® does not pay a fee in exchange for this ranking. Barron’s is not affiliated with SPC Financial®. See https://www.barrons.com/advisor/report/top-financial-advisors/independent. The rankings for 2022 were based on data provided by 514 applications. Additional information on the Barron’s 2022 advisor ranking can be found at https://www.barrons.com/advisor/report/top-financial-advisors/independent?mod=faranking_subnav. The rankings for 2021 were based on data provided by 506 applications. Additional information on the Barron’s 2021 advisor ranking can be found at https://www.barrons.com/advisor/articles/barrons-methodology-for-ranking-financial-advisors-51615843316?tesla=y. The rankings for 2020 were based on data provided by 375 applications. Additional information on the Barron’s 2020 advisor ranking can be found at https://www.barrons.com/advisor/report/top-financial-advisors/100/2020. Additional information on the Barron’s 2019 advisor ranking can be found at https://www.barrons.com/advisor/report/top-financial-advisors/100/2019. Additional information on Barron’s 2013 advisor ranking can be found at https://www.barrons.com/report/top-financial-advisors/independent/2013. In 2012, the top 100 were drawn from 350 nominations and were ranked in part on the assets under management. Barron’s also considered revenue and the overall quality of the practice. Investment performance was not an explicit criterion because clients’ investment goals vary widely. https://www.barrons.com/report/top-financial-advisors/independent/2012.

The Forbes ranking of Best-In-State Wealth Advisors—developed by SHOOK Research—is chosen based on an algorithm of qualitative and quantitative criteria, including in-person interviews, industry experience, compliance records, revenue produced, and assets under management (AUM). Those advisors that are considered have a minimum of seven years of experience, and the algorithm weighs factors like revenue trends, assets under management, compliance records, industry experience and those that encompass best practices in their approach to working with clients. Portfolio performance is not a criterion due to varying client objectives and lack of audited data. As of January 2022, SHOOK received 34,925 nominations, of which 19,640 were invited to complete an online survey, 14,476 telephone interviews were conducted, 2,657 in-person interviews at the advisors' location were held, and 1,311 web-based interviews were done. Additional information on Forbes' 2022 methodology can be found at https://www.forbes.com/sites/rjshook/2022/04/07/methodology-forbes-best-in-state-wealth-advisors-2022. SHOOK received more than 32,000 nominations in 2021 and about 32,000 nominations in 2020. Additional information on Forbes' 2021 and 2020 methodology can be found at https://www.forbes.com/sites/rjshook/2021/02/11/forbes-best-in-state-wealth-advisors-methodology-2021 and https://forbes.com/sites/rjshook/2020/01/16/forbes-best-in-state-wealth-advisors-methodology-2020. SHOOK received 29,334 nominations in 2019. Additional information on Forbes’ 2019 advertising ranking can be found at https://www.forbes.com/sites/rjshook/2019/02/20/forbes-best-in-state-wealth-advisors-methodology-2019/?sh=1c4b725a4ed1. Additional information on Forbes’ 2018 advertising ranking can be found at https://www.forbes.com/sites/rjshook/2018/02/15/forbes-best-in-state-wealth-advisors-methodology/?sh=3ad93b1915dd. This ranking may not be representative of any one client's experience, is not an endorsement, and is not indicative of an advisor's future performance. SPC Financial® does not pay a fee to Forbes or SHOOK in exchange for this ranking. Forbes and SHOOK Research, LLC are not affiliated with SPC Financial®.

