Rankings & Recognition

In Financial Advisor Magazine’s 2023 RIA Rankings, SPC Financial, Inc. was ranked #309 based on the combined total of discretionary and nondiscretionary assets under management as of December 31, 2022. 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 2023 advisor ranking can be found at https://www.fa-mag.com/userfiles/00000000002023_IMAGES_ALL/FA_ISSUES_2023/06_FA_JULYAUG_2023/2023_RIA_Ranking_Online0810.pdf. 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. The 2023 rankings are based on data provided by 476 applications and include qualitative and quantitative criteria. Time period upon which the ranking is based is from 6/30/2022 to 6/30/2023. 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. 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. This ranking is not based in any way on the individual’s abilities in regards to providing investment advice or management. The 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® did not pay a fee in exchange for this ranking. Additional information on the 2023 advisor ranking can be found at https://www.barrons.com/advisor/report/top-financial-advisors/independent/2023page=9&mod=faranking_2023. 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.

Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights reserved. The 2024 rankings are based on data provided by around 6000 individual advisors and their firms and include qualitative and quantitative criteria. Time period upon which the ranking is based is from 09/30/2022 to 09/30/2023. Factors included in the rankings: assets under management, 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. 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 ranking. Barron’s is not affiliated with SPC Financial®. Additional information on the 2024 advisor ranking can be found at https://www.barrons.com/advisor/report/top-financial-advisors/1000?page=1. Additional information on the 2023 advisor ranking can be found at https://www.barrons.com/advisor/report/top-financial-advisors/100page=22&mod=djem_b_TWF+3142023. 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.