DISCLOSURES
Firm Accolades
1InvestmentNews 5-Star Wealth Management Teams recognition was issued on 5/12/25 based on data from the preceding 12 months. 5-Star Wealth Management Teams are selected through open nominations with the following criteria considered: Four or more advisors; Meaningful contributions to clients and the financial industry; Deep understanding of client needs; Notable impact achieved over the past 12 months, and Standout performance based on AUM and team results. There is no fee to nominate. The award is not indicative of the advisor’s future performance.
2The 2025 Greater Baltimore’s 50 Fastest-Growing Private Companies ranking issued by the Baltimore Business Journal on 11/4/25 for the 2022-2024 years honors privately-owned companies based in the Greater Baltimore area. The financial professional applied for the recognition. Eligible companies must have made at least $3 million in the calendar year of 2022 and increase every year after based on Baltimore Business Journal research or questionnaires supplied by individual firms. No fee was paid for the nomination, receipt, or promotion of the award. Third-party ratings are no guarantee of future investment success and do not ensure that a client or prospective client will experience a higher level of
performance or results. These ratings should not be construed as an endorsement of the advisor by any client nor are they representative of any one client’s evaluation.
3The 100 Largest Private Companies in Greater Baltimore 2025 ranking was issued by the Baltimore Business Journal on 11/16/25 based on data from 2024. To qualify the private company must have headquarters in the greater Baltimore area and submit the previous year’s revenue. They will then be independently nominated. No fee was paid, and no clients
were contacted. Third-party rankings and recognitions are no guarantee of future investment success and are not representative of all client experiences.
Five Star Wealth Manager*
Award candidates are identified by one of three sources; firm nomination, peer nomination or prequalification. Wealth managers were evaluated across ten criteria: (a) Credentialed as an investment advisory representative or a registered investment advisor; (b) Actively employed as a credentialed professional in the financial services industry for a minimum of five years; (c) Favorable regulatory and complaint history review; (d) Fulfilled their firm review based on internal firm standards; (e) Accepting new clients; (f) One-year client retention rate; (g) Five year client retention rate; (h) non-institutional discretionary and/or non-discretionary client assets administered; (i) Number of client households served. (j) Educational and professional designations. Favorable and unfavorable evaluations are included in the score.
Each wealth manager is reviewed for regulatory actions, civil judicial actions, and customer complaints. A favorable regulatory and complaint history is defined by Five Star Professional to mean that the wealth manager has not: *Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; *Had more than a total of three settled or pending customer complaints filed against them with any regulatory authority or through Five Star Professional’s consumer complaint process; *Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority; *Filed for personal bankruptcy; *Been convicted of a felony. Five Star Wealth Managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. Scores reflect an average of all respondents and are not representative of any one client’s evaluation.
The Five Star award is not indicative of the wealth managers’ future performance. Wealth managers may or may not use discretion in their practice and therefore may not manage their clients’ assets. 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. 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 the magazine. Five Star Professional is not an advisory firm. For more information on the Five Star award and the research/selection methodology, go to: fivestarprofessional.com.
*Marc Neumann: The FIVE STAR Wealth Manager list is created by Crescendo Business Services LLC. It includes less than 6% of 7425 wealth managers in the New Jersey area in 2025.
InvestmentNews Best Places to Work*
The 2026 Best Places to Work for Financial Advisors award issued by InvestmentNews on 3/24/26 for the 2025 year was awarded to companies with a minimum of 10 employees in the financial wealth industry. The financial professional applied for the recognition. Employees from nominated companies completed an anonymous form evaluating their workplace on a number of metrics, including benefits, compensation, culture, employee development, and commitment to diversity and inclusion. Organizations that achieved an 80 percent or greater average satisfaction rating and a minimum number of employee responses were selected, with 43 companies being recognized. No fee was paid for the nomination or receipt of the award; however, $995 was paid for use of the e-medal badge. Third-party ratings are no guarantee of future investment success and do not ensure that a client or prospective client will experience a higher level of performance or results. These ratings should not be construed as an endorsement of the advisor by any client nor are they representative of any one client’s evaluation.