Broker Check

ADV, Compliance & Disclosures

ACertified Financial Planner (CFP®): The Certified Financial Planner (CFP®) designation is a voluntary certification that is recognized for its high standard of professional education, stringent code of conduct and standards of practice, and ethical requirements that govern professional engagements with clients.  To attain the right to use the CFP® marks, an individual must satisfactorily fulfill the four E’s: (1) Education, by completing college or university-level coursework through a program registered with CFP Board; earning an accredited college or university bachelor’s degree or higher; and completing a financial plan development “capstone” course, (2) Examination, by passing the CFP® Certification Examination, administered in two 3-hour sessions on one day, (3) Experience, by completing a minimum of three years of full-time financial planning-related experience (or the equivalent, measured as 2,000 hours per year), and (4) Ethics, by agreeing to be bound by CFP Board's Standards of Professional Conduct, a set of documents outlining the ethical and practice standards for CFP® professionals.  Individuals who become certified must complete the following ongoing education and ethics requirements in order to maintain the right to continue to use the CFP® marks: (1) Complete thirty hours of continuing education hours every two years, including two hours related to the Code of Ethics and other parts of the Standards of Professional Conduct, to maintain competence and keep up with developments in the financial planning field; and (2) Renew an agreement to be bound by the Standards of Professional Conduct. The Standards prominently require that CFP® professionals provide financial planning services at a fiduciary standard of care. This means CFP® professionals must provide financial planning services in the best interests of their clients. 

A1The CFP Board defines a Subject Matter Expert (SME) as an individual who has relevant to the topic covered (1) an academic degree; (2) industry credentialing: or (3) a minimum of 5 years of experience in the related field.  AN SME is designated by the CFP Board and is a volunteer selected to represent the demographics of the CFP professional population.tandards, LLC. These marks are awarded to individuals who successfully complete the CFP Board's initial and ongoing certification requirements.  To learn more about CFP® certification, visit www.cfp.net.

B1>Chartered Financial Analyst (CFA): The Chartered Financial Analyst (CFA) designation is a globally respected, graduate-level investment credential awarded by the CFA Institute, the largest global association of investment professionals. The CFA Program curriculum provides a comprehensive framework of knowledge for investment decision making and is firmly grounded in the knowledge and skills used every day in the investment profession.To earn the CFA designation, candidates must (1) Pass three sequential, six-hour examinations covering areas such as accounting, economics, ethics, money management and security analysis along with ethical and professional standards, (2) Have at least four years of qualified professional investment experience, (3) Join the CFA Institute as members, and (4) Commit to abide by, and annually reaffirm, their adherence to the CFA Institute Code of Ethics and Standards of Professional Conduct.An integral part of the CFA Institute mission is to develop and administer codes, best practice guidelines, and standards to guide the investment industry. These standards help ensure all investment professionals place client interests first. CFA charterholders must abide by the CFA Institute’s Code of Ethics and Standards of Professional Conduct.

B2CFA Level II Candidate: Individuals are considered a candidate in the CFA Program if he or she meets either of these criteria:  1) his or her enrollment in the CFA Program has been accepted by CFA Institute, and he or she is registered to sit for the CFA Level II Exam; or 2) he or she has completed the CFA Level II Exam but has not yet received the results.

B3San Diego CFA Society San Diego, a Member of the CFA Institute Global Network of Societies Affiliate members  must meet the following criteria: Bachelor's degree or equivalent education/work/experience; 12 months of relevant work experience; fulfill such other requirements as the Society may impose consistent with requirements established by CFA Institute; be accepted by CFA Institute as an Affiliate Member; submit the CFAI Member's Agreement, the CFAI Professional Conduct Statement, and any additional documentation requested by CFA Institute; and provision of 3 professional references.  Regular members must meet the following criteria: Bachelor's degree or equivalent education/work/experience; Passing score on CFA Level I exam or the self-administered Standards of Practice Exam; 48 months of professional work experience in investment decision-making; submit a Member’s Agreement and a Professional Conduct Statement to CFA Institute; provision of 3 professional references.  To learn more about the CFA Society, visit https://www.cfasociety.org/sandiego/Pages/student.aspx

B4CFA Society- Affiliate Membership with the CFA Society:  Affiliate memberships with a CFA Society is granted to investment professionals who do not intend to participate in the CFA Program or who have not yet met the requirements for regular membership.

To learn more about the CFA charter, visit www.cfainstitute.org.

CTrust and Estate Practitioner (TEP):  The Trust and Estate Practitioner (TEP) designation is awarded by the Society of Trust and Estate Practitioners (STEP).  STEP was founded in 1991 and is the international professional association for practitioners dealing with trusts and estates, family inheritance and succession planning.  STEP members are subject to an extensive Code of Professional Conduct, requiring members at all times to act with integrity and in a manner that inspires the confidence, respect and trust of clients.  STEP is the leading international organization for trust and estates professionals. The organization is multi-disciplinary with membership comprising the most experienced and senior practitioners in the field, including lawyers, accountants, financial planners, insurance advisors, and trust professionals. In order to hold and maintain STEP's Trust and Estate Practitioner (TEP) designation, STEP members must maintain ongoing educational requirements. Prospective members must pass rigorous training standards. STEP members provide domestic and international advice on trust and estates, including planning, administration and related taxes. A financial advisor with the TEP designation has expertise in the planning, creation and management of trusts and estates.   Full members of STEP are recognized by the TEP designation. To learn more about the TEP designation, visit www.step.org.

DSeries Exams: The Uniform Investment Advisor Law Series Examinations are regarding topics that have been determined to be necessary to understand in order to provide investment advice to clients.  The examinations are closed book test, administered by the FINRA, and include Series 65 http://www.finra.org/industry/series65  or Series 66 http://www.finra.org/industry/series66

Other Designations & Professional Memberships: 

!Vistage: is the world’s leading peer advisory membership organization. Vistage is a by-invitation-only membership organization.  To become a member, individuals must 1) be a CEO, executive or business owner; 2) be committed to raising the standard of his or her business; and 3) have a company that is established and open to innovative thinking.  Members pay an annual fee to be a part of Vistage. To learn more about Vistage, visit www.vistage.com

^Certified Trust Representative of National Advisors Trust Company: The National Advisors Trust Company TRO (Trust Representative Office) equips participating RIA firms with basic trust knowledge and training, market positioning, and a referral marketing campaign that defines and expresses their differentiated, value-added practice to centers of influence. The TRO program includes trust focused training for at least one designated “Trust Representative,” but many participating firms choose to train more than one person on the basics of trusts, as well as how to work with National Advisors Trust.   To learn more about the National Advisors Trust TRO (Trust Representative Office), visit http://www.nationaladvisorstrust.com/TRO.php

||California Notary Public:  Individuals appointed as a notary public shall 1) be 18 years of age or older (there is no maximum age set by statute); 2) be a legal California resident; 3) complete a course of study approved by the Secretary of State; 4) satisfactorily complete and pass a written examination prescribed by the Secretary of State; and 5) clear a background check.

##Front End Web Development Certificate: University of California San Diego (UCSD) Extension’s Front End Web Development program teaches students to code websites and applications. Core courses focus on HTML5, CSS3, JavaScript and jQuery. The certificate program requires completion of 12 units of core courses.

@National Association of Professional Women: This networking community is located throughout the United States and provides a forum for professional women to promote their business, product or service, share ideas, and expand their network.  Every woman who applies receives a complimentary initial membership. Beyond that, The National Association of Professional Women offers many different membership levels, which are customized to fit members’ unique needs. Price is then determined based on the membership selected. For more information, visit http://www.napw.com

#The San Diego Women’s Foundation: The Foundation’s mission is to educate and inspire women to engage in collective philanthropy. Members are catalysts for change, investing in innovative solutions that benefit undeserved communities in the San Diego region. The San Diego Women’s Foundation has grown to an organization of more than 215 members. Each member has committed to an annual contribution of $2,000 (or $1,000 for those under 40) for a minimum of five years and has one vote to determine where grants will be awarded each year. For more information, visit http://www.sdwomensfoundation.org

<<The San Diego Women’s Foundation Finance Committee: The SDWF Finance committee is led by the SDWF Treasurer and Finance chair. The committee’s focus is to meet on a monthly basis to review the SDWF financial data and processes, including financial statements, budget, and dues structure. Committee members must be members of the San Diego Women’s foundation, and volunteer for the finance committee position.

