About Us

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.

B1Chartered 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.

B04CFA Completed Level II Individuals who have completed the CFA level II exam and received a passing result.

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.

B002CFA Society- Candidate Membership with the CFA Society: Society-Candidate Membership with the CFA Society: Candidate memberships with CFA require the following criteria: Member must be currently registered as a Level I, Level II, or Level III candidate in the CFA Program; Member must have no CFA Institute sanctions for professional misconduct; Member must adhere to all policies set forth in the Candidate Responsibility Statement signed when entering the CFA Program; Candidate membership is valid for one year and must be renewed annually; CFASSD Candidate dues are $50 annually and are not prorated. Must join as a regular member upon passing the Level III exam; Candidate membership is only available to individuals who do not qualify as Regular or Affiliate members. To learn more about the CFA charter, visit www.cfainstitute.org

mmCertified Public Accountant (CPA):
Board of Accountancy (CBA) to license a Certified Public Accountant (CPA) in the state of California. To qualify for a CPA license four criteria must be met: exam, education, experience, and ethics. First, the CPA exam consists of four, four-hour sections that must be passed within an 18 month period by earning a minimum score of 75 on each part. Second, all applicants for licensure must have a baccalaureate degree in addition to 150 total semester units which include 24 semester units of core accounting subjects, 24 semester units of core business subjects, 20 semester units of accounting study, and 10 semester units of ethics study. Third, attest applicants must provide the CBA with satisfactory evidence of having completed a minimum of 12 months of general accounting experience including a minimum of 500 hours of attest experience obtained in public accounting, supervised by an individual who holds a valid, active CPA license. Forth, applicants must pass the California Professional Ethics Exam which provides comprehensive coverage of the AICPA Code of Professional Conduct and California Accountancy Act and Accounting Rules and Regulations. Additional requirements for an application include valid US Social Security Number, Criminal history background check, fingerprinting, and CPA licensure and application fees. To learn more about the CPA Licensing Applicant requirements, visit: https://www.dca.ca.gov/cba/applicants/applbook.pdf

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, Series 66 http://www.finra.org/industry/series66. and Series 7 https://www.finra.org/registration-exams-ce/qualification-exams/series7

DD Insurance Licenses: The California Department of Insurance (CDI) was created in 1868 as part of a national system of state-based insurance regulation. CDI enforces the insurance laws of California and has authority over how insurers and licensees conduct business in California. Licensing qualifications are set by CDI: Life-Only: http://www.insurance.ca.gov/0200-industry/0050-renew-license/0200-requirements/life-only/quals.cfm
Accident & Health: http://www.insurance.ca.gov/0200-industry/0050-renew-license/0200-requirements/accident-health/quals.cfm
For more information, visit http://www.insurance.ca.gov/0500-about-us/01-commissioner/index.cfm

FMACC – Masters of Science in Accountancy University of San Diego: The Master of Science in Accountancy degree at the University of San Diego is a 30 unit program for those with an undergraduate accountancy degree. Criteria evaluated for admission include the program application, professional letters of recommendation, a personal statement, resume, college/university transcripts, GMAT, and overall and accounting-specific GPA.

kkMSA-Masters of Science in Accounting Southern Methodist University:
Southern Methodist University’s Cox School of Business offers a Master of Science in Accounting (M.S.A.) degree. The curriculum of the M.S.A. program is designed to provide students with an in-depth examination of critical accounting, tax and financial issues. Students will take a total of 32 to 40 credit hours depending on their prior academic background. Of the 32 minimum required hours, 22 must be in accounting courses. The fall and spring 16-week terms are divided into two eight-week modules, A and B, with each module course being two credit hours. Application requirements include: online application, resume and essays, GMAT or GRE score (SMU Cox BBA Undergraduates are exempt of this requirement), transcripts, and two references. https://www.smu.edu/cox/Degrees-and-Programs/MS-in-Accounting

ddJD – Juris Doctorate University of San Diego School of Law: The degree of Juris Doctor at the University of San Diego School of Law generally requires three full academic years in residence and is designed for students who are prepared to devote their entire time to the study of law. Criteria evaluated for admission include a Bachelor’s degree from a college or university of approved standing prior to law school matriculation, a valid Law School Admissions Test (LSAT) score less than five years old, and a completed application of admission and a Credential Assembly Service (CAS) Report provided by the Law School Admission Council (LSAC).

ffMSERM – Master of Science in Enterprise Risk Management: The Master of Science in Enterprise Risk Management (MSERM) at Boston University’s Metropolitan College provides the tools and concepts necessary to plan for, prevent, and—when needed—successfully respond to disruptions in business operations. The Enterprise Risk Management graduate program integrates cutting-edge intellectual content from the academic world with sophisticated management practices of leading global corporations. All students must satisfy the degree core courses, specialization requirements, and electives as indicated by the program. A total of 40 credits is required. The department reviews each student’s prior academic background in relation to their current professional standing to determine suitability. Candidates for admission to the degree program are selected on the basis of academic transcripts, academic and professional references, and often interviews. Degree candidates have six years to complete the program from the date of their first course.

iiMPAS® – Master Planner of Advanced Studies:
Awarded to individuals who complete the College For Financial Planning’s Master of Science degree with a major in personal financial planning. In order to maintain the MPAS designation, individuals must complete 40 hours of continuing education every two years. To learn more visit: https://www.adviserinvestments.com/certifications/master-planner-advanced-studies-mpas/

jjCRPC® – Chartered Retirement Planning CounselorSM:
This program and designation, issued by the College For Financial Planning, enables experienced advisors, who are focused on retirement planning for individuals, define a “road map to retirement.” There is a focus on clients’ pre- and post-retirement needs, as well as issues related to asset management and estate planning. To learn more visit: https://www.kaplanfinancial.com/wealth-management/crpc

ggMSPFP – Master of Science in Personal Financial Planning: The Master of Science Degree in Personal Financial Planning (MSPFP) through the College For Financial Planning (CFFP) is designed for individuals pursuing their CFP® Certification but also seeking a deeper understanding of financial planning. The program consists of a total of 10 courses – five of which are required for the CFP® Designation and the remaining five are geared towards more complex planning topics. The Master of Science Degree Program does not require a GMAT/GRE or other standardized tests for admission. The pre-requisite for the program is a Bachelor’s or equivalent 4-year degree.

