Disclosures

Important Disclosure Information

 

Through the years, the professionals of Shepherd Financial have been identified by various organizations for their outstanding service and commitment to the industry. The depth of knowledge and expertise of all team members is second to none.

 

Awards are not indicative of future performance, and there is no guarantee of future investment success.

 

  • Top 100 Retirement Plan Advisers (2016, 2018, 2019) – PLANADVISER
    To become eligible for this annual listing – which is based on purely quantitative measures – advisers may either be nominated for a PLANSPONSOR Retirement Plan Adviser of the Year award or enter the process themselves by providing industry references. Advisers were segmented into four groups based on the number of advisers and number of total employees including support staff. The “PLANADVISER Top 100 Retirement Plan Advisers” list is compiled from responses to the PLANADVISER Retirement Plan Adviser Survey. The list is drawn solely from a set of quantitative variables and information in the survey supplied by the advisers themselves. For an adviser to be eligible for recognition in this year’s Top 100, he had to submit a completed entry to our 2018 Retirement Plan Adviser Survey, which was fielded this past September. A sub-segment of the questions was used to determine eligibility for the Top 100.

 

  • Top Defined Contribution Advisor Firms (2017, 2018) – NAPA
    The NAPA Top DC Retirement Firms 2018 ranking is an independent listing produced by the National Association of Plan Advisors (NAPA). The ranking is based on data gathered from advisors. The listing reflects each advisor’s status in the following areas as of 12.31.17: total asset value of the defined contribution plans supported, total number of defined contribution plans supported, and total participants covered by the defined contribution plans. Neither the RIA firms nor their employees pay a fee to NAPA in exchange for inclusion in the listing.

 

  • Retirement Plan Adviser of the Year Finalist (2017) – PLANSPONSOR
    To be eligible for the award, 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. Advisers do not pay a fee to be considered or placed on the finalists list.

 

  • Top 50 Plan Advisors Under 40 (2014, 2016) – National Association of Plan Advisors
    To be eligible, nominees submitted information about their experience, credentials, background and practice for consideration by a blue ribbon panel of judges. Candidates must have been under age 40 (born after January 1, 1976). The voting period began December 17, 2015 and ended January 11, 2016. Anyone with a business email was allowed to vote, including colleagues, broker-dealers, DCIOs, and even plan sponsor clients. Individuals could vote for anyone, and for as many individuals as they wanted, but only one per nominee.

 

  • Top 401(k) Retirement Advisors (2015, 2017, 2018) – Financial Times
    The Financial Times 401 Top Retirement Plan Advisors is an independent listing produced annually by the Financial Times. 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. Neither the RIA firms nor their employees pay a fee to the Financial Timesin exchange for inclusion in the FT 401.

 

  • Top Independent Next Generation Advisors (2014) – WealthManagement.com
    Advisors on the Top Next Gen IBD Advisors list are ranked exclusively by assets under management. Nominations were solicited from the top 35 IBDs by headcount. REP.magazine and com do not receive any compensation from financial advisors, participating firms and affiliates or the media in exchange for rankings.

 

  • Top 300 Advisors in Defined Contribution Plans (2011, 2010) – 401k Wire
    The list is based on almost 3,000 nominations from the industry and our editorial staff. The final list was selected based on more than 120,000 reader votes as well as input from last year’s Top 40 Advisors and from distributors working with the advisors, and an analysis of objective criteria including statistics about the advisors’ practices gathered directly from the nominees.

 

  • Five Star Professional Top Wealth Managers in Indianapolis (2010 – 2017) – Indianapolis Monthly
    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 an investment adviser representative; 2. Active as a credentialed professional in the financial services industry 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 customer complaints filed against them [settled or pending] 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 filed with a regulatory authority; D. Filed for personal bankruptcy; E. 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. 2017 (Indianapolis) wealth managers were considered for the award; 182 (16 percent of candidates) were named (2016) Five Star Wealth Managers.