&Jewish Community Foundation: The Professional Advisory Committee (PAC) exists to promote philanthropic giving from clients of estate planning and planned giving professionals in the Broward community to the Jewish Community Foundation of the Jewish Federation of Broward County (the Federation) and its beneficiary agencies. The distinct purposes of the Foundation is to: create partners in professional communities who have the ability to motivate potential donors to include the Federation and its beneficiary agencies and synagogues as a part of their estate plans; educate professionals on the work of the Federation, both local and international, and its partner agencies and synagogues; Provide professionals with continuing education resources for their professional and personal benefit through seminars held throughout the year. The Membership qualifications for the Jewish Community Foundation, PAC consist of the following: 1) professional advisor in good standing such as an attorney, accountant, marital & family law attorney, financial advisor, private banker, insurance professional, or trust officer; and 2) should be committed to the promotion and development of awareness of the causes and agencies that are supported by the Jewish Community Foundation of Broward County. PAC members are asked to make a minimum pledge of $500 to the Jewish Federation of Broward County’s Annual Campaign. For more information, visit http://www.jewishbroward.org/pac

>Estate Planning Council of San Diego: The Estate Planning Council of San Diego is an interdisciplinary organization for professionals involved in estate planning. Since its inception, in 1955, the Council's primary objective has been to provide a better understanding of the services performed by attorneys, life insurance agents and representatives, trust officers, accountants, financial advisors, planned giving professionals and others substantially involved in estate planning and to promote cooperation among them. In order to become a member of the council, members are required to be sponsored by three existing council members and pay a membership fee. For more information, visit http://www.epcsd.org  

<North County Estate Planning Council (NAEPC): The NAEPC’s mission is to encourage and cultivate interdisciplinary collaboration, education, and networking between the core professional disciplines (JD, CPA, CLU, CFP®, and Trust Officers) as well as others in this planning arena; and to serve the north San Diego County community by increasing public awareness of the need for competent estate planning. In order to become a member of the council, members are required to be sponsored by three existing council members and pay an annual membership fee. For more information, visit http://ncepc-sd.org/index.php

+Financial Planning Association (FPA):  The Financial Planning Association ® (FPA®) is the principal professional organization for CERTIFIED FINANCIAL PLANNER™ (CFP®) professionals.  FPA supports high standards of professional competence, ethical conduct and clear, complete disclosure when serving clients. FPA San Diego is one of the largest FPA chapters in the country with an impressive membership reflecting some of the most experienced and influential professionals in the financial services industry. The association strives to provide education and resources to benefit its members and to represent the financial planning professional in local, statewide, and national matters through its Political Action Committee. In order to become a member of the association, members are required to be CFP certified or a CFP candidate, and are required to pay dues. For more information, visit https://fpasandiego.org

=Executive Financial Planner Advanced Certificate Program at San Diego State University: The "Executive Financial Planner" Advanced Certificate program is now in its sixteenth year. It is a six-course circular program (students can enter at the start of any of five classes and then complete the capstone class). The goal of the Executive Financial Planner Advanced Certificate program is to enable experienced financial services professionals to understand the content material of financial planning with the goal of providing advice based solely on the interests of their clients. Students are required to pay tuition and application fees for this program. For more information, visit https://cbaweb.sdsu.edu/efp_cert

>>Children’s Hospital Auxiliary:  The mission of the auxiliary is to work in partnership with Rady Children's Hospital-San Diego and to support its mission through advocating for the health and well-being of children, increasing community awareness of Rady Children's, and fundraising. In order to become a member of the auxiliary, members are required to pay an annual membership fee. All money from dues and events supports the children and families of Rady Children’s Hospital. For more information, visit http://www.radyfoundation.org/

!!Rady's Children’s Hospital Foundation Estates and Trust Council:  The Rady Children’s Hospital Foundation Estates and Trusts Council seeks to develop relationships with estate and financial planning professionals and donors to further enhance the Planned Giving Program’s fundraising efforts through current and deferred gifts. The mission of the Council is to Educate, Inspire and Invite. Members apply for membership and certify that they will act in accordance with their profession’s standards of conduct and provide the appropriate waivers of conflict, disclosures and disclaimers to clients regarding their relationship with Rady. Members are expected to invite community members to join Rady Children’s Legacy Circle; educate the community on the benefits of charitable estate planning; recruit new Rady Children’s Estates and Trusts Council members; attend the Annual Legacy Plan Professionals Symposium; and attend Estates and Trust Mid-Year Council Meeting.

+++Executive Board of the RSF Foundation Women’s Fund: The Rancho Santa Fe Women’s Fund provides funding for North San Diego County and San Diego city area projects that address at least one of the following criteria: Responses to urgent and critical need; Bold new ventures; and new approaches to time-worn problems. The mission of the Rancho Santa Fe Women’s Fund is to educate, inspire, and increase the number of women committed to philanthropy in order to strengthen the community and impact lives through informed, focused collective giving. In order to join the fund, members must live in Rancho Santa Fe, and are required to contribute to a collective giving pool annually, Board membership is volunteary and voted on by members. For more information, visit: http://rsfwomensfund.org/page-1037464

++++International Bipolar Foundation: International Bipolar Foundation (IBPF), formerly known as California Bipolar Foundation, was founded in June 2007 in San Diego, California by four parents with children affected by bipolar disorder. The mission of International Bipolar Foundation is to improve understanding and treatment of bipolar disorder through research; to promote care and support resources for individuals and caregivers; and to erase stigma through education. There are no fees associated with the foundation membership. For more information, visit http://ibpf.org/

^^Scripps Health Gift Planning Advisory Board (GPAB): The Scripps Health Foundation Gift Planning Advisory Board works in support of our philanthropic and planned giving goals. Our members include attorneys, CPAs, financial advisors, real estate brokers and other professionals in fields related to gift planning, who volunteer their time and expertise to help with gift planning outreach. Members can elect to give a donation, but there is not a membership fee or donation requirement associated with joining the board.  For more information, visit: http://scrippsheritage.org/?pageID=1007

++Women Advisor’s Forum: The Women Advisor Forum is dedicated to fostering the growth and success of women in the industry, and bringing members together to network and make the business and intellectual connections that will help members succeed.  The Women Advisors Forum is the place for women in the advisory business to gather cutting-edge, valuable insights on how to take their practice to the next level and network with an elite group of senior level financial planners.  For more information, visit: http://conference.financial-planning.com/conferences/women-advisors-forum/

%San Diego Foundation’s Investment committee: With over 150 years of combined global and domestic expertise, The San Diego Foundation Board of Governors Investment Committee drives asset management and investment growth to meet fund objectives.  The Investment Committee is committed to: Protecting the corpus of the Foundation; preserving the spending power of the income from the fund; maintaining a diversified portfolio of assets in order to meet investment return objectives while keeping the level of risk commensurate with that of the median fund in a representative foundation and endowment universe; and complying with applicable law.  For more information, visit:  https://www.sdfoundation.org/news-events/annual-reports/

|||Athena Auction Committee Member-Athena Pinnacle Scholarship Gala: Athena is the premiere professional organization for women in Science, Technology, Engineering and Mathematics (STEM), connecting the top leaders in STEM for nearly two decades. As part of the Pinnacle program and to ensure the development of future leaders, Athena awards Pinnacle Scholarships to five (5) deserving high school senior girls pursuing careers in science, technology, engineering or math. The nominees and winners are celebrated in a special evening dinner and auction in the spring gala of each year.  Auction committee members are required to help obtain and organize items for auction prior to the gala.  To learn more visit: http://www.athenasd.org/about-the-pinnacle-awards

{{University of San Diego Preceptorial Assistant Program: The overall purpose of the University of San Diego Preceptorial Assistant (PA) Program is to foster a successful and positive educational and developmental experience for all first-year students. PAs are successful continuing students who serve as mentors for first-year students. They are assigned to and responsible for a particular preceptorial class.  Undergraduates who wish to serve as PAs must be nominated by the faculty and screened by a selection committee consisting of faculty and members of the Preceptorial Assistant Council (PAC). In addition, all students must attend an information session in the spring prior to submitting an application. Ordinarily, only those students with a minimum grade point average of 3.00 will be considered. Qualified students must have full time status and be in good conduct standing at USD.  To learn more, visit: https://www.sandiego.edu/usdcss/programs/pa/

ttSan Diego State University Aztec Student Union Board: The Mission of San Diego State University’s Aztec Student Union Board (ASUB) is to enrich campus life, unite the university campus, and cultivate a unique collegiate experience that instills Aztec pride through cultural, educational, and social programs of the Aztec Student Union for SDSU.   ASUB is comprised of 8 student-led committees and over 150 volunteers who are dedicated to the planning and execution of transformational programming and the overall operations of the Union.  Active students can apply for positions on ASUB, and are then interviewed by student representatives for the volunteer position. To learn more, visit; https://as.sdsu.edu/aztec-student-union/asub/

xxFidelity Wealth Advisor Solutions Advisory Board: The Fidelity Wealth Advisor Solutions Advisory Board is a select group of participating RIAs who assist Fidelity in helping to develop enhancements, and provide feedback and ideas to continue to improve the WAS program for clients, firms and representatives. Fidelity Wealth Advisor Solutions Program (WAS) is a program through which Weatherly receives referrals from Strategic Advisers, Inc. (“SAI”), a registered investment adviser and subsidiary of FMR LLC, the parent company of Fidelity Investments. Weatherly is independent and not affiliated with SAI or FMR LLC. SAI does not supervise or control WAM, and SAI has no responsibility or oversight for WAM’s provision of investment management or other advisory services.

