Awards and 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.

ICM LP LEADER AWARD, which recognizes a limited partner who has shown extraordinary leadership in advancing the field of private capital impact investing. Factors for consideration may include innovative or early initiatives to seed and grow the field, capital allocation to high-integrity impact funds, advancement of effective impact standards, policy and advocacy leadership, efforts to make private capital impact investing more inclusive and diverse, or market-shaping research and thought leadership. There is no geographic focus. Self-nomination is allowed. Nominations will be anonymous; the staff and Board of ICM choose winners from the nominee pool.

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 2024” in the US. The top 500 RIA firms were awarded based on an innovative methodology consisting of two dimensions: A firms development of Assets Under Management (AUM) and recommendations by financial advisors, clients, and industry experts. Caprock paid no application fee to participate.