GVistage Executive Leadership Program – through Stanford Graduate School of Business – Vistage Worldwide Inc. offers a virtual executive advancement program where participants learn to think strategically: how to identify opportunities and challenges, how to develop a viable course of action, how to formulate a strategy, and how to execute strategy so that their employees are guided and motivated to achieve success. Participants in the San Diego cohort received a Certificate upon successful completion of 3 courses: 1) Strategic Leadership; 2)The Innovation Playbook: Designing Stories for Impact; and 3)Designing Organizations for Creativity and Innovation. Criteria to enroll in the Program included being a !Vistage member, nomination by a Vistage Chair to apply, completion of an online application, and payment of tuition. To learn more visit https://www.vistage.com/stanfordprogram-sandiego.

||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.

hhProfessional Certificate in Marketing: San Diego State University (SDSU) World Campus (also known as College of Extended Studies) and One Club San Diego jointly offer a Professional Certificate in Marketing. Individuals wanting to grow a career in marketing, as well as entrepreneurs and business owners who manage their own media and marketing, are ideal candidates for this program. To earn the certificate, students must successfully complete five (5) core courses, and two (2) electives. All requirements must be completed within two (2) years. No prerequisites or application is required to begin the program. This program is Workforce Approved. The SDSU World Campus is a State-approved provider for the Federal Workforce Investment Act for this program. For more information, visit https://ces.sdsu.edu/business/professional-certificate-marketing

nnCalifornia Bar Admitted Attorney: All applicants for admission to practice law in California must receive a passing score on the Multistate Professional Responsibility Examination and pass the California Bar Examination, must complete the legal education requirement including, but not limited to, receiving a Juris Doctor (JD) degree from an American Bar Association (ABA) accredited law school, and go through a background check and receive a positive moral character determination. To learn more, please visit: https://www.calbar.ca.gov/admissions/requirements.

llChartered Financial Consultant® (ChFC®): The ChFC® program is offered through The American College of Financial Services. To receive the ChFC® designation, you must successfully complete the eight required courses. The courses cover topics ranging from knowledge on tax and retirement planning to special needs advising, wealth management, insurance, and more. There are no prerequisite courses required before you can begin the ChFC® program, but three years full-time, relevant business experience and a high school diploma or the equivalent are required to use the designation. Participation in the annual Professional Recertification Program (PRP) is required to maintain the designation. To learn more, please visit: https://www.theamericancollege.edu/designations-degrees/ChFC.

uuFinancial Modeling & Valuation Analyst (FMVA)®: The FVMA® Certification program is offered through the Corporate Finance Institute (CFI). CFI is an accredited provider of online courses, designations, certifications, and Microsoft Office productivity tools for finance professionals. To learn more about CFI, please visit https://corporatefinanceinstitute.com. The FMVA® Certification program teaches essential skills required to perform practical financial analysis. The program consists of 11 core courses to build a strong foundation in financial modeling and valuation and a minimum of 3 elective courses (out of 19 available) to explore more advanced topics and specialized subjects. After completing the required courses, students must complete a final exam (with a minimum passing grade of 70%) to earn the program certification. There are no prerequisites to join the program, however there are 7 optional prep courses available to review the fundamentals.

bbbEnrolled Agent (EA): An enrolled agent is a person who has earned the privilege of representing taxpayers before the Internal Revenue Service by either passing a three-part comprehensive IRS test covering individual and business tax returns, or through experience as a former IRS employee. Enrolled agent status is the highest credential the IRS awards. Individuals who obtain this elite status must adhere to ethical standards and complete 72 hours of continuing education courses every three years.

Other Designations & 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

!!!!!!!!Vistage Key Executive Program: This is a by-invitation-only membership for C-level execs, VPs and directors from diverse backgrounds and businesses that are employees of Vistage ! members from non-competing industries. Members pay an annual fee to part of this program; there are 12 full-day meetings to year led by a highly trained executive coach.

!!!Vistage Emerging Leader Program: Vistage Worldwide Inc. offers a 2-year program available only to employees of Vistage! members. The program is facilitated by a Vistage Chair and consists of 6 all day-meetings per year with training in 12 leadership competencies within four key areas: personal, inter-personal, team and organizational leadership. Under the guidance of a Vistage Chair, Participants develop core leadership competencies and confidence, empowering them to deliver on company goals. Criteria to enroll in the Program include nomination by a Vistage Chair to apply, completion of an online application, and payment of tuition.

#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

aaaSDWF board member: Board members are nominated by SDFW’s Governance committee after the candidate goes through an interview process with a previous board member. Formal approval is then given by the San Diego Foundation’s Board of Governors.

wThe 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.

+Financial Planning Association (FPA) and FPA NexGen: 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. The next generation is comprised of new and aspiring financial planners who come from a variety of life experiences and backgrounds. FPA gives them a professional home from which they can thrive. More information about FPA NextGen is available here https://www.financialplanningassociation.org/networking/fpa-nexgen

=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

%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/

aa University of San Diego Criminal Law Society: The purpose of the Criminal Law Society (CLS) is to provide professional development and networking opportunities for law students interested in criminal law. CLS promotes the practice of criminal law through informational meetings, panels, and networking events. The Criminal Law Society was formed to provide a resource for students interested in pursuing criminal law on either the prosecution or defense side. Members are required to be a law student or staff at the law school; members are not required to pay dues. To learn more, visit: To learn more, visit: https://www.sandiego.edu/law/student-life/student-organizations/#org-20

bbUniversity of San Diego Environmental Law Society: The purpose of the Environmental Law Society at the University of San Diego (USD) is to increase awareness of environmental issues and their legal, political and social implications; to provide students with practical experience in the field of environmental law; to create opportunities for students to connect with local attorneys and other professionals working in the field; and to encourage and organize green and sustainable initiatives on the USD campus and in the San Diego community. Members are required to be a law student; members are not required to pay dues. To learn more, visit: https://www.sandiego.edu/law/student-life/student-organizations/#org-20

ccSan Diego Volunteer Lawyer Program (SDVLP): SDVLP’s mission is to provide equal access to the justice system by serving as a bridge between indigent and other disadvantaged people in San Diego County and the volunteer lawyers and others who are willing to donate their time and resources. SDVLP provides free civil legal services to disadvantaged families, seniors, persons with disabilities, persons infected with HIV or AIDS, and domestic violence survivors in San Diego County. SDVLP does not handle criminal matters or fee-generating cases, such as personal injury actions.  Staff and volunteer attorneys provide assistance in a variety of areas, including: public benefits, estate planning, employment discrimination, debtor relief, housing, and other legal issues affecting individuals’ eligibility or ability to access HIV/AIDS services. Members go through a standard interview process with a staff attorney and are required to be a law student or an attorney; members are not required to pay dues.  To learn more, visit: https://www.sdvlp.org/get-help/hivaids-law/