xxxExpert Network Distinguished Wealth Manager Member:TThe Expert Network is dedicated to identifying and profiling certain select wealth managers and professionals whose experiences, contributions and perspectives deserve recognition. The Expert Network conducts a research and evaluation process to “select only the most qualified professionals who demonstrate superior influence, leadership, reputation and knowledge to receive the Expert Network Distinguished designation”. The Network’s review of professionals includes, among other factors, scrutiny of education, training, certifications, professional achievements and disciplinary history. The Network’s editorial team then publishes only a limited number of biographical profiles on their website. Each profile is carefully crafted and includes the secrets to a professional’s success, the experiences that have influenced their career as well as their industry outlook. Expert Network members often include their biographies on LinkedIn, Wikipedia as well as on their personal and professional websites. Candidates for membership are contacted by the Expert Network. There is no cost for the initial publication, however members then have the opportunity to pay an annual fee for access to the Expert Network website database and networking opportunities. To learn more, visit: http://expertnetwork.co/about

 

292017-Five Star In January 2017, Five Star Professional paired with the San Diego Magazine to publish profiles of Five Star Professionals in San Diego. Weatherly’s senior team, including Carolyn Taylor, Candise Holmlund, Brent Armstrong, Ashley Copp, and Kelli Ruby all received this inclusion. The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria. Eligibility criteria – required: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Actively employed as a credentialed professional in the financial services industry for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by Five Star Professional, the wealth manager has not: A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. Had more than a total of three customer complaints filed against them [settled or pending] with any regulatory authority or Five Star Professional’s consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional’s consumer complaint process; feedback may not be representative of any one client’s experience; C. Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority; D. Filed for personal bankruptcy; E. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients. Evaluation criteria – considered: 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. The Five Star Wealth Manager award program recognizes and promotes wealth managers.  Five Star Wealth Manager candidates were identified by one of three sources; firm nomination, peer nomination or pre-qualification based on industry standing.  Five Star Professional notified advisors of their candidacy for the award via an email solicitation. Weatherly provided data in the form of an online survey submission.  Neither Weatherly nor its employees were required to be a member of an organization to be eligible to receive the award.  No payment was required of Weatherly to be considered for the award or to be named a Five Star Wealth Manager.  Once awarded, wealth managers may opt to purchase additional profile ad space or related award promotional products.   Weatherly paid Five Star Professional for a half page advertisement placement in the San Diego Magazine and an electronic URL for marketing use.   Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. The award does not evaluate quality of services provided to clients. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The Five Star award is not indicative of the wealth manager’s future performance. Wealth managers may or may not use discretion in their practice and therefore may not manage their client’s assets. The inclusion of a wealth manager on the Five Star Wealth Manager list should not be construed as an endorsement of the wealth manager by Five Star Professional or the San Diego Magazine. Working with a Five Star Wealth Manager or any wealth manager is no guarantee as to future investment success, nor is there any guarantee that the selected wealth managers will be awarded this accomplishment by Five Star Professional in the future.  Five Star Professional is not an advisory firm, and the contents of the advertisement should not be construed as financial advice.   For more information on the Five Star award and the research/selection methodology, go to www.fivestarprofessional.com.  Five Star considered 1,354 San Diego wealth managers for the award; 349 (26 percent of candidates) were named 2017 Five Star Wealth Managers.  Five Star Professional conducts a regulatory review of each nominated wealth manager using the Investment Advisor Public Disclosure (IAPD) website.  Five Star Professional also uses multiple supporting processes to help ensure that a favorable regulatory and complaint history exists.  Data submitted through these processes was applied per the above criteria:  1) each wealth manager who passes the Five Star Professional regulatory review must attest that they meet the definition of a favorable regulatory history, based on the criteria listed above; 2) Five Star Professional promotes via local advertising the opportunity for consumers to confidentially submit complaints regarding a wealth manager; and 3) Five Star Professional contacted approximately 1 in 12 households identified as having a high propensity to use the services of wealth managers in order to provide consumers the opportunity to submit complaints regarding a wealth manager.  Receipt of this award is not representative of any one client's experience and is not indicative of Weatherly’s future performance.  Weatherly is not aware of any facts that would call into question the validity of the award or the appropriateness of advertising the award.

232016-Five Star  Carolyn Taylor, Candise Holmlund, Brent Armstrong and Ashley Copp were named as Top Wealth Managers You Need to Know by Five Star Wealth Manager. This advertisement opportunity was published in the June 13, 2016 southern California region of the Wall Street Journal circulation, and highlighted each advisor’s certifications as well as Weatherly’s comprehensive wealth management services.  The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria. Eligibility criteria – required: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Active as a credentialed professional in the financial services industry for a minimum of 5 years; 3) Favorable regulatory complaint history reviewed (as defined by Five Star Professional, the wealth manager has not: A. been subject to a regulatory action that resulted in a license being suspended or revoked, or a payment of a fine; B. Had more than a total of three customer complaints filed against them [settled or pending] with any regulatory authority or Five Star Professional’s consumer complaint process.  Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority; D. Filed for personal bankruptcy; E. Been convicted of a felony; 4. Fulfilled their firm reviewed based on internal standards; 5. Accepting new clients.  Evaluation criteria – considered: 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations.  Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers.  The Five Star Wealth Manager award program recognizes and promotes wealth managers.  Five Star Wealth Manager candidates were identified by one of three sources; firm nomination, peer nomination or pre-qualification based on industry standing.  Five Star Professional notified advisors of their candidacy for the award via an email solicitation. Weatherly provided data in the form of an online survey submission.  Neither Weatherly nor its employees were required to be a member of an organization to be eligible to receive the award.  No payment was required of Weatherly to be considered for the award or to be named a Five Star Wealth Manager.  Once awarded, wealth managers may opt to purchase additional profile ad space or related award promotional products.   Weatherly paid Five Star Professional for ad space in the Wall Street Journal, as well as paper reprints. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. The award does not evaluate quality of services provided to clients. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The Five Star award is not indicative of the wealth manager’s future performance. Wealth managers may or may not use discretion in their practice and therefore may not manage their client’s assets. The inclusion of a wealth manager on the Five Star Wealth Manager list should not be construed as an endorsement of the wealth manager by Five Star Professional or the Wall Street Journal. Working with a Five Star Wealth Manager or any wealth manager is no guarantee as to future investment success, nor is there any guarantee that the selected wealth managers will be awarded this accomplishment by Five Star Professional in the future.  Five Star Professional is not an advisory firm, and the contents of the advertisement should not be construed as financial advice.   For more information on the Five Star award and the research/selection methodology, go to www.fivestarprofessional.com.  Five Star considered 1,337 San Diego wealth managers for the award; 349 (27 percent of candidates) were named 2016 Five Star Wealth Managers.  Five Star Professional conducts a regulatory review of each nominated wealth manager using the Investment Advisor Public Disclosure (IAPD) website.  Five Star Professional also uses multiple supporting processes to help ensure that a favorable regulatory and complaint history exists.  Data submitted through these processes was applied per the above criteria:  1) each wealth manager who passes the Five Star Professional regulatory review must attest that they meet the definition of a favorable regulatory history, based on the criteria listed above; 2) Five Star Professional promotes via local advertising the opportunity for consumers to confidentially submit complaints regarding a wealth manager; and 3) Five Star Professional contacted approximately 1 in 12 households identified as having a high propensity to use the services of wealth managers in order to provide consumers the opportunity to submit complaints regarding a wealth manager.  Receipt of this award is not representative of any one client's experience and is not indicative of Weatherly’s future performance.  Weatherly is not aware of any facts that would call into question the validity of the award or the appropriateness of advertising the award.

272016-SD500 List of 500 Most Influential Business Leaders Weatherly’s Candise Holmlund was included in the debut edition of the San Diego 500, an annual book listing 500 influential business leaders published by the San Diego Business Journal.  Candise’s profile features her established career in the wealth management industry, her educational background, and well-rounded involvement within the San Diego Community.  The 2016 San Diego 500 is comprised of 11 main categories: 1) Business Services, 2) Civic, 3) Education, 4) Finance, 5) Health & Science, 6) Leading Industries, 7) Lifestyle, 8) Real Estate, 9) Technology, 10) Wealth & Investments, and 11) Icons.  The San Diego Business Journal’s process for inclusion in the list involved asking for feedback from numerous industry experts.  Evaluation criteria included merit, business savvy, and civic engagement.   Candise was one of 12 professionals included in the Wealth & Investments investment banking subcategory.  The San Diego 500 included 30 professionals total in the Wealth & Investments category (12 investment banking/private equity; 6 venture capital; and 12 wealth management). Weatherly did not apply for consideration or inclusion in the list.   Once selected for the list, Candise provided biography-related information for inclusion in the publication.  There was no fee to participate in the list, and Weatherly was not required to advertise in, or subscribe to, the San Diego Business Journal.  When or if reprints of the list become available, Weatherly will pay the Journal for electronic reprints. No organizational memberships were required of the Firm or individuals.  Inclusion in this list is not representative of any one client's experience and is not indicative of Weatherly’s future performance.  Weatherly is not aware of any facts that would call into question the validity of the ranking or the appropriateness of advertising inclusion in this list.

