Effective Date: June 1, 2015
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Disclosure for Awards
Stuart V. Smith is an investment adviser representative of ML&R Wealth, an SEC-registered adviser.
The Five Star Wealth Manager Award is granted by Five Star Professional.
Their research objective is to develop a list of wealth managers in a given market who satisfy objective eligibility and evaluation criteria that are associated with providing quality services to clients. For purposes of this program, wealth managers are defined to be those individuals who help their clients prepare a financial plan and/or implement aspects of their financial plan.
To receive the Five Star Wealth Manager award, a wealth manager must satisfy 10 objective eligibility and evaluation criteria that are associated with wealth managers who provide quality services to their clients
Eligibility Criteria – Required 1) Credentialed as an investment advisory representative or a registered investment advisor. 2) Actively employed as a credentialed professional in the financial services industry for a minimum of five years. 3) Favorable regulatory and complaint history review.(1) 4) Fulfilled their firm review based on internal firm 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 Profiles in Power Award is granted by The Austin Business Journal.
A Profile in Power is a working woman of distinction that has gained recognition because she is a successful business owner or member of top management with a company or organization of any size and has given back to her community. Twenty-five Women of Influence finalists are selected by a panel of Central Texas industry experts and Profiles in Power alumni. Judges select one Rising Star, which will honor a woman under 30 for her achievements thus far and up to five outstanding candidates to be named a Profile in Power.
Judges are looking for specific emphasis on career advancement, present company success, business leadership and community involvement. Distinctions should include community involvement balanced with business and personal success.
The Austin Under Forty Award is granted by Austin Under 40.
Recognition is paid to emerging Austinites who both lead their respective industries and exhibit a solid commitment to serving their community. These individuals are recognized in 14 categories: Arts, Sports, Media & Entertainment; Business & Entrepreneurship; Community Service & Non-profit; Culinary Arts & Hospitality; Energy & CleanTech; Engineering, Architecture & Design; Financial Services & Insurance; Government & Public Affairs; Legal; Marketing, Public Relations & Advertising; Medicine, Healthcare & Sciences; Real Estate; Technology & Startup; and Youth & Education.
Third party rankings and recognition from ratings services are no guarantee of future investment success. Working with a highly rated adviser does not ensure that a client or prospective client will experience a higher level of performance or results. Ratings should not be considered an endorsement of the advisor by any client nor are they representative of any one client’s evaluation. Please also read a more thorough disclosure and additional information about the criteria used in making these rankings via the following links:
Attn: Staci Sprayberry
401 Congress Avenue
Austin, TX 78701