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/

ssSan Diego Society for Human Resource Management (SD SHRM) Professional Member: SD SHRM is the local chapter of the national Society for Human Resource Management (SHRM).SHRM is the world’s largest HR professional society, representing 285,000 members in more than 165 countries. Individuals engaged in the profession of human resource management and who meet one of the criteria below are eligible for professional membership status in the San Diego chapter: 1) At least three years of exempt-level human resource experience; 2) Certification by the Human Resource Certification Institute (HRCI) or its predecessor, the Personnel Accreditation Institute (PAI), as a Senior Professional in Human Resources (SPHR) or Professional in Human Resources (PHR); 3) Faculty members holding assistant, associate or full professor rank in human resource management or any of its specialized functions at an accredited college or university, and who have at least three years of experience at this level of teaching; 4) Full-time consultants with at least three years of management experience as a human resource practitioner and whose practice is primarily directly related to the practice of human resource management; or 5) Attorneys with at least three years of primary practice in any of the following areas: labor and employment law and/or employee benefits (e.g., pension, retirement, 401(k), Sec. 125, health and welfare plans, ESOPs, or workers’ compensation). Professional members may vote, serve on committees and hold office on the Board of Directors.

vvvVITA certificate: The IRS sponsors Volunteer Income Tax Assistance (VITA) & Tax Counseling for the Elderly (TCE) Programs. VITA and TCE are IRS-sponsored programs that provide free filing assistance in underserved communities for low-to-moderate income families, the elderly, the disabled and those who speak very little English. In order to become a VITA volunteer, candidates must 1) apply and 2) a) successfully complete the Intake/Interview and Quality Review Exam; b) pass the program’s Basic Exam; and c) pass the program’s Volunteer Standards of Conduct Exam. To learn more visit https://www.irs.gov/individuals/irs-tax-volunteers and https://www.irs.gov/individuals/free-tax-return-preparation-for-you-by-volunteers

zzWomen Give San Diego Member: Women Give San Diego (WGSD) is a giving circle of San Diego Grantmakers, a nonprofit 501(c)(3) organization. WGSD envisions sustainable economic self-sufficiency and security for women and girls in San Diego County, funds non-profit organizations in San Diego County that offer underserved women and girls the opportunity to enhance their participation in our regional economy and become fully engaged in the prosperity of their local communities, and advocates for public awareness of women’s economic issues at the local level and for systems change at the state level. WGSD’s model for change balances education, community collaboration, and strategic and effective grant-making. Membership is open to the public and requires a contributory donation. To learn more, visit: www.womengivesd.org

eeBulldog Investment Group: Bulldog Investment Group (BIG) is an informational club associated with Gonzaga University with the purpose to teach members about Finance by managing a student-run portfolio. The purpose of BIG is to invest the assets of BIG in stocks, bonds and other securities for the education and benefit of the partners who will consist of individuals who are academically in good standing with Gonzaga University, Spokane, Washington, as well alumni of Gonzaga University, and friends of Gonzaga University. Capital Contributions are not required for membership. Student members must be enrolled as a student of Gonzaga University and be in good standing and must submit a written application of membership to the President. To learn more, visit https://gonzaga.campuslabs.com/engage/organization/big

ooShare the Struggle Mentor Program: Share the Struggle is an initiative of Taming Mustangs, a 501(c)3) Non-Profit. Share the Struggle Mentor Program is an online platform where individuals are matched with a volunteer mentor who has experienced similar struggles and can provide hope and healing. Criteria to become a mentor include 1) completion of an online mentor training e-course consisting of 5 live training modules, 2) two references, 3) completion of a background check, and 4 )completion of QPR Suicide Prevention Training. Mentors are then paired with an individual based on mutual experiences. Mentors make a minimum commitment of 1 hour/week for 4-6 months of mentoring. To learn more visit: https://www.sharethestruggle.org/mentor.

qqBoys & Girls Club of Vista: Boys & Girls Club is a national organization of local chapters which provide voluntary after-school programs for young people. Their mission is to empower every club member to graduate with a career or college plan, contribute to their community, and live a healthy lifestyle. They offer programs for kids ages 5-18 that focus on character and leadership development, academic success and healthy lifestyles. To learn more, visit: https://www.bgcvista.org/.

vEstate Planning Council of San Diego (EPCSD): 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. Emeritus membership is granted to those who have been a member of EPCSD for 10 years or more, at a lower membership renewal cost. For more information, visit http://www.epcsd.org.

wwNorth County Estate Planning Council (NCEPC): The NCEPC’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

rrPawsitive Teams: Pawsitive Teams is a 501(c)(3) nonprofit corporation in California that trains and places service dogs with persons with disabilities, runs goal-directed therapy dog programs, and trains and places facility dogs. The mission of Pawsitive Teams is to enhance the lives of individuals with special needs who live in San Diego County by using the skills of highly-trained service and therapy dogs. To learn more, please visit: https://pawsteams.org/our-mission.

wwwFinance and Investment Society: San Diego State University’s Finance and Investment Society (FIS), provides students with the opportunity to further their industry knowledge, expand their professional network, and pursue a career in high finance. Members have exclusive access to FIS speakers, workshops, competitions, research programs, company recruiting events, internships, networking nights, discounted certifications, mentorship opportunities, social events, community service, executive board leadership roles, and a vast network of students and alumni. All SDSU students (undergraduate and graduate) of any academic discipline are welcome to join FIS. Members are required to pay dues. To learn more, please visit: http://www.sdsufis.com/.