282016-Top Wealth Management Firms San Diego Business Journal (Journal), popularly known for their annual Book of Lists, included Weatherly Asset Management in the 2016 listing of Wealth Management Firms, published on January 9, 2017*. Placed among the best in San Diego County, WAM lands the 19th spot of 40 firms in total.   Criteria to participate included being a registered investment adviser with either the Securities Exchange Commission or the California Department of Corporations.   Firms were ranked by assets managed in San Diego County for fiscal year 2015. After being invited by the Journal to participate in the list, Weatherly completed a brief online survey, including the submission of the Firm’s ADV.  The ranking information was verified by the Journal through ADV forms filed for fiscal 2014 and fiscal 2015 and www.adviserinfo.sec.gov. It is not the intent of the list to endorse the participants nor to imply a firm's size or numerical rank indicates its quality. There was no fee to participate in the list ranking, and Weatherly was not required to advertise in, or subscribe to, the San Diego Business Journal. After being included in the list, Weatherly paid the San Diego Business Journal for paper and electronic use reprints.  *Prior to this issue, the Journal published the list of top wealth management firms for FY 2015 in the July 4, 2016 issue and again in the December, 2016 book of lists issue.  Weatherly was ranked 17th out of 37, and 18th out of 39 respectively. No organizational memberships were required of the Firm or individuals.  Ranking on this list is not representative of any one client's experience and is not indicative of Weatherly’s future performance.  Weatherly is not aware of any facts that would call into question the validity of the ranking or the appropriateness of advertising inclusion in this list.

242016-Woman of the Year Carolyn Taylor and Candise Holmlund were listed as finalists for the San Diego Magazine’s 2016 Woman of the Year award in the publication’s September, 2016 issue.   In order to be considered for the nomination, individuals were evaluated based on the following criteria:  1) demonstration of leadership in a San Diego-based company or educational institution; 2) community and chartable involvement; 3) positive influence on women in business, non-profits, or educational programs in the San Diego region; 4) level of responsibility within the organization; and 5) major achievements in 2016.   Honorees were determined by a panel of past Woman of the Year winners and announced at the Celebrating Women Event on September 28, 2016 at MCASD La Jolla.  Weatherly supplied the information for the nomination in the form of a survey, but no award was granted to neither Carolyn nor Candise. SD Magazine listed 120 women as finalists.  No payment was required for to be nominated or considered for the award, or listed as a nominee or finalist on the San Diego Magazine’s flyer.   No organizational memberships were required of the Firm or individuals.  The advertisement of nomination for the award is not representative of any one client's experience and is not indicative of Weatherly’s future performance.  Weatherly is not aware of any facts that would call into question the validity of the award, nominations for the award, or the appropriateness of related advertising.

252015-Women Who Mean Business  Carolyn Taylor and Candise Holmlund were both finalists in the 2015 San Diego Business Journal’s 22nd annual Women Who Mean Business Awards event.    Each year, the San Diego Business Journal (“Journal”) recognizes dynamic women business leaders who have contributed significantly to San Diego’s business.  The list of finalists and winners was published in the November 2015 issue of the San Diego Business Journal.  Of the 201 finalists, 30 winners were announced.  Professionals in the Journal’s database are solicited by email for award nominations.   Carolyn and Candise were nominated by a third party professional contact.   The nomination process included submitting an online survey.  Survey criteria reviewed for the award included: 1) 2014 professional achievements; 2) business accomplishments and contributions to her industry; 2) accomplishments and contributions within the community; 3) obstacles and life changes overcome; 4) efforts to empower and inspire others; and 5) overall professional resume.  Weatherly was not required to make payments or purchases in order to nominate, be nominated, be considered or included on the list related to the award.  Weatherly paid the Journal for Carolyn and Candise to attend the awards ceremony program. No organizational memberships were required of the Firm or individuals.  Inclusion on the list is not representative of any one client's experience and is not indicative of Weatherly’s future performance.  Weatherly is not aware of any facts that would call into question the validity of the ranking or the appropriateness of advertising inclusion in this list.

262016-Women Who Mean Business Carolyn Taylor and Candise Holmlund were both finalists in the 2016 San Diego Business Journal’s 23rd annual Women Who Mean Business Awards event.    Each year the San Diego Business Journal (“Journal”) recognizes dynamic women business leaders who have contributed significantly to San Diego’s business.  The list of finalists and winners was published in the November 21, 2016 issue of the San Diego Business Journal.  Of the 222 finalists, 28 winners were announced.  Professionals in the Journal’s database are solicited by email for award nominations.   Candise and Carolyn nominated each other for the award.  The nomination process included submitting an online survey.  Survey  criteria reviewed for the award included: 1) professional achievements in 2015-2016; 2) specific accomplishments and contributions to her business and profession; 3) accomplishments and contributions within the community; 4) proven ability to overcome life changes and obstacles; 5) effectively empowered and inspired others; and 6) overall professional resume.  Weatherly was not required to make payments or purchases in order to nominate, be nominated, be considered or included on the list related to the award.  Weatherly paid the Journal for Carolyn and Candise to attend the awards ceremony program.  No organizational memberships were required of the Firm or individuals.  Inclusion on the list is not representative of any one client's experience and is not indicative of Weatherly’s future performance.  Weatherly is not aware of any facts that would call into question the validity of the ranking or the appropriateness of advertising inclusion in this list.

212015-Barrons Top 100 Women Advisors
Carolyn Taylor was included in Barron’s June 2015 Top 100 Women Financial Advisors list.  The criteria for ranking reflects assets under management, revenue that the advisors generate for their Firms, and the quality of the advisor’s practices. Investment performance is not an explicit criterion because the advisors’ clients pursue a wide range of goals. In many instances, the primary goal is asset preservation.  The scoring system assigns a top score of 100 and rates the rest by comparing them with the top-ranked advisor. Carolyn Taylor was nominated for inclusion in the list.  There are over 100 nominations, but only 100 published ranking spots. Barron’s uses a proprietary method to rank advisors based on the criteria above.  Weatherly provides this data to Barron’s in the form of a survey response.  Initial ranking is done by Barron’s; publicly available data is verified by Barron’s against SEC and FINRA reports.   Barron’s then conducts the next level of ranking.  Data that is not independently verified by Barron’s is then sent back to the Firm for verification. Barron’s then incorporates any required changes into the ranking, and finalizes the list for editorial use and publishing.  No payment was required for nomination or inclusion in the ranking.   After receiving notice of inclusion in the top 100 ranking list, Weatherly paid Dow Jones & Company for glossy reprints of the piece; Weatherly paid Dow Jones through RightsLink for permission to link to a Dow Jones WebReprint from our corporate website.   No organizational memberships were required of the Firm or individuals.  Ranking on this list is not representative of any one client's experience and is not indicative of Weatherly’s future performance.  Weatherly is not aware of any facts that would call into question the validity of the ranking or the appropriateness of advertising inclusion in this list.
 
102015-Five Star Wealth Manager
Carolyn Taylor, Candise Holmlund, and Brent Armstrong were named Five Star Wealth Managers in 2015.  The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective eligibility and evaluation criteria:  1) Credentialed as an investment advisory representative (IAR) or a registered investment advisor;  2) Actively employed as a credentialed professional in the financial services industry for a minimum of five years;  3) Favorable regulatory and complaint history review;  4) Fulfilled their Firm review based on internal Firm standards;  5) Accepting new clients;  6) One-year client retention rate;  7) Five-year client retention rate;  8) Non-institutionalized discretionary and/or non-discretionary client assets administered;  9) Number of client households served;  10) Educational and professional designations. Five Star Professional notifies advisors of their candidacy for the award.  Wealth managers who choose to submit an online form are then evaluated against the above mentioned 10 objective eligibility and evaluation criteria.  Five Star considered 1,639 San Diego wealth managers for the award; 350 (22 percent of candidates) were named Five Star Wealth Managers.  The advertisement in the Wall Street Journal displayed “Eight Five Star Managers You Need to Know”, one of which was Weatherly Asset Management, L.P.  The Five Star Professional research team applies a vigorous research and evaluation process to identify service professionals who provide quality services to their clients.  No payment was required of Weatherly to be considered for the award or to be named a Five Star Wealth Manager.  Once awarded, wealth managers may opt to purchase additional profile ad space or related award promotional products.  Weatherly paid Five Star Professional for the advertisement placement in the Wall Street Journal, printed reprints of the advertisement, and E-reprints. Receipt of this award is not representative of any one client's experience and is not indicative of Weatherly’s future performance.  Weatherly is not aware of any facts that would call into question the validity of the award or the appropriateness of advertising the award.

