Awards & Recognitions

Advisors who wish to be ranked must first pass a prequalification process aimed at ensuring that those in the mix are experienced and sophisticated advisors. Those who meet the criteria then fill out a survey with more than 100 questions about their practices. Barron’s verifies that data with the advisors’ firms and with regulatory databases, then applies their rankings formula to the data to generate a ranking. More details on the methodology can be found on Barron’s Top Advisors Methodology. Caprock paid no application fee to participate.

To be eligible, firms must be independent registered investment advisors and file their own ADV statement with the SEC, and provide financial planning and related services to individual clients. Firms complete and submit a survey on their firm’s behalf and each is represented in the final survey ranking. The annual ranking is based on the previous year’s assets for discretionary and nondiscretionary assets reported on Form ADV. Caprock paid no application fee to participate.

The invitation-only Wealth Exemplar Awards celebrate excellence in the wealth management industry, honoring outstanding firms across multiple categories, trendsetting and industry-shaping M&A transactions, and a bold, visionary Person of the Year who has implemented change in the wealth management industry. Methodology is based on total assets under management or advisement, total number of financial advisor relationships, and description of the firm, including its most significant recent initiatives and achievements. Caprock paid no application fee to participate.

USA TODAY and Statista recognize the “Best Financial Advisory Firms 2026” in the US. The top 1,000 RIA firms were awarded based on an innovative methodology consisting of two dimensions: a firm’s development of Assets Under Management (AUM) and recommendations by financial advisors, clients, and industry experts. Caprock paid no application fee to participate.

The InvestmentNews Awards team conducts research to support and supplement nominations received. All Excellence Awardees are invited to complete a detailed submission, which is an opportunity to address the category criteria in more detail. All submissions remain confidential unless otherwise marked and are not shared with any third parties other than the judges. Using a simple points system to aggregate judges’ votes, the excellence awardee with the top score in a category will be named the winner. Caprock paid no application fee to participate.