yyyMaster’s Investment Group: Launched in 2011, the University of Oregon’s Master’s Investment Group is managed entirely by graduate students. It is uniquely focused on nations and economies with social or business activity in the process of rapid growth and industrialization. Students enroll in a class each term that manages the fund with faculty oversight. The Master’s Investment Group builds on the proven successful money-management model of the University of Oregon Investment Group (UOIG). To learn more please visit: https://business.uoregon.edu/hands-on-learning/portfolio-management.

zzzDuck the Stigma: Duck the Stigma is an organization on the University of Oregon’s campus dedicated to increasing mental health resources for student athletes. Duck the Stigma is a subcommittee of the Student-Athlete Advisory Committee (SAAC) whose mission is to develop and implement innovative programs and individualized support services that will empower student-athletes to make positive contributions to their communities and have the best opportunity to grow and succeed in college and later in life. To become the Co-Chair of the organization there is an application process and members vote on who they will elect as Co-Chair. To learn more, please visit: https://goducks.com/sports/2009/1/6/3641187.aspx.

xxNational College Baseball Writers Association (NCBWA): The NCBWA is an organization of writers and college baseball professionals that release awards, rankings and content to help further the development of college baseball. To learn more, please visit: https://www.sportswriters.net/ncbwa/about.

cccDel Mar Women’s Giving Gollective: the DMWGC is a community of Del Mar women that gives collectively to amplify our impact as donors. Our vision is to grow as a philanthropic community that has a meaningful financial impact on non-profit organizations meeting the needs of under-served populations in San Diego County. DMWGC is a non-profit 501c3 charitable organization and your entire donation is tax deductible. Membership is open to women of all ages (18 or older) who live in the 92014 zip code beginning in August. Minimum commitment of 2 years to join. Member giving requirement is $1,100 per year. ($1,000 is added to our collective grant making pool, $100 is used to administer our organization). For those paying by check the amount of your donation is $1,100. For those paying by credit card the amount of your donation is $1,135 to cover extra fees. Donations must be received by November 30 to qualify for membership for that upcoming Spring giving cycle. https://www.dmwgc.org/about-us.

Disclosures -Awards and Rankings (Appendix B to Part B of Form ADV) (view in PDF)

942024 – Barron’s Top 1200 Advisors
Carolyn Taylor was included in Barron’s 2024 Top 1200 Advisor Rankings by State list. The full list can be viewed on Barron’s website. View the list here: https://www.barrons.com/advisor/report/top-financial-advisors/1000?page=8&mod=faranking_subnav_top1200. The criteria for ranking reflects assets under management as of 09/30/2023, revenue that the advisors generate for their Firms, regulatory record, quality of the advisor’s practices, and philanthropic work. 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. Survey data was submitted by around 6,000 advisors, but only 1200 were published in the ranking. 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. The Top 1,200 are drawn from all 50 states, plus the District of Columbia. This ranking is the largest and most comprehensive of the annual Barron’s advisor listings. It includes a cross section of private-wealth advisors, from independents who own and operate their own practices to advisors from the large Wall Street firms. This special report lists the top advisors in each state, with the number of ranking spots determined by each state’s population and wealth. Carolyn Taylor ranked 71st in the state of California. No payment was required for nomination or inclusion in the ranking. Wealth Managers do not pay a fee to be considered or placed on the final list. At the time of this updated disclosure, Weatherly elected to pay Barron’s for a 2024 annual membership to Barron’s Advisor Marketing Program. Part of this online profile program allows for use of promotional materials associated with various Barron’s rankings, including the Top 1200. 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.

932024 – Five Star Wealth Managers
Six of Weatherly’s team members were named 2024 Five Star Wealth Managers in December of 2023. Five Star Professional completed the interview process to determine 2024 Five Star Wealth Managers, and included Carolyn Taylor, Brent Armstrong, Kelli Burger, Brooke Boone Kelly, Ryan Richardson, and Aubrey Brown in their rankings. The article can be found here: https://www.fivestarprofessional.com/awardwinners/SDWM. The detailed Five Star Professional Wealth Manager Program Summary and Research Methodology is available online. The 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 licensed as a registered investment adviser or as a principal of a registered investment adviser firm 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 settled or pending complaints filed against them and/or a total of five settled, pending, dismissed or denied complaints 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; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. 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 and each advisor participated in a phone interview to confirm personal information. 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 purchased additional profile ad space in the Wall Street Journal and digital and hard-copy reprints. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. 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 this publication. 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. Weatherly did not pay Five Star for promotional materials associated with the 2024 Five Star program. In total, 2,242 San Diego-area wealth managers were considered for the award; 197 (9% of candidates) were named 2024 Five Star Wealth Managers; 2023: 2,123 considered, 211 winners; 2022: 2,084 considered, 223 winners; 2021: 6,123 considered, 459 winners; 2020: 2,018 considered, 231 winners; 2019: 1,885 considered, 224 winners; 2018: 1,498 considered, 228 winners; 2017: 1,349 considered, 349 winners; 2016: 1,337 considered, 349 winners; 2015: 1,639 considered, 350 winners; 2014: 1,838 considered, 368 winners; 2013: 1,675 considered, 417 winners; 2012: 1,014 considered, 284 winners. Five Star Professional conducts a review of each award candidate as reported by FINRA and the SEC. For wealth managers with a CRD Number, Five Star Professional relies on the wealth manager’s FINRA BrokerCheck Report and/or the SEC Investment Adviser Public Disclosure website. For wealth managers without a CRD Number, Five Star Professional relies on Form ADV for the wealth manager’s firm. Additionally, Five Star Professional promotes, via local advertising and through their website, the opportunity to submit feedback — including whether a consumer had an unsatisfactory experience — regarding a wealth manager. Complaint data submitted in this way serves as an early alert system to unfiled consumer complaints and augments the regulatory review of reported complaints. 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.