202015-SD Magazine Woman of the Year Nomination
Carolyn Taylor and Candise Holmlund were nominees for the San Diego Magazine’s 2015 Woman of the Year award.  Both Candise and Carolyn were nominated.  Carolyn was listed as a finalist, but was not a winner.   In order to be considered for the nomination, individuals were evaluated based on the following criteria: 1) contributions to her company/organization above and beyond the normal position requirement; 2) management of 3 or more part or full-time employees; 3) been in business for 5+ years; and 4) commitment to community service. Weatherly supplied the information for the nomination in the form of a survey. No payment was required for to be nominated or considered for the award.  No organizational memberships were required of the Firm or individuals.  The advertisement of nomination for the award is not representative of any one client's experience and is not indicative of Weatherly’s future performance.  Weatherly is not aware of any facts that would call into question the validity of the award, nominations for the award, or the appropriateness of related advertising.
 
92014-Five Star Wealth Manager
Weatherly Asset Management, L.P. is proud to announce that Carolyn Taylor and Candise Holmlund were listed as Five Star Wealth Manager award recipients.  The Five Star Wealth Manager award is based on 10 objective eligibility and evaluation criteria:  1) Credentialed as an investment advisory representative (IAR) or a registered investment advisor;  2) Actively employed as a credentialed professional in the financial services industry for a minimum of five years;  3) Favorable regulatory and complaint history review;  4) Fulfilled their Firm review based on internal Firm standards;  5) Accepting new clients;  6) One-year client retention rate;  7) Five-year client retention rate;  8) Non-institutionalized discretionary and/or non-discretionary client assets administered;  9) Number of client households served;  10) Educational and professional designations.  Five Star Professional notified advisors of their candidacy for the award.  Wealth managers who choose to submit an online form were then evaluated against the above mentioned 10 objective eligibility and evaluation criteria.  The Five Star Professional research team applied a vigorous research and evaluation process to identify service professionals who provided quality services to their clients.  No payment was required of Weatherly to be considered for the award or to be named a Five Star Wealth Manager.  Once awarded, wealth managers may opt to purchase additional profile ad space or related award promotional products.  Weatherly paid Five Star Professional for the ½ page advertisement placement in the San Diego Magazine.  No organizational memberships were required of the Firm or individuals.  This award is not representative of any one client's experience and is not indicative of Weatherly’s future performance.  Weatherly is not aware of any facts that would call into question the validity of the ranking or the appropriateness of advertising the award.
 
192014-SD Magazine Woman of the Year Nomination
Carolyn Taylor and Candise Holmlund were nominees for the San Diego Magazine’s 2014 Woman of the Year award.  Both Candise and Carolyn were nominated.  Carolyn was listed as a finalist, but was not a winner.  There were 70 finalists for the award; one winner was announced and five finalists received extra recognition.  In order to be considered for the nomination, individuals were evaluated based on the following criteria: 1) contributions to her company/organization above and beyond the normal position requirement; 2) management of 3 or more part or full-time employees; 3) been in business for 5+ years; and 4) commitment to community service.  Weatherly supplied the information for the nomination in the form of a survey. Weatherly paid San Diego Magazine for a half-page advertisement in the San Diego magazine displaying the nomination of Candise and Carolyn for the award.   No payment was required for to be nominated or considered for the award.  No organizational memberships were required of the Firm or individuals.  The advertisement of nomination for the award is not representative of any one client's experience and is not indicative of Weatherly’s future performance.  Weatherly is not aware of any facts that would call into question the validity of the award, nominations for the award, or the appropriateness of related advertising.
 
82013-Five Star Wealth Manager
Carolyn Taylor and Candise Holmlund were named 2013 Five Star Wealth Managers in the January, 2013 issue of San Diego Magazine for the southern California market. Advisors were nominated for consideration of the award and peer nominations were considered.  After nominations were received, qualifying candidates had to meet 10 objective criteria associated with wealth managers who provide quality services to their clients.  Requirements included: 1) Credentialed as an investment advisory representative (IAR), a FINRA-registered representative, a CPA or a licensed attorney;  2) Actively employed as a credentialed professional in the financial services industry for a minimum of five years; 3) Favorable regulatory review and complaint history review; 4) Fulfilled their firm review based on internal firm standards; and 5) Accepting new clients. Other criteria that was considered included 6) One-year client retention rate; 7) Five-year client retention rate; 8) Non-institutional discretionary and/or non-discretionary client assets administered; 9) Number of client households served; and 10) Education and professional designations.  No more than 7 percent of the professionals in each market were awarded.  No payment was required for nomination or inclusion in the list of Five Star Managers.   After receiving notice of the award, Weatherly paid Five Star for a half-page ad in the San Diego Magazine. Weatherly also paid Five Star for reprints of the promotion.  No organizational memberships were required of the Firm or individuals.  This award is not representative of any one client's experience and is not indicative of Weatherly’s future performance.  Weatherly is not aware of any facts that would call into question the validity of the ranking or the appropriateness of advertising the award.
 
72012-Five Star Wealth Manager
Carolyn Taylor and Candise Holmlund were named 2012 Five Star Wealth Managers.  Advisors were nominated for consideration of the award; peer nominations were considered.  After nominations were received, qualifying candidates had to meet 10 objective criteria associated with wealth managers who provide quality services to their clients.  Requirements included: 1) Credentialed as an investment advisory representative (IAR), a FINRA-registered representative, a CPA or a licensed attorney;  2) Actively employed as a credentialed professional in the financial services industry for a minimum of five years; 3) Favorable regulatory review and complaint history review; 4) Fulfilled their firm review based on internal firm standards; and 5) Accepting new clients. Other criteria that was considered included 6) One-year client retention rate; 7) Five-year client retention rate; 8) Non-institutional discretionary and/or non-discretionary client assets administered; 9) Number of client households served; and 10) Education and professional designations.  No more than 7 percent of the professionals in each market were awarded.  No payment was required for nomination or inclusion in the list of Five Star Managers.   No organizational memberships were required of the Firm or individuals.  This award is not representative of any one client's experience and is not indicative of Weatherly’s future performance.  Weatherly is not aware of any facts that would call into question the validity of the ranking or the appropriateness of advertising the award.
 
222011-Five Star Wealth Manager
Candise Holmlund was named a 2011 Five Star Wealth Manager.  San Diego Magazine formed a partnership with Crescendo Business Services to find which wealth mangers scored highest in overall satisfaction. For the 2011 February issue, Crescendo administered a survey, by mail and phone, to approximately 1 in 4 high-net-worth households (over 68,000 households) and all identified FINRA registered representatives (over 8,500 financial services professionals) within the San Diego area.  Recipients were asked to evaluate only wealth managers whom they know through personal experience and to evaluate them based upon nine criteria: customer service, integrity, knowledge/expertise, communication, value for fee charged, meeting of financial objectives, post-sale service, quality of recommendations and overall satisfaction.  Both positive and negative evaluations were included in the scoring, and only wealth managers with more than five years of experience in the financial services industry were considered. Each wealth manager was reviewed for regulatory actions, civil judicial actions and customer complaints as reported by FINRA, the SEC, the State Board of Accountancy and the State Bar.  Wealth managers were also reviewed by a blue ribbon panel comprised of individuals from within the financial services industry.  Although panelist comments were incorporated into the final score, safeguards were built into the review process to reduce the ability of panel members to influence the composition of the final list on the basis of company affiliation. The overall evaluation scores of a wealth manager reflected an average of all respondents and were not representative of any one client response. The research process for the FIVE STAR Wealth Manager Program, managed by QMI Research, incorporated a statistically valid sample in order to identify the wealth managers in the local market that score highest in overall satisfaction. At least 50 percent of the wealth managers in the market had a statistically valid score. The resulting list of 2011 FIVE STAR Wealth Managers was an elite group, representing less than 4 percent of the wealth managers in the San Diego area.  No payment was required for nomination or inclusion in the list of Five Star Managers.   No organizational memberships were required of the Firm or individuals.  This award is not representative of any one client's experience and is not indicative of Weatherly’s future performance.  Weatherly is not aware of any facts that would call into question the validity of the ranking or the appropriateness of advertising the award.
 