Barron's is a registered trademark of Dow Jones & Company, L.P. All rights reserved. The factors included in the rankings are assets under management, revenue produced for the firm, regulatory record, quality of practice and questionnaires filled out by the advisors. Financial Advisors are quantitatively rated based on varying types of revenues produced and assets under management by the financial professional, with weightings associated for each. Investment performance is not an explicit component because not all advisors have audited results and because performance figures often are influenced more by clients' risk tolerance than by an advisor's investment-picking abilities in each of the years. This ranking may not be representative of any one client's experience, is not an endorsement, and is not indicative of an advisor's future performance. SPC Financial® does not pay a fee in exchange for this ranking. Barron's is not affiliated with SPC Financial®. Additional information on the 2022 advisor ranking can be found at https://www.barrons.com/articles/top-1200-financial-advisors-america-51646955438. Additional information on the 2021 advisor ranking can be found at https://www.barrons.com/articles/americas-top-1-200-financial-advisors-our-annual-state-by-state-listing-51615582800. Additional information on the 2020 advisor ranking can be found at https://www.barrons.com/articles/americas-top-1-200-financial-advisors-our-annual-state-by-state-listing-51583945073. Additional information on the 2019 advisor ranking can be found at https://www.barrons.com/articles/top-1200-financial-advisors-america-51552077917. Additional information on the 2018 advisor ranking can be found at https://www.barrons.com/articles/americas-top-1-200-financial-advisors-1520651090. Additional information on the 2017 advisor ranking can be found at https://www.barrons.com/articles/barrons-top-1-200-financial-advisors-1488608821. Additional information on the 2016 advisor ranking can be found at https://www.barrons.com/articles/top-1-200-financial-advisors-1457159937. Additional information on the 2015 advisor ranking can be found at https://www.barrons.com/advisor/report/top-financial-advisors/1000/2015. Additional information on the 2014 advisor ranking can be found at https://www.barrons.com/articles/americas-top-1-200-financial-advisors-1393056578.

Financial Times 300 Top Registered Investment Advisors was developed in collaboration with Ignites Research, a subsidiary of the FT that provides specialized content on asset management. The FT 300 was based on data gathered from RIA firms, regulatory disclosures, and FT’s research. The listing reflects each practice’s performance in six primary areas: a minimum $300 million in assets under management (AUM), assets growth rate, compliance records, the company’s years in existence, industry certifications, and online accessibility. Over 750 qualified firms applied for the FT ranking for 2020, the top 300 of which were selected. This ranking may not be representative of any one client’s experience, is not an endorsement, and is not indicative of an advisor’s future performance. SPC Financial® does not pay a fee in exchange for this ranking. Financial Times is not affiliated with SPC Financial®. Additional information on Financial Times 2020 advisor ranking can be found at https://www.ft.com/content/6a45556e-6c21-4770-bc94-468fee0de563.

Financial Times Top 400 Financial Advisors was developed in collaboration with Ignites Research, a subsidiary of the FT that provides specialized content on asset management. To qualify for the list, advisors had to have 10 years of experience and at least $300 million in assets under management (AUM) ($250 million in 2013; $200 million in 2015) and, for listings prior to 2019, no more than 60% of the AUM was with institutional clients. The FT reaches out to some of the largest brokerage firms in the U.S. and asks them to provide a list of advisors who meet the minimum criteria outlined above. These advisors are then invited to apply for the ranking. Only advisors who submit an online application can be considered for the ranking. The formula the FT uses to grade advisors is based on six broad factors and calculates a numeric score for each advisor. These factors are AUM, AUM growth rate, years of experience, compliance records, industry certifications, and online accessibility. AUM is the top factor, accounting for approximately 60%-70% of the applicant's score (72% in 2019). Additionally, to provide a diversity of advisors, the FT places a cap on the number of advisors from any one state that is roughly correlated to the distribution of millionaires across the U.S. This ranking may not be representative of any one client's experience, is not an endorsement, and is not indicative of an advisor's future performance. SPC Financial® does not pay a fee in exchange for this ranking. Financial Times is not affiliated with SPC Financial®. Additional information on the 2019 advisor ranking can be found at https://www.ft.com/content/bad0ff38-5605-11e9-a3db-1fe89bedc16e. Additional information on the 2018 advisor ranking can be found at https://www.ft.com/content/eb2ec3f0-1249-11e8-a765-993b2440bd73. Additional information on the 2017 advisor ranking can be found at http://im.ft-static.com/content/images/21339400-1479-11e7-b0c1-37e417ee6c76.pdf. Additional information on the 2016 advisor ranking can be found at https://aboutus.ft.com/press_release/financial-times-announces-top-400-broker-dealer-financial-advisers-of-2016. Additional information on the 2015 advisor ranking can be found at https://aboutus.ft.com/press_release/financial-times-announces-top-400-broker-dealer-financial-advisers-of-2015. Additional information on the 2013 advisor ranking can be found at https://aboutus.ft.com/press_release/financial-times-announces-top-400-us-advisors-of-2013.