922024 -InvestmentNews Inaugural Top Advisors
Carolyn Taylor has been included in the Investment News Inaugural Top Advisors 2024 special report. The full IN Top Advisors 2024 report was published in the January issue of Investment News online on 29 January 2024. Carolyn was 11th out of 60 advisors in the ranking, The full list is available here: https://www.investmentnews.com/best-in-wealth/the-top-financial-advisors-in-the-usa. About Top Advisors: To compile the inaugural Top Advisors list, Investment News first solicited nominations from advisors, industry professionals, and clients. Only advisors nominated were eligible for the list. All information on nominees had to be verified by their compliance team before it could be accepted. The final list was determined based on each advisor’s weighted ranking in overall AUM, AUM growth, and client growth (both between September 2022 and September 2023). The Investment News team then tabulated a ranking for each advisor in each category and combined those scores to determine the advisor’s final ranking on the 2024 Top Advisors list. Carolyn received an email invitation to participate in the program. Weatherly’s compliance and marketing team members provided data on behalf of Carolyn in the form of an online survey. No fees were required to respond to the survey or to be published in the list. Inclusion in this list and program 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 program or the appropriateness of advertising this award.

912023 – Investment News Women to Watch Portfolio Manager of the Year Excellence Awardee
Kelli Burger was an excellence awardee in the Portfolio Manager of the Year program category of the Investment News Women to Watch awards program. https://awards.investmentnews.com/wtwsa23-featureprofile-awardee-kelli-burger/p/1. The InvestmentNews 2023 Women to Watch Awards celebrate excellence and the women who are making a difference in the financial services industry. This year’s Women to Watch Awards program featured a new independent judging panel and recognized both individuals (categories: allyship champion of the year, female trailblazer of the year, Alexandra Armstrong award for lifetime achievement in the financial services industry, portfolio management of the year, rising star advisor of the year), as well as organizations (categories: employer of choice, excellence in gender diversity and inclusion). Kelli’s awardee status was shared via an article in Investment News prior to the final stages of the awards program. The methodology used is outlined below. Methodology and the awards program process consisted of 5 stages: Stage 1 – Nominations – InvestmentNews celebrates achievements that measurably advance women in all aspects of the investment industry, at employers of all sizes. Professionals were invited to nominate themselves or third-party candidates and / or companies who exemplify these outstanding accomplishments through their leadership, passion, creativity, and willingness to help others along the way. Nominations were open from July 18 – August 18, 2023. There was no fee to submit a nomination and only the online nomination forms were accepted. Stage 2 – Research. The Women to Watch Summit and Awards team conducted research and drew on knowledge and information gained through InvestmentNews to support and supplement nominations received and to ensure that no one deserving of recognition was missed. “Excellence awardees” (shortlisted Finalists), in each category, were determined from both pools of information. Stage 3 – Excellence Awardees Once all nominations were considered and research was complete, Excellence Awardees (Finalists) were selected in each category and notified via e-mail or phone. All Excellence Awardees were invited to finalize their detailed nomination form (“submission”). These submissions were provided to the judging panel for voting, remained confidential, and not shared with any third parties other than the judges. Excellence awardees were officially announced in September 2023. Stage 4 – Judging All submissions from the Excellence Awardees were forwarded to the independent judging panel comprising mortgage and finance industry leaders and senior representatives. The panel assessed and voted for their winners in each category according to the relevant category criteria. Voting began in September-October 2023 and their judgment was impartial, balanced, incisive and fair. Any judge with a conflict of interest in a category excused themselves from judging that category. Stage 5 – Winners Using a simple points system to aggregate judges’ votes, the finalist with the top score in a category was named the winner. Winners were announced at the event on November 7, 2023. Employees of Weatherly nominated Kelli Burger, as well as 4 other team members for different individual award categories. Of the Weatherly nominees, only Kelli made it to the 3rd stage of the program processes. Weatherly paid Key Media for a promotional package including digital profile exposure in InvestmentNews. The complete guide is available here: https://awards.investmentnews.com/wtwsa23-commguide/p/1. Inclusion in this program 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 this award.

902023 – Excell Represent Women in Wealth Management Award Finalists
Weatherly’s Kelli Burger and Lindsey Thompson were finalists in the 2nd Annual Women in Wealth Management Awards program. The awards were designed to celebrate and honor women in the wealth management industry, who act as an inspiration for others and who are making a difference in the profession and their communities, the release said. The awards included recognition in seven categories: Community Impact, Industry Transformer, Up & Comer, Excellence in Mentorship and Allyship, Career of Excellence, Backstage Star and Transition Triumph. Kelli was one of three finalists in the Excellence in Mentorship & Allyship award category. “This award is open to both men and women who have acted as mentors and allies to women in the wealth management industry. This honoree has openly supported women through career advice in growing their practices, navigating through their organizations, getting paid fairly, or creating a culture of empowerment at their firm that empowers women to advance and bring their true selves to work.” Lindsey was one of three finalists in the Backstage Star award category. This category “celebrates a woman whose quiet daily management makes everything go smoothly for the firm, the people within it and the clients it serves. These honorees have demonstrated the ability to work with multiple departments and create synergies between them, resulting in outstanding outcomes for the firm.” Members of Weatherly were invited to participate and nominate team members via email invitation from the Carson group. Team members at Weatherly nominated five Weatherly team members for various award categories through an online survey with www.excellrepresent.com. Finalists were announced September 15, and winners announced on the first day of the Excell REPRESENT event, taking place November 15-16 at Caribe Royale in Orlando, Fla. No fees were required to respond to the survey or to be published as a finalist. Finalists had the option to pay registration fees to attend the Excell REPERESENT event. Weatherly did not attend the event and did not make any payments to Excell as of the time of this disclosure. Finalist status in this awards program 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 program or the appropriateness of advertising this award. About Excell Represent Now in its second year, Excell Represent is an industry-wide, collaborative event aimed at empowering women in wealth management to build community, level up professionally and impact the industry for the better. Foundational Partners for the event include Carson Group, Fidelity Institutional, Financial Independence Group and Mariner Wealth Advisors.