182010-Wealth Manager
Weatherly Asset Management was included in the 2010 Annual Top Wealth Managers list published by WealthManager. WAM was ranked 186 on a National level, and 37 on a State level.  The ranking in the July, 2010 issue was based on average assets under management, per client.   To be eligible for consideration in the ranking, firms must 1) be an SEC- or State-registered investment advisor with its own IARD number; 2) have minimum assets under advisement of $50 million; 3) have individuals or high-net-worth- individuals (as defined by the SEC) as more than half of its client base; and 4) offer financial planning services.  WealthManager Magazine contacts firms based on publicly available data.  WealthManager requests Firms then respond to an online survey.  Responding to the survey does not guarantee a place on the list, which is limited to 500 firms.  Weatherly provided data to WealthManager in response to the survey request.  Weatherly made no payments to WealthManager to be considered for or to be included in the ranking.  Weatherly paid a third-party for reprints and associated use privileges. No organizational memberships were required of the Firm or individuals.  Ranking on this list is not representative of any one client's experience and is not indicative of Weatherly’s future performance.  Weatherly is not aware of any facts that would call into question the validity of the ranking or the appropriateness of advertising inclusion in this list.
 
172009-Wealth Manager
Weatherly Asset Management was included in the 2009 Annual Top Wealth Managers list published by WealthManager. WAM was placed 230 on a National level, and 40 on a State level.  The ranking in the July/August, 2009 issue was based on average assets under management, per client.  To be eligible for consideration in the ranking, firms must 1) be an SEC- or State-registered investment advisor with its own IARD number; 2) have minimum assets under advisement of $50 million; 3) have individuals or high-net-worth- individuals (as defined by the SEC) as more than half of its client base; and 4) offer financial planning services.  WealthManager Magazine contacts firms based on publicly available data.  WealthManager requests Firms then respond to an online survey.  Responding to the survey does not guarantee a place on the list.  Weatherly provided data to WealthManager in response to the survey request.  Weatherly made no payments to WealthManager to be considered for or to be included in the ranking.  Weatherly paid a third-party for reprints and associated use privileges.  No organizational memberships were required of the Firm or individuals.  Ranking on this list is not representative of any one client's experience and is not indicative of Weatherly’s future performance.  Weatherly is not aware of any facts that would call into question the validity of the ranking or the appropriateness of advertising inclusion in this list.
 
162008-Wealth Manager
Weatherly Asset Management, L.P. was included in Bloomberg Wealth Manager’s Eighth Annual ranking of Top Wealth Managers. The ranking of leading financial advisory firms list consisted of 478 spots and was based on asset value of the average client relationship as of December 31, 2007.   Weatherly was ranked number 289 out of 478 firms in the July/August, 2008 issue.  The process for the Wealth Manager 2008 rankings was very much the same as it had been in previous surveys.  The data was self-reported based on a firm’s Form ADV.  All numbers in the survey were as of December. 31, 2007.  Participants were ranked according to average AUM per client.  Firms had to be registered investment advisors with their own IARD/CR numbers.  Additionally, 50 percent of each firm’s client base had to fit the SEC’s definition for individuals or high-net worth individuals.  Trust companies, banks and broker-dealers were not eligible.  The average AUM per client was calculated as the firm’s total AUM divided by the number of client relationships.  The Total AUM was defined by Wealth Manager as the firm’s assets under management- both discretionary and non-discretionary as defined by Form ADV, plus other assets not reported on Form ADV for which an advisory or management fee is charged.  Commission assets, including brokerage account assets and any assets on which the firm received an immediate or ongoing service commission or trail, were not included in the Total AUM calculation.  Client relationships were the total number of clients—not accounts, as many clients have multiple accounts under advisement.  Married couples were counted as one client, while their children, if adults, were counted separately.  The number of professionals and support personnel varied somewhat from firm to firm. Some limited this to financial professionals only, and others included non-financial staff members with other expertise.  No payment was required for nomination or inclusion in the ranking.  Weatherly paid a third party for reprints, as well as webLink permissions.  No organizational memberships were required of the Firm or individuals.  Ranking on this list is not representative of any one client's experience and is not indicative of Weatherly’s future performance.  Weatherly is not aware of any facts that would call into question the validity of the ranking or the appropriateness of advertising inclusion in this list.
 
62008-Worth
Worth’s annual Top Wealth Advisor November, 2008 issue included Weatherly Asset Management and President, Carolyn Taylor in the 2008 Top 250 list of advisors. By identifying advisors based on their dedication and expertise in the industry, Worth compiles their annual lists to reflect geographical diversity and professional excellence. The list generation process began with an invitation to Worth’s readers to nominate those advisors who represent the absolute best of their profession.  Worth also solicited nominations from banks, wealth management and investment firms, and industry associations.  Nominated advisors and others who wished to participate then completed a detailed online questionnaire in which they provide their education and professional credentials and discuss their approaches to customer service, portfolio management and risk.  Data also included firm assets, largest client’s net worth, median client net worth, minimum assets for new client.  Worth’s selections are based on the quality of the responses and the applicants’ insights into the current investment climate.  Following the completion of a preliminary list, the final step involved confirming, to the extent possible, that the information the advisors provided was accurate and truthful.   The criteria for ranking was based on firm assets, largest client’s net worth, median client net worth, and minimum assets for new clients.  The list was ranked by state, and then alphabetically by Advisor’s last names.  Weatherly was contacted by Worth for consideration in the list.  No payment was required to be considered for or included in the published list.  Weatherly provided data to Worth in response to the survey request.  Weatherly paid a third party for associated reprints and e-print privileges.  No organizational memberships were required of the Firm or individuals. Inclusion on this list is not representative of any one client's experience and is not indicative of Weatherly’s future performance.  Weatherly is not aware of any facts that would call into question the validity of the list or the appropriateness of advertising inclusion in this list.
 
152007-Wealth Manager
Weatherly Asset Management, L.P. was included in Bloomberg Wealth Manager’s Seventh Annual ranking of Top Wealth Managers. The ranking of leading financial advisory firms list consisted of 464 spots and was based on asset value of the average client relationship as of December 31, 2006.   Weatherly was ranked number 261 out of 464 firms in the July/August, 2007 issue.  WealthManager's methodology for collecting and organizing the data for the 2007 ranking was virtually unchanged from previous years.   Firms were ranked by average AUM per client.  Firms had to be registered investment advisors with their own IARD/CRD numbers.  Half of their clients must have been individuals or high-net-worth individuals as defined by the SEC.  The firms were also required to offer financial planning services.  Banks, broker/dealers and trust companies were not eligible.  Definitions are as follows - Total AUM:  This figure included discretionary and non-discretionary assets under management as defined by Form ADV, plus various other assets not reported on Form ADV for which firms received a management or advisement fee.  Excluded from this column were commission products, broker account assets and any assets for which firms received a trail or ongoing service commission.   Client Relationships:  This is the total number of clients—not accounts, as many clients have multiple accounts under advisement.  Married couples were listed as one client, and children in multigenerational client families were counted as separate clients if they were adults.  Average AUM per Client: This is the total AUM divided by the number of client relationships.  Minimum Annual Fee per Client/Minimum AUM per Client: Many firms required no minimums for one or both of these categories.  Many others listed numbers but indicated that minimums in either category were negotiable.   Number of Professionals/Number of Support Personnel: Definitions varied somewhat from firm to firm.  Some firms considered only personnel with relevant licenses or designations as professionals.  Other firms also included staff members with managerial responsibility outside the financial area, such as a marketing director.  Some firms used part-time staff, but for simplicity all personnel entries have been rounded to the nearest whole number. No payment was required for nomination or inclusion in the ranking.    Weatherly paid a third party for reprints.  No organizational memberships were required of the Firm or individuals.  Ranking on this list is not representative of any one client's experience and is not indicative of Weatherly’s future performance.  Weatherly is not aware of any facts that would call into question the validity of the ranking or the appropriateness of advertising inclusion in this list.
 
52007-Worth
Worth’s annual Top Wealth Advisor issue included Weatherly Asset Management and President, Carolyn Taylor in the 2007 Top 100 list of advisors.   Stemming from this October, 2007 issue list, Weatherly Asset Management chose to have a featured profile capturing an overview of comprehensive services, Firm background information, and industry achievements.  The list generation process began with an invitation to Worth’s readers to nominate those advisors who represent the absolute best of their profession.  Worth also solicited nominations from banks, wealth management and investment firms, and industry associations.  Nominated advisors and others who wished to participate then completed a detailed online questionnaire in which they provide their education and professional credentials, work history, compensation structure, client retention rate, and other background information.  Worth’s selections were based on the quality of the responses and the applicants’ insights into the current investment climate.  Following the completion of a preliminary list, the final step involved confirming, to the extent possible, that the information the advisors provided was accurate and truthful. The criteria for ranking was based on firm assets, largest client’s net worth, median client net worth, and minimum assets for new clients.  The list is ranked by state, and then alphabetically by Advisor’s last names.  Weatherly was contacted by Worth for consideration in the list.  Weatherly provided data to Worth in response to the survey request.   No payment was required to be considered for or included in the published list.  Weatherly paid a fee for the inclusion of an additional firm profile in the publication and Weatherly paid a third party for associated reprints and e-print privileges.  No organizational memberships were required of the Firm or individuals.  Ranking on this list is not representative of any one client's experience and is not indicative of Weatherly’s future performance.  Weatherly is not aware of any facts that would call into question the validity of the ranking or the appropriateness of advertising inclusion in this list.
 