The Forbes ranking of America's Top 250 Wealth Advisors, developed by SHOOK Research, is based on an algorithm of qualitative and quantitative data, rating thousands of wealth advisors with a minimum of seven years of experience. Ranking algorithm is based on quality of practice, including: telephone and in person interviews, client retention, industry experience, review of compliance records, firm nominations; and quantitative criteria, including: assets under management and revenue generated for their firms. Investment performance is not a criterion because client objectives and risk tolerances vary, and advisors rarely have audited performance reports. The final list of the top 250 Advisors was then compiled based upon the quantitative criterion. Rankings are based on the opinions of SHOOK Research, LLC. This ranking may not be representative of any one client's experience, is not an endorsement, and is not indicative of an advisor's future performance. SPC Financial® does not pay a fee to Forbes or SHOOK in exchange for this ranking. Forbes and SHOOK Research, LLC are not affiliated with SPC Financial®. Additional information on the 2018 advisor ranking can be found at https://www.forbes.com/sites/rjshook/2018/09/12/americas-top-wealth-advisors-2018/?sh=15489505189d. Additional information on the 2017 advisor ranking can be found at https://www.forbes.com/sites/halahtouryalai/2017/09/26/americas-top-wealth-advisors-2017/?sh=1f5ad4964851.

The Forbes ranking of America's Top 200 Wealth Advisors, developed by SHOOK Research, is based on an algorithm of qualitative and quantitative data, rating thousands of wealth advisors with a minimum of 7 years of experience as an advisor, minimum of 1 year at current firm, and over 50% of revenue/production must be with individuals. Quality of practice includes telephone and in person interviews, compliance records, client service model, investing process, fee structure, and breadth of services. Quantitative criteria include assets under management and revenue/production, and client related data such as retention. Investment performance is not a criterion because client objectives and risk tolerances vary, and advisors rarely have audited performance reports. According to SHOOK,13,174 nominations were received 4,000 were invited to complete an online survey, 3,980 telephone interviews were conducted, and 716 in-person interviews were held at advisors’ locations. This ranking may not be representative of any one client's experience, is not an endorsement, and is not indicative of an advisor's future performance. SPC Financial® does not pay a fee in exchange for this ranking. Forbes and SHOOK are not affiliated with SPC Financial®. Additional information on the Forbes 2016 advisor ranking can be found at https://www.forbes.com/sites/rjshook/2016/08/03/shook-research-methodology-forbes-top-wealth-advisors/?sh=6aa4db674c59.

Barron's is a registered trademark of Dow Jones & Company, L.P. All rights reserved. The rankings are based on data provided by over 4,000 of the nation’s most productive advisors. Factors included in the rankings are assets under management (AUM), revenue produced for the firm, regulatory record, quality of practice and philanthropic work. Investment performance is not an explicit component because not all advisors have audited results and because performance figures often are influenced more by clients' risk tolerance than by an advisor's investment picking abilities. This ranking may not be representative of any one client's experience, is not an endorsement, and is not indicative of an advisor's future performance. SPC Financial® does not pay a fee in exchange for this ranking. Barron's is not affiliated with SPC Financial®. Additional information on Barron’s 2013 advisor ranking can be found at https://www.barrons.com/advisor/report/top-financial-advisors/1000/2013. Additional information on Barron’s 2012 advisor ranking can be found at https://www.barrons.com/advisor/report/top-financial-advisors/1000/2012.

Barron's is a registered trademark of Dow Jones & Company, L.P. All rights reserved. The Barron's rankings are based on data provided by over 4,000 individual advisors and their firms and include qualitative and quantitative criteria. Data points that relate to quality of practice include professionals with a minimum of 7 years financial services experience, acceptable compliance records, (no criminal U4 issues), client retention reports, charitable and philanthropic work, quality of practice, designations held, offering services beyond investments offered including estates and trusts, and more. Financial Advisors are quantitatively rated based on varying types of revenues produced and assets under management by the financial professional, with weightings associated for each. Investment performance is not an explicit component because not all advisors have audited results and because performance figures often are influenced more by clients' risk tolerance than by an advisor's investment picking abilities. The ranking may not be representative of any one client's experience, is not an endorsement, and is not indicative of advisor's future performance. SPC Financial® does not pay a fee in exchange for this award/rating. Barron's is not affiliated with SPC Financial®.