AdvicePeriod, LLC (“AdvicePeriod”) is an SEC Registered Investment Adviser. AdvicePeriod and its representatives are in compliance with the current registration requirements imposed upon registered investment advisers by the SEC and those states in which AdvicePeriod maintains clients. AdvicePeriod may only transact business in those states in which it is notice filed, or qualifies for an exemption or exclusion from notice filing requirements. AdvicePeriod’s web site is limited to the dissemination of general information regarding its advisory services to prospective clients. Accordingly, the publication of AdvicePeriod’s web site on the Internet should not be construed by any prospective client as AdvicePeriod’s solicitation to effect, or attempt to effect transactions in securities, or the rendering of personalized investment advice for compensation, over the Internet. AdvicePeriod does not provide tax or legal advice. You should contact your tax advisor and/or attorney before making any decisions with tax or legal implications. Furthermore, the information resulting from the use of tools or other information on this web site should not be construed, in any manner whatsoever, as the receipt of, or a substitute for, personalized individual advice from AdvicePeriod. For additional information about AdvicePeriod, including registration status, fees, and services, contact us for a copy of our disclosure brochure. AdvicePeriod does not make any representations as to the accuracy, timeliness, suitability, completeness, or relevance of any information prepared by any unaffiliated third party, whether linked to AdvicePeriod’s web site or incorporated herein, and takes no responsibility therefore. All such information is provided solely for convenience purposes only and all users thereof should be guided accordingly.
Past Performance Is No Guarantee Of Future Performance. Any opinions expressed are current only as of the time made and are subject to change without notice. This report may include estimates, projections or other forward looking statements, however, due to numerous factors, actual events may differ substantially from those presented. The graphs and tables making up this report have been based on unaudited, third-party data and performance information provided to us by one or more commercial databases.
Indices are not available for direct investment. Index performance does not reflect the expenses associated with the management of an actual portfolio, including trading or custody fees. Index results assume the re-investment of all dividends and interest. The volatility of these indices may be materially different from that of the fund.
Additionally, please be aware that past performance is not a guide to the future performance of any manager or strategy, and that the performance results and historical information provided displayed herein may have been adversely or favorably impacted by events and economic conditions that will not prevail in the future. Therefore, caution must be used in inferring that these results are indicative of the future performance of any strategy, index, fund, manager or group of managers. Index benchmarks contained in this report are provided so that performance can be compared with the performance of well-known and widely recognized indices. Moreover, the information provided is not intended to be, and should not be construed as, investment, legal or tax advice. Nothing contained herein should be construed as a recommendation or advice to purchase or sell any security, investment, or portfolio allocation. Any investment advice provided by AdvicePeriod is client specific based on each clients’ risk tolerance and investment objectives. This presentation is not meant as a general guide to investing, or as a source of any specific investment recommendations, and makes no implied or express recommendations concerning the manner in which any client’s accounts should or would be handled, as appropriate investment decisions depend upon the client’s specific investment objectives.
Non-deposit investment products are not FDIC insured, are not deposits or other obligations of AdvicePeriod, are not guaranteed by AdvicePeriod and involve investment risks, including the possible loss of principal.
Barron’s recognitions are based upon factors including: assets under management, revenue produced for the firm, regulatory record, and quality of practice. Quality of practice includes an advisor’s regulatory/compliance record and philanthropic and charitable work
FinTech Breakthrough Awards
FinTech Best Wealth Management Company award won in 2017 is based on Innovation, Performance, Ease of Use, Functionality, Value and Impact. All application questions are created by FinTech Breakthrough. There’s no fee to participate in or distribute the results.
Financial Times top registered Investment Advisors won in 2018, 2019 & 2020 is a listing produced by the Financial Times. The FT300 is based on an application with information about the practice: assets under management, asset growth, compliance record, years in existence and credentials. RIA firms will not be charged a fee for consideration or selection!