892023 – Five Star Wealth Managers
Six of Weatherly’s team members were named 2023 Five Star Wealth Managers in the January 11, 2023 edition of San Diego Magazine. In June of 2022, Five Star Professional completed the interview process to determine 2023 Five Star Wealth Managers. Carolyn Taylor, Brent Armstrong, Kelli Ruby, Cole Hansen, Brooke Kelly, and Ryan Richardson all received invitations to participate in the program review process. The detailed Five Star Professional Wealth Manager Program Summary and Research Methodology is available online. The 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 licensed as a registered investment adviser or as a principal of a registered investment adviser firm 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 settled or pending complaints filed against them and/or a total of five settled, pending, dismissed or denied complaints 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; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. 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 and each advisor participated in a phone interview to confirm personal information. 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 purchased additional profile ad space in the Wall Street Journal and digital and hard-copy reprints. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. 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 this publication. 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. Weatherly did not pay Five Star for promotional materials associated with the 2023 Five Star program. In total, 2,125 award candidates in the San Diego area were considered for the Five Star Wealth Manager award. 211 (approximately 10% of the award candidates) were named 2023 Five Star Wealth Managers; 2022: 2,084 considered, 223 winners; 2021: 6,123 considered, 459 winners; 2020: 2,018 considered, 231 winners; 2019: 1,885 considered, 224 winners; 2018: 1,498 considered, 228 winners; 2017: 1,349 considered, 349 winners; 2016: 1,337 considered, 349 winners; 2015: 1,639 considered, 350 winners; 2014: 1,838 considered, 368 winners; 2013: 1,675 considered, 417 winners; 2012: 1,014 considered, 284 winners. Five Star Professional conducts a review of each award candidate as reported by FINRA and the SEC. For wealth managers with a CRD Number, Five Star Professional relies on the wealth manager’s FINRA BrokerCheck Report and/or the SEC Investment Adviser Public Disclosure website. For wealth managers without a CRD Number, Five Star Professional relies on Form ADV for the wealth manager’s firm. Additionally, Five Star Professional promotes, via local advertising and through their website, the opportunity to submit feedback — including whether a consumer had an unsatisfactory experience — regarding a wealth manager. Complaint data submitted in this way serves as an early alert system to unfiled consumer complaints and augments the regulatory review of reported complaints. 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.

882023 – San Diego Magazine’s Celebrating Women Nominations
Carolyn Taylor, Kelli Burger, Brooke Kelly, and Lindsey Thompson were nominees in the 2023 Annual San Diego Magazine’s Celebrating Women in Finance category. Carolyn was a Pioneer nominee, while Kelli, Brooke and Lindsey were Rising Star nominees. The award program recognizes one Pioneer and one Rising start in each of the 14 award categories. None of the nominees from Weatherly were winners. The awards define a “Pioneer” as an individual that has and continues to carve a path to a brighter future. This is someone who is regarded as an expert in her industry and influences and empowers women in and beyond San Diego. A “Rising Star” is an individual that is regarded as an up-and-comer in their industry; this is someone who is actively trailblazing her way to a brighter future and setting the stage for those to follow. More background on the award categories is available here: https://sandiegomagazine.com/things-to-do/san-diego-magazines-celebrating-women-2023-nominations/ The San Diego Magazine solicited nominations via email in the form of an online survey. Members of the Weatherly team nominated Carolyn Taylor, Kelli Burger, Lindsey Fiske-Thompson, and Brooke Boone. Nominees and finalists were evaluated based on their business accomplishments and community involvement. Weatherly supplied the information for the nominations by completing the Magazine’s questionnaire. The associated “people’s choice” awards solicited votes from the general public. A panel of 4-5, unbiased, San Diego Magazine-affiliated female judges reviewed all entries and determined the top three Pioneers and top three Rising Stars in each of the 14 categories. Those 84 individuals then moved into round two (new this year), which was the People’s Choice! All 84 nominations were featured on the SD Magazine website for the public to vote on who they thought should be selected as the Pioneer and Rising Star in each category. SD magazine also selected a San Diego Magazine Pioneer of the Year and Rising Star of the Year from the full pool of nominations which was named at the Celebrating Women Summit on November 2, 2023 held at UC San Diego’s Park & Market and presented by Copia Wealth Management & Insurance Services. More about the methodology is available here: https://sandiegomagazine.com/magazine-event/san-diego-magazines-celebrating-women-summit-2023/Weatherly was not required to make payments or purchases to nominate, be nominated, be considered or included on the list related to the award. No organizational membership was prequired 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.Inclusion in this program 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.

872023 – San Diego Business Journal – Best Places to Work
Weatherly Asset Management, L.P. was listed as a finalist for the 2023 San Diego Business Journal Best Places to Work award. The San Diego Business Journal (“Journal”) recognized outstanding companies whose benefits, policies and practices are among the best in the region. There were 100 winners overall, and the list was segmented by employer size categories: 1) Small Employer Category (15-49 US Employees); 2) Medium Employer Category (50-249 US Employees); 3) Large Employer Category (250-1,999 US Employees); and 4) Mega Employer Category (2,000 or more US Employees). Of the 30 employers in the Small Employer Category, Weatherly was ranked 9. Not all nominees were named winners. The San Diego Business Journal solicited nominations via email invitation to their mailing lists and via the paper journal circulation. The submission process included a two-part survey to get a thorough assessment of each employer. Part 1 consisted of an employer assessment and part 2 consisted of an employee feedback survey. Surveys were conducted online. Both the employer and employee data sets are combined to determine the best workplaces. Weatherly was not required to make payments or purchases to nominate, be nominated, be considered, or included on the list related to 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.

862023 Financial Advisor Magazine 2023 RIA Ranking:
Weatherly Asset Management, L.P. was included in the Financial Advisor’s Magazine 2023 RIA Survey and Ranking List. This list is the publication’s 17^th annual ranking of independent advisory firms. The list and article are available to view in the print version of the July 2023 issue and online here. The ranking was based on 2022 year end discretionary and non-discretionary AUM reported on ADV.  To be eligible for the ranking, firms must be independent registered investment advisors and file their own ADV statement with the SEC, and provide financial planning and related services to individual clients. Firms must have at least $50 million in assets under management as of December 31, 2022. Corporate RIA firms and investment advisor representatives (IARs) were not eligible for this survey. The list was segmented by asset categories: 1) $1 billion and over; 2) $500 million to <$1billion; 3) $250 million to <$500 million; 4) $150 million to <$250 million; and 5) $50 million to <$150 million.  Within each of the asset category segments, firms were ranked by 2022 year end discretionary and non-discretionary AUM. The comprehensive list consisted of 521 firms. Weatherly was ranked 305 overall. Weatherly received an email invitation to participate in FA’s annual nation-wide RIA ranking survey.  Weatherly completed the survey, which in addition to AUM, focused on services offered by the firm; service fee structure; anticipated changes to the business in the next 5 years; staffing and recruiting; operations and strategy.  The survey review included information provided by Weatherly, as well as public data available through the firm’s ADV filing. No payment was required for participating in the survey. Weatherly elected to pay for a custom digital license to use the award logo on our 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.

