Mainstay Capital Management proudly participated in the first annual National Financial Advisor Week (NFAW), held in New York City. This informative event, designed to celebrate the excellent work financial advisors do for investors, was highlighted by 31 panels, discussing a host of financial topics over a course of five days.

Mainstay’s CEO and Chief Investment Strategist, David Kudla, spoke as a panelist on the important benefits of 401(k)s for beginning investors, among other topics. This was part of an effort to share the NFAW’s message that financial advisors can help to improve the lives of ordinary people, particularly the 50 million U.S. households who currently go unadvised when making major financial decisions.

The Wall Street Journal (WSJ) was one of the proud sponsors of NFAW. While at the event, David was interviewed by WSJ reporter Daisy Maxey on the benefit to clients when advisors serve a niche market.

David was thrilled to contribute to such a worthwhile event, particularly on the topic of 401(k)s, which affect almost all working Americans.

Jennifer Rufener, a freshman at Kent State University, was announced as the winner of the National Financial Advisor Week college tuition sweepstakes. She will receive full tuition, room and board, and books for four years of college education.

“Everyone needs advice to reach their financial goals, whether it be owning a home or sending a child to college,” said Nick Stuller, CEO and co-founder of NFAW. “NFAW will show the world that there is a smart advisor for everyone.”

We couldn't agree more!

 

 

 

1
2

Important Consumer Disclosures

Mainstay Capital Management, LLC is an investment advisor registered with the Securities and Exchange Commission. Due to various state regulations and filing requirements, Mainstay and its representatives may only provide investment advisory services in those states in which it is first appropriately registered or otherwise exempt or excluded from registration requirements. The purpose of this website is to provide the public with general information about the services offered by our investment management firm. Mainstay does not render personalized investment advice or services or effect, or attempt to effect any securities transactions, on this website. Our firm continuously monitors its filing requirements in all states, and will provide individualized advisory services only in accordance with various state regulations. Mainstay does not make any representations or warranties as to the accuracy, completeness, or relevance of any information prepared by any unaffiliated third party provider, whether linked to Mainstay's website or incorporated herein. All such information is provided solely for convenience purposes only and all users thereof should be guided accordingly.

 

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. The data is based on one fiscal year (7/1/22 - 6/30/23) and appeared in Barron’s on 9/18/23.


Schwab IMPACT Awards®

The Charles Schwab & Co., Inc.’s IMPACT Awards® program recognizes excellence in the business of independent financial advice. Nominees are evaluated and selected by a panel of prominent leaders from both the business world and the financial services industry. Mainstay Capital Management does use Charles Schwab to custody certain client assets, however there was no direct compensation provided to be nominated for this award. Mainstay Capital Management received this annual award on November 15, 2017.