Los Angeles Business Journal
Los Angeles Business Journal Best Place to Work in Los Angeles won in 2016 is a listing produced by BCG. Award criteria include: completion of an Employee Engagement and Satisfaction Survey and the Employer Questionnaire which collected information about benefits, policies, and practices. Both were analyzed for strengths and BCG determined rankings. Additional criteria included having a minimum of 15 full time or part time employees and have been in business for a minimum of one year. There’s no fee to participate in or distribute the results of the survey.
Inc. magazine’s Best Workplaces
AdvicePeriod’s selection for Inc. magazine’s 2018 and 2019 Best Workplaces list was based on a written application and an employee satisfaction survey. The survey measured engagement and people practices by surveying employees on their career development opportunities, leadership’s communication, their trust in leadership, team dynamics, and individual needs. The survey was conducted by Quantum Workplace. The application cost was $125.00.
Entrepreneur magazine’s Top Cultures
AdvicePeriod ranked 6 out of 50 on the Top Cultures list for 2018 in the small business category. AdvicePeriod’s rank was measured by employee responses to 24 questions on subject matters such as connection, alignment, effectiveness, leadership, and management, as well as basics such as pay, benefits, and flexibility. The survey was conducted by Energage. There were no costs involved in the application process for this award.
WealthManagement.com’s Best Family Office 2018
WealthManagement.com awarded AdvicePeriod’s team, the “Lab”, as the Best Family Office, for its involvement in innovating the family office experience. The Lab tests technology, tools, and innovative estate planning solutions before pairing its solutions to the needs of family offices. Criteria include both quantitative measures, such as specific feature set, usage, potential, scope, scale, etc., along with qualitative measures such as innovation, creativity, new methods of deployment, etc. There were no costs involved in the application process for this award.
WealthManagement.com’s Thought Leader of the Year 2019
Thought Leader of the Year award won in 2019 is a list produced by wealthmanagement.com. The award is based on both quantitative measures such as program or idea features, usage, the potential to change the industry and existing business practices, along with qualitative measures such as creativity and new practice standards. RIA firms will not be charged a fee for consideration or selection.
WealthManagement.com’s Innovator of the Year and Best Family Office 2020
WealthManagement.com awarded AdvicePeriod Principal, Steve Lockshin, the 2020 Innovator of the Year award for his role in developing Vanilla, a new standard in estate planning technology. Criteria include both quantitative measures such as program features, usage, potential to change the industry and existing business practices, scope, scale, along with qualitative measures such as creativity, new practice standards, etc. Additionally, WealthManagement.com awarded AdvicePeriod’s CFO Services team as Best Family Office – Client Initiative, for offering unique in-house business management services to ultra-high net worth clients. Criteria include both quantitative measures, such as specific feature set, usage, potential, scope, scale, etc., along with qualitative measures such as innovation, creativity, new methods of deployment, etc. There were no costs involved in the application process for this award.
Family Wealth Report’s Best Wealth Planning Firm
The judging process for the Family Wealth Report Awards is conducted by three panels of judges to avoid any conflicts of interest: one panel of MFO’s/Bankers who judge the trusted advisor categories; a second panel of Trusted Advisors who judge the MFO and banking categories; and a third panel dedicated to judging the Technology section. The award categories are focused around three main areas: experts, products, and services for wealth managers and clients/institutions of all sizes and types. AdvicePeriod was Best Wealth Planning Firm under the Private Client Categories. There were no costs involved in the application process for this award.
Charles Schwab & Co., Inc.’s 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.
For more information on the IMPACT Awards® program, visit http://impact.schwab.com/awards/.
AdvicePeriod is not owned or affiliated with Charles Schwab & Co., Inc. (“Schwab”), and its personnel are not employees or agents of Schwab. The IMPACT Award® is not a referral to, endorsement or recommendation of, or testimonial for the advisor with respect to its investment advisory or other services. Schwab Advisor Services® serves independent investment advisors and includes the custody, trading, and support services of Schwab. Independent investment advisors are not owned by, affiliated with, or supervised by Schwab. The Harlem Lacrosse is not affiliated with or employed by Schwab. This is not and should not be construed as a recommendation, endorsement, or sponsorship by Schwab.