852023 San Diego Business Journal – 40 Business Leaders Under 40:
Kelli Burger, Brent Armstrong, and Brooke Boone Kelly were listed as honorees for the 2023 San Diego Business Journal 40 Business Leaders under 40 award. The San Diego Business Journal (“Journal”) recognized 40 dynamic business leaders under 40 who have contributed significantly to San Diego’s workplaces and communities. The San Diego Business Journal solicited nominations via email invitation to their mailing lists and via the paper journal circulation.  Members of the Weatherly team nominated Kelli Burger, Brent Armstrong, and Brooke Boone Kelly. Not all nominees were named honorees. Nominees were asked to provide a profile on the nominee’s specific career and accomplishments. Weatherly supplied the information for the nomination by completing the Journal’s questionnaire. Weatherly was not required to make payments or purchases to nominate, be nominated, be considered, or included on the list related to 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.

842023 Barron’s Top 100 Women Financial Advisors:
Carolyn Taylor was included in Barron’s 2023 Top 100 Women Financial Advisors list. The full list can be viewed on Barron’s website. View the list here. The criteria for ranking reflects assets under management as of 03/31/2023, revenue that the advisors generate for their Firms, regulatory record, quality of the advisor’s practices, and philanthropic work. 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 was ranked 61st. Carolyn Taylor was invited to participate in the nomination process via email solicitation from Barron’s and nominated by colleagues for inclusion in the list. 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. 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.

832023 Wealth Management Firms List-San Diego Business Journal:
San Diego Business Journal included Weatherly Asset Management in the 2023 listing of Wealth Management Firms, published on April 24th, 2023. Placed among the best in San Diego County, WAM lands the 17th spot of 44 firms in total. Eligibility requirements to participate included being a registered investment adviser with either the Securities Exchange Commission or the California Department of Corporations. The criteria by which Firms were ranked was based on assets managed in San Diego County for fiscal year 2022. After receiving an email invitation from the Journal to participate in the list, Weatherly completed a brief online survey. 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. No organizational memberships were required of the Firm or individuals. Inclusion in the ranking is not representative of any one client’s experience and is not indicative of Weatherly’s future performance. Past performance is not necessarily indicative of future results. 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.

82Barron’s 2023 Top 1200 Advisors:
Carolyn Taylor was included in Barron’s 2023 Top 1200 Advisor Rankings by State list. The full list can be viewed on Barron’s website. The criteria for ranking reflects assets under management as of 09/30/2022, revenue that the advisors generate for their Firms, regulatory record, quality of the advisor’s practices, and philanthropic work. 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. Survey data was submitted by around 6,000 advisors, but only 1200 were published in the ranking. 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. The Top 1,200 are drawn from all 50 states, plus the District of Columbia. This ranking is the largest and most comprehensive of the annual Barron’s advisor listings. It includes a cross section of private-wealth advisors, from independents who own and operate their own practices to advisors from the large Wall Street firms. This special report lists the top advisors in each state, with the number of ranking spots determined by each state’s population and wealth. Carolyn Taylor ranked 72nd in the state of California. No payment was required for nomination or inclusion in the ranking. After receiving notice of inclusion in the top 1200 list, Weatherly plans to pay Dow Jones Reprints and Licensing for custom hard copy reprints and digital access. Wealth Managers do not pay a fee to be considered or placed on the final list. 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.

812023 InvestmentNews – Best Places To Works:
Weatherly Asset Management, L.P. was listed as a winner for the 2023 InvestmentNews Best Places to Work award. InvestmentNews recognized standout employers in the financial advice industry in the United States. There were 75 winners overall, and the list was segmented by employer size categories: 1) Small Employer Category (15-29 US Employees); 2) Medium Employer Category (30-49 US Employees); and 3) Large Employer Category (50+ US Employees). Of the 35 employers in the Small Employer Category, Weatherly was ranked 31. Not all nominees were named winners. To qualify as one of InvestmentNews’ Best Places to Work for Financial Advisors, an advice firm must be a registered investment adviser (RIA), affiliated with (but not an employee of) an independent broker dealer (IBD), or a hybrid/dually-registered firm affiliated with an IBD and doing business through an RIA, be based in the US, have at least 15 employees, and have been in business for one year. InvestmentNews solicited nominations via email invitation. Participating organizations completed a two-part process to be considered for inclusion on the list. Part 1 consisted of an employer assessment and was worth approximately 25% of the total evaluation. Part 2 consisted of an employee feedback survey and was worth approximately 75% of the total evaluation. Surveys were conducted online. Both the employer and employee data sets are combined to determine the best workplaces. Best Companies Group (BCG) manages the overall registration and survey process and also analyzes the data and uses their expertise to determine the final rankings. Weatherly was not required to make payments or purchases to nominate, be nominated, be considered, or included on the list related to the award. No organizational memberships were required of the Firm or individuals. Weatherly paid Pars International Corp. (the official logo licensing agent for InvestmentNews) for a wood plaque. 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.

802023 Forbes Top Women Wealth Advisors Best-In-State:
Carolyn Taylor was named in the Shook Research’s 2023 Top Women Wealth Advisors Best-In-State list. She was invited to complete an online survey detailing information about her career, as well as Weatherly as a firm. Carolyn was named 15th out of 124 advisors in Southern California. The list was published on February 2nd, 2023 on Forbes.com. Weatherly’s discretionary AUM as of 12/31/22, as disclosed in form ADV1 (https://www.weatherlyassetmgt.com/adv/), is $1,004,920,165. The 2023 Top Women Wealth Advisors Best-In-State ranking is based on Weatherly’s discretionary AUM as of 9/30/22, which was $957 Million. The Forbes ranking of Top Women Wealth Advisors Best-In-State, developed by SHOOK Research, is based on an algorithm of: qualitative data, such as telephone and in-person interviews, a review of best practices, service and investing models, and compliance records; as well as quantitative data, like revenue trends and assets under management. All advisors have a minimum of seven years’ experience. Portfolio performance is not a criteria due to varying client objectives and lack of audited data. Neither Forbes nor SHOOK receive a fee in exchange for rankings. In total, 38,314 nominations were received, and 22,106 advisors were invited to complete the online survey. Throughout the research process, 17,143 telephone interviews, 3,453 in-person interviews, and 1,361 web-based interviews were conducted. The ranking listed 124 advisors in Southern California, and Carolyn was ranked 15th. Basic Requirements to be considered for the “Forbes Top Women Wealth Advisors Best-In-State” included: 1) 7 years as an advisor; 2) minimum 1 year at current firm 3) advisor must be recommended, and nominated, by Firm, 4) completion of online survey; 5) over 50% of revenue/production must be with individuals; and 6) an acceptable compliance record. In addition to the above basic requirements, advisors were also judged on the following quantitative figures: 1) revenue/production; weightings assigned for each; 2) assets under management—and quality of those assets—both custodied and a scrutinized look at assets held away (although individual numbers are used for ranking purposes, the ranking publishes the entire team’s assets); 3) client-related data (i.e. retention.) NOTE: Portfolio performance was not considered – audited returns among advisors are rare, and differing client objectives provide varying returns. Qualitative considerations examined included but were not limited to: 1) telephone and in-person meetings with advisors; 2) compliance records and U4s; 3) advisors that provide a full client experience (factors examined include service model, investing processes, fee structure (higher % of fee-based assets earns more points,) and breadth of services, including extensive use of Firm’s platform and resources; 4) credentials (years of service can serve as proxy); 5) use of team & team dynamics; 6) community involvement; 7) discussions with management, peers, competing peers, and 8)telephone and in-person meetings. Compliance records and U4s were also reviewed in detail as part of the selection process including: 1) infractions denied or closed with no action; 2) complaints that arose from a product, service or advice initiated by a previous advisor or another member or former member of team; 3) length of time since complaint; 4)complaints related to product failure not related to investment advice; 5) complaints that have been settled to appease a client who remained with the advisor for at least one year following settlement date; 6) complaints that were proven to be meritless; and 7) actions taken as a result of administrative error or failure by firm. Weatherly Asset Management did not pay any fees to SHOOK to be nominated or included in the “Forbes Top Women Wealth Advisors Best-In-State” list and Weatherly was not required to advertise in, or subscribe to, Forbes. As of the time of this disclosure, Weatherly did not elect to pay for reprints of the list. Inclusion in this ranking 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. SHOOK Disclosures: SHOOK is completely independent and objective and does not receive compensation from the advisors, Firms, the media, or any other source in exchange for placement on a ranking. SHOOK is funded through conferences, publications and research partners. Since every investor has unique needs, investors must carefully choose the right Advisor for their own situation and perform their own due diligence. Rankings are based on the opinions of SHOOK Research, LLC and not indicative of future performance or representative of any one client’s experience; the firm’s research and rankings provide opinions for how to choose the right financial advisor. Portfolio performance is not a criterion due to varying client objectives and lack of audited data. Remember, past performance is not an indication of future results. For more information and complete details on methodology, go to www.shookresearch.com. Data provided by SHOOK® Research, LLC — Data as of 9/30/22.

792023 RIA Edge 100:
Weatherly Asset Management was named on WealthManagement.com’s RIA Edge 100 list. The list was published on February 6th, 2023 on WealthManagement.com. The 2023 RIA Edge 100 list reflects Weatherly’s discretionary AUM as of 09/30/2021, which was $1,140,527,688 and total number of clients as of 12/31/2021, which was 372 clients. The list was developed by the Wealth Management IQ team in partnership with Discovery Data. Analyzing the ADVs of all SEC-registered investment advisors, Wealth Management IQ and Discovery looked at AUM growth, ratio of employees to clients, ratio of advisors to clients, percentage of advisors with CFP certification and average client account size. Qualifying firms were limited to those that provide financial planning services, have high-net-worth individuals as more than half of their client base and manage at least $250 million in assets as of June 30, 2022. Weatherly did not apply for consideration or inclusion in the list. There was no fee to participate in the list, and Weatherly was not required to advertise in, or subscribe to, WealthManagement.com. 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 or the appropriateness of advertising inclusion in this list.

782022 Business Woman of the Year Finalist – San Diego Business Journal
Carolyn Taylor, Kelli Burger, Lindsey Fiske-Thompson, and Brooke Boone Kelly were listed as finalists for the 2022 San Diego Business Journal Business Woman of the Year award. Each year, the San Diego Business Journal (“Journal”) recognizes dynamic women business leaders who have contributed significantly to San Diego’s workplaces and communities. For the 2022 program, Carolyn, Kelli, Lindsey, and Brooke were listed among 135 finalists. Not all nominees were finalists. The San Diego Business Journal solicited nominations via email invitation to their mailing lists and via the paper journal circulation. Members of the Weatherly team nominated included Carolyn Taylor, Kelli Ruby, Lindsey Fiske-Thompson, and Brooke Boone Kelly. Nominees and finalists were as to provide contact information for professional references, and were evaluated based on their business accomplishments and community involvement. Weatherly supplied the information for the nominations by completing the Journal’s questionnaire. Weatherly was not required to make payments or purchases to nominate, be nominated, be considered or included on the list related to 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.

772022 San Diego 500-The Most Influential People in San Diego – San Diego Business Journal
Kelli Burger was included in the 2022 San Diego 500, an annual publication listing 500 influential business leaders published by the San Diego Business Journal. Kelli’s profile includes her established career in the wealth management industry, and her well-rounded engagement with the San Diego Community. The 2022 San Diego 500 is comprised of 11 main categories: 1) Associations, 2) Nonprofits, 3) Education, 4) Finance, 5) Health & Life Science, 6) Other Industries, 7) Lifestyle, 8) Professional Services, 9) Real Estate, 10) Technology, and 11) Icons. Members of the SD 500 are selected by SDBJ’s newsroom on editorial merit alone, thus representing the most influential and accomplished business leaders in the market. 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. Kelli was one of 68 professionals included in the Finance subcategory. Weatherly did not apply for consideration or inclusion in the list. 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. 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.

762022 – Forbes Best-in-State Wealth Advisors – Shook Research
Carolyn Taylor was nominated for Shook Research’s 2022 Best-in-State Wealth Advisors list. She was invited to complete an online survey detailing information about her career, