Full Ranking Disclosure
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DISCLOSURE INFORMATION - RANKINGS AND AWARDS
Barron's Magazine - Top 100 Independent Wealth Advisors
According to Barron’s: The rankings are based on data provided by individual advisors and their firms. Advisor data is confirmed via regulatory databases, cross‐checks with securities firms and conversations with individual advisors. The formula Barron’s uses to rank advisors is proprietary. It has three major components: assets managed, revenue produced and quality of practice. Investment returns are not a component of the rankings because an advisor’s returns are dictated largely by the risk tolerance of clients. The quality of practice component includes an evaluation of each advisor’s regulatory record. Moreover, neither Mainstay nor any other participating advisors paid a fee to be eligible for the “Top 100 Independent Wealth Advisors." The data is based on one fiscal year (7/1/24 - 6/30/25) and appeared in Barron’s on 9/15/25.
Forbes - America's Top Wealth Advisors
Forbes ranking of America’s Top Wealth Advisors was developed by SHOOK Research and is based on in-person, virtual and telephone due diligence meetings and a ranking algorithm that includes: a measure of best practices, 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. SHOOK’s research and rankings provide opinions intended to help investors choose the right financial advisor and are not indicative of future performance or representative of any one client’s experience. Past performance is not an indication of future results. Neither Forbes nor SHOOK Research receive compensation in exchange for placement on the ranking. For more information, please see www.SHOOKresearch.com. SHOOK is a registered trademark of SHOOK Research, LLC. Data provided by SHOOK® Research, LLC. America’s Top Wealth Advisors data as of 6/30/24 and appeared on Forbes online on 4/8/25.
Forbes - Best-In-State Wealth Advisors
Forbes ranking of Best-in-State Wealth Advisors was developed by SHOOK Research and is based on in-person, virtual, and telephone due diligence meetings to measure best practices; also considered are: client retention, industry experience, credentials, review of compliance records, firm nominations; and quantitative criteria, such as: 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. SHOOK’s research and rankings provide opinions intended to help investors choose the right financial advisor and are not indicative of future performance or representative of any one client’s experience. Past performance is not an indication of future results. Neither Forbes nor SHOOK Research receive compensation in exchange for placement on the ranking. For more information, please see www.SHOOKresearch.com. SHOOK is a registered trademark of SHOOK Research, LLC. Best-in-State Wealth Advisors data as of 6/30/24 and appeared on Forbes online on 4/8/25.
CNBC - Financial Advisor 100
The CNBC 2025 Financial Advisor 100 comes from CNBC, a business and financial news outlet that publishes an annual list of top registered investment advisors. Mainstay Capital Management, LLC (“Mainstay”) is not affiliated with CNBC. CNBC’s Financial Advisor 100 ranking is produced in partnership with AccuPoint Solutions and is based on a combination of quantitative data and editorial review. The process begins with an initial list of 40,563 registered investment advisors from the U.S. Securities and Exchange Commission’s regulatory database, which is narrowed to firms meeting CNBC’s proprietary screening criteria. CNBC then distributes an extensive email survey to qualifying firms to verify key details, which are reviewed and confirmed against SEC filings and other publicly available information. AccuPoint Solutions applies CNBC’s proprietary weighted methodology to determine the top 100 firms. Factors considered include an advisory firm’s regulatory and compliance record, number of years in business, number of certified financial planners, number of employees and investment advisors, ratio of investment advisors to total staff, total and discretionary assets under management, total accounts, and number of states of registration. Firms with regulatory disclosures or disciplinary actions are automatically disqualified. There was no direct compensation provided to be nominated for or included in this ranking. CNBC has stated that a firm’s or advisor’s appearance on the Financial Advisor 100 list does not constitute an endorsement by CNBC of any firm or advisor. The 2025 CNBC Financial Advisor 100 ranking was published on October 1, 2025.