142006-Wealth Manager
Weatherly Asset Management, L.P. was included in Bloomberg Wealth Manager’s Sixth Annual ranking of Top Wealth Managers. The ranking of leading financial advisory firms list consisted of 500 spots and was based on asset value of the average client relationship as of December 31, 2005.   Weatherly was ranked number 289 out of more than 400 firms in the July/August 2006 issue.  Wealth Manager's “methodology for collecting and organizing the material for the 2006 ranking was virtually unchanged from the 2005* methodology”.  Participating firms had to be registered investment advisors with their own IARD/CRD numbers. Half of their clients had to be individuals or high-net-worth individuals as defined by the SEC. The firms had to offer financial planning services. Banks, broker-dealers and trust companies were not eligible.  Firms included discretionary and nondiscretionary assets under management, plus various other assets not reported on Form ADV for which they received a management or advisement fee. Excluded from the AUM calculation were commission products, broker account assets, and any assets for which firms received a trail or ongoing service commission. The ranking was determined by dividing this final AUM figure by the number of client relationships reported.  *Methodology from 2005: The asset value of the average client relationship was calculated by dividing the total client assets under management (including assets under management reported on Form ADV plus additional client assets not reported on Form ADV for which the firm received a management or advisement fee) by the total number of client relationships.  In a few instances, the value of client relationships for firms listed consecutively was the same because of rounding.  Their rank order in the tables reflected their relative value when the division was carried out to additional decimal places.  In some cases, marked with daggers, the underlying values were exactly the same, and these firms were ranked alphabetically.  Assets under management and average assets per employee were handled in a similar manner.  The data used for this ranking was taken from a questionnaire sent to firms and from data that those firms provided to the Securities and Exchange Commission on Form ADV.  Firms were identified through BLOOMBERG WEALTH MANAGER’s database and from other industry sources.  To qualify for the ranking, firms had to meet the following criteria: They were registered investment advisors with the SEC; they had a minimum assets under advisement of $50 million; more than 50 percent of the firm’s client base consisted of “individuals” or “high-net-worth individuals” as defined by the SEC; the firms also offered financial–planning services.  Not included in the ranking were banks, broker-dealers, and trust companies.  Also excluded were firms that were branches of independent broker-dealers and those not operating as separate businesses with their own identities.  Subsidiaries of larger companies were included, provided they met all the above-listed requirements and filed their own Form ADVs with the SEC.  The 35 subsidiaries on the list were identified with an asterisk.   The 500 firms on the ranking were categorized by size of assets under management, as follows: $1 billion or more, 40; $750 million to less than $1 billion, 23; $500 million to less than $750 million, 43; $250 million to less than $500 million, 101; $100 million to less than $250 million, 180; $100 million or less, 113. No payment was required for nomination or inclusion in the ranking.    Weatherly paid a third party for reprints, as well as webLink permissions. No organizational memberships were required of the Firm or individuals.  Ranking on this list is not representative of any one client's experience and is not indicative of Weatherly’s future performance.  Weatherly is not aware of any facts that would call into question the validity of the ranking or the appropriateness of advertising inclusion in this list.
 
42006-Worth
Worth’s annual Top Wealth Advisor October, 2006 issue included Weatherly Asset Management and President, Carolyn Taylor in the 2006 Top 100 list of advisors. Weatherly Asset Management chose to have a featured profile, highlighting the Firm’s comprehensive family office services and unique wealth management approach. The list generation process began with an invitation to Worth’s readers to nominate advisors who represent the absolute best of their profession.  Worth also solicited nominations from banks, wealth management and investment firms, and industry associations.  Nominated advisors and others who wished to participate then completed a detailed online questionnaire in which they provided their education and professional credentials and discuss their approaches to customer service, portfolio management and risk.  Worth’s selections were based on the quality of the responses and the applicants’ insights into the current investment climate.  Following the completion of a preliminary list, the final step involved confirming, to the extent possible, that the information the advisors provided was accurate and truthful.  The criteria for ranking was based on firm assets, largest client’s net worth, median client net worth, and minimum assets for new clients.  The list was ranked by state, and then alphabetically by Advisor’s last names.  Weatherly was contacted by Worth for consideration in the list.  Weatherly provided data to Worth in response to a survey request.   No payment was required to be considered for or included in the published list.  Weatherly paid a fee for the inclusion of an additional firm profile in the publication and paid a third party for associated reprints and e-print privileges. No organizational memberships were required of the Firm or individuals.  Ranking on this list is not representative of any one client's experience and is not indicative of Weatherly’s future performance.  Weatherly is not aware of any facts that would call into question the validity of the ranking or the appropriateness of advertising inclusion in this list.
 
132005-Wealth Manager
Weatherly Asset Management, L.P. was included in Bloomberg Wealth Manager’s Top Wealth Managers Annual Ranking in the July/August, 2005 issue.  The ranking of leading financial advisory firms consisted of 500 spots and was based on asset value of the average client relationship as of December 31, 2004.   Weatherly was ranked number 372.  The asset value of the average client relationship was calculated by dividing the total client assets under management (including assets under management reported on Form ADV plus additional client assets not reported on Form ADV for which the firm received a management or advisement fee) by the total number of client relationships.  In a few instances, the value of client relationships for firms listed consecutively was the same because of rounding.  Their rank order in the tables reflected their relative value when the division was carried out to additional decimal places.  In some cases, the underlying values were exactly the same, and these firms were ranked alphabetically.  Assets under management and average assets per employee were handled in a similar manner.  The data used for this ranking was taken from a questionnaire sent to firms and from data that those firms provided to the Securities and Exchange Commission on Form ADV.  Firms were identified through BLOOMBERG WEALTH MANAGER’s database and from other industry sources.  To qualify for the ranking, firms had to meet the following criteria: They were registered investment advisors with the SEC; they had a minimum assets under advisement of $50 million; more than 50 percent of the firm’s client base must consist of “individuals” or “high-net-worth individuals” as defined by the SEC; the firms must also offer financial–planning services.  Not included in the ranking are banks, broker-dealers, and trust companies.  Also excluded are firms that are branches of independent broker-dealers and those not operating as separate businesses with their own identities.  Subsidiaries of larger companies were included, provided they met all the above-listed requirements and filed their own Form ADVs with the SEC.  The 35 subsidiaries on the list were identified with an asterisk.   The 500 firms on the ranking were categorized by size of assets under management, as follows: $1 billion or more, 40; $750 million to less than $1 billion, 23; $500 million to less than $750 million, 43; $250 million to less than $500 million, 101; $100 million to less than $250 million, 180; $100 million or less, 113.  No payment was required for nomination or inclusion in the ranking.    Weatherly paid a third party for reprints.  No organizational memberships were required of the Firm or individuals.  Ranking on this list is not representative of any one client's experience and is not indicative of Weatherly’s future performance.  Weatherly is not aware of any facts that would call into question the validity of the ranking or the appropriateness of advertising inclusion in this list.
 
32004-Worth
Weatherly Asset Management, L.P. was included in Worth’s “The Nation’s 100 Most Exclusive Wealth Advisors” list in the October, 2004 issue.  The 100 firms are listed alphabetically by state, and then alphabetically by business name.  In selecting the 100 Most Exclusive Wealth Advisors for 2004, Worth editors asked readers to nominate those advisors who possess this superior ability- along with a host of other desired qualities.  Editors extended this request to private banks, wealth management and investment firms and other industry associations as well.  Nominated advisors completed an extensive survey in which they listed their educational credentials, compensation structure, client retention rate, outlook on the investment climate and model portfolio returns.  They also answered questions about their professional histories and whether they have been involved in any legal or disciplinary matters.  Worth’s editorial staff selected about the daunting task of selecting the 100 Most Exclusive Wealth Advisors from a pool of several hundred candidates.  At the top of the list of criteria that define superior wealth advisors are professional designations, which often evidence a higher level of knowledge and professional commitment. All credentials and designations were verified, and nominee backgrounds were checked using the LexisNexis legal database to search court and arbitration records with the National Association of Securities Dealers. Additional criteria evaluated included years of professional experience, client portfolio performance for 2003, insight into the current investment climate, and client feedback. Weatherly provided the names and contact information for three of its current clients, as requested by Worth. No payment was required for nomination or inclusion in the list.   After receiving notice of inclusion in the list, Weatherly paid Worth for reprints.  No organizational memberships were required of the Firm or individuals.  Inclusion in this list is not representative of any one client's experience and is not indicative of Weatherly’s future performance.  Weatherly is not aware of any facts that would call into question the validity of the ranking or the appropriateness of advertising inclusion in this list.
 
122004-Wealth Manager
Weatherly was ranked number 317 of 450 investment advisors on Bloomberg’s Wealth Manager Magazine’s Top Wealth Managers Fourth Annual Ranking in the July/August, 2004 issue.  The criteria for the ranking of registered investment advisors included average client relationship size and assets under management.  The methodology for BLOOMBERG WEALTH MANAGER’s fourth annual ranking of leading independent financial-advisory firms was based on the asset value of the average client relationship as of December 31, 2003. The list had 450 firms, listed in the “Champions” table beginning on page 70 of the July/August 2004 issue. The asset value of the average client relationship was calculated by dividing the total client assets under management (including assets under management reported on Form ADV plus additional client assets not reported on Form ADV for which the firm received a management fee or advisement fee) by the total number of client relationships. In certain instances, the value of the average client relationships for firms listed consecutively was the same because of rounding. Their rank order in the table reflects their relative value when the division was carried out to additional decimal places. In a few cases, marked with asterisks, the underlying values were exactly the same, and those firms were ranked alphabetically. The data used for this ranking was taken from a questionnaire sent to participating firms and from data that firms provided to the Securities and Exchange Commission on Form ADV. Participants were identified through BLOOMBERG WEALTH MANAGER’s database and from other industry sources. To qualify for the ranking, firms had to meet the following criteria: They were registered investment advisers with the SEC.  • They had minimum assets under management of $50 million. • The firms must also offer financial planning services. • More than 50 percent of the firm’s client base must consist of “individuals” or “high-net-worth individuals” as defined by the SEC. Not included in the ranking are banks, broker-dealers, trust companies, insurance companies, and firms that are subsidiaries of larger companies. Also excluded are firms that are branches of independent broker dealers and those not operating as separate businesses with their own identities. A new listing of firms that would otherwise qualify for the ranking except for the fact that they are subsidiaries of large organizations was presented in “Medalists” on page 84 of the July/August 2004 issue. The universe of 450 firms was categorized by size of assets under management, as follows: $500 million or more, 72; $200 million to $499 million, 115; $100 million to $199 million, 135; $50 million to $99 million, 128.  No payment was required for nomination or inclusion in the ranking.   After receiving notice of the award, Weatherly paid a third party for reprints.  No organizational memberships were required of the Firm or individuals.  Ranking on this list is not representative of any one client's experience and is not indicative of Weatherly’s future performance.  Weatherly is not aware of any facts that would call into question the validity of the ranking or the appropriateness of advertising inclusion in this list.
 
112003-Wealth Manager
Weatherly was included in a list of investment advisors on Bloomberg’s Top Wealth Managers Annual Ranking.  The original ranking in the July/August, 2003 issue list consisted of 370 slots*. The criteria for the ranking of registered investment advisors included average client relationship size and assets under management.  Firms were ranked by average client account size. The methodology for BLOOMBERG WEALTH MANAGER’s annual ranking of leading independent financial-advisory firms was based on the average client-account size for the year ending December 31, 2002.  The average client-account size was calculated by dividing the total client assets (which include assets under management filed on the Form ADV plus additional client assets that were not reported on the filing) by the total number of client relationships.  The data used for this ranking was taken from a questionnaire sent to participating firms and from data provided to the Securities and Exchange Commission on Form ADV. Participants were identified through WEALTH MANAGER’s database and from other industry sources. Firms that were listed meet the following criteria: Were registered investment advisers; Stated minimum assets under management of $25 million; Indicated on the Form ADV that financial-planning services are offered; Reported on the WEALTH MANAGER questionnaire that comprehensive financial-planning services are provided either in house or via outsourcing; Declared that more than 50 percent of the client base; consisted of “individuals” or “high-net-worth individuals” as defined by the SEC.  Because WEALTH MANAGER wanted independent advisory firms, they eliminated responses from banks, broker-dealers, trust companies, insurance companies, and their affiliates. Also, firms that are branches of independent broker-dealers were excluded, as were those not operating as separate businesses with their own identities. In cases where firms reported a higher number of client relationships than client accounts, they used the number of client accounts as the divisor to calculate the average account size. The universe of 370* firms was categorized by size of assets under management as follows: $200 million or more, 97; $100 million to $199 million, 84; $50 million to $99 million, 115; $25 million to $49 million, 74.  *The publication ran an update in the January, 2004 issue stating: “Our ranking of Bloomberg’s Top Wealth Managers published in the July/August 2003 issue incorrectly reported the average client-account size for three firms.   [Corrected figures for 3 firms provided].  In addition, the ranking left out 26 firms that should have been included.  In many cases, the firms were dropped inadvertently because of inconsistencies between data items on our ranking questionnaires and those on the firms’ Form ADVs.  These firms are listed below.”  Weatherly was included on this list of 26 firms, which was sorted alphabetically by business name.  No payment was required for nomination or inclusion in the ranking.    No organizational memberships were required of the Firm or individuals.  Ranking on this list is not representative of any one client's experience and is not indicative of Weatherly’s future performance.  Weatherly is not aware of any facts that would call into question the validity of the ranking or the appropriateness of advertising inclusion in this list.
 
2ttt2003 & 2005-Worth
Weatherly Asset Management, L.P. did not receive the email blast invitation for participation in Worth Magazine’s 2003 or 2005 Top 100 Wealth Advisors surveys.
 
22002-Worth
Weatherly Asset Management, L.P. was included in Worth’s “The 250 Best Financial Advisors” list in the July/August 2002 issue.  The 250 firms are listed alphabetically by state, and then alphabetically by business name.  For consideration to be included in the list, Worth Magazine started by accepting nominations from readers, industry associations, investment firms, and the advisers in their database.  Candidates were asked to complete an extensive survey detailing their backgrounds, professional designations, client-retention rates, and average portfolio returns. Candidates were also asked to provide their best ideas about wealth management, which were then studied carefully in the consideration process. Advisers in the running submitted a sample financial plan and two letters of recommendation. Registered investment advisers also supplied their Form ADVs, which describe their services, fee structures, and disciplinary histories (this is a document that any prospective client should review). Worth verified designations with industry associations and checked backgrounds using the Lexis legal database to search court records. No payment was required for nomination or inclusion in the list.   After receiving notice of inclusion in the list, Weatherly paid Worth for reprints.  No organizational memberships were required of the Firm or individuals.  Inclusion on this list is not representative of any one client's experience and is not indicative of Weatherly’s future performance.  Weatherly is not aware of any facts that would call into question the validity of the ranking or the appropriateness of advertising inclusion in this list.
 
12001-Worth
Weatherly Asset Management, L.P. was included in Worth Magazine’s 2001 list of 250 Best Financial Advisors.  The list is organized by state, and then alphabetically by Advisor’s last name.  Worth Magazine evaluated nominees from a vast pool of new recommendations and past members of their list.  Candidates were required to complete an extensive questionnaire detailing their credentials, professional distinctions, and compensation structures.  The nominees also submitted a financial plan and a letter of recommendation from a client or professional peer outside their firm.  Worth reviewed all of the data from the client’s perspective: each submission was reviewed for clarity, completeness, and attention to individual needs.  Nominees were also asked to provide their best ideas and recommendations.  Worth then checked nominees’ backgrounds.  Registered investment advisers were required to provide their Form ADVs, which describe the firms’ services and fee structures and the advisers’ qualifications (this is a great resource that all advisers should be willing to share with their clients).  Worth verified credentials and made inquiries with industry associations, local courts, and the Lexis Nexis legal database.  All advisors on the list were able to take on new clients.  No payment was required for nomination or inclusion in the list.  After notification of inclusion in the list, Weatherly paid Worth for reprints.  No organizational memberships were required of the Firm or individuals.  Inclusion on this list is not representative of any one client's experience and is not indicative of Weatherly’s future performance.  Weatherly is not aware of any facts that would call into question the validity of the list or the appropriateness of advertising inclusion in this list.
  • Disclosures -News & Other 

2016- Financial Leaders – California:  Special Issue of Forbes Magazine 
The California Financial Leaders segment was based on a marketing opportunity openly offered to California RIAs by EMI Network on behalf of Forbes Magazine.  Firms had the opportunity to occupy one of six slots based on conducting an interview with EMI, submitting Firm information, and payment. No organizational memberships were required of the Firm or individuals; eligibility was based on a first-come, first-served basis when reserving spots for the segment. This paid-for advertisement included an interview portion in which Weatherly supplied a series of answers to questions created by EMI Network. Weatherly was responsible for providing Firm branding information, photographic images, contact information, and appropriate disclosures.   Weatherly paid for the marketing package (inclusion in the advertisement segment, paper reprints, copies of the Forbes magazine for distribution, as well as an electronic PDF of the profile, available for use on the Firm’s website).  Materials are approved for distribution and electronic use within the parameters of EMI Network’s contract agreement. The marketing package also included an appearance on Forbes Custom website for one year from date of publication. Inclusion in this promotional piece is not representative of any one client's experience and is not indicative of Weatherly’s future performance.  Weatherly is not aware of any facts that would call into question the validity of the promotional segment or the appropriateness of advertising inclusion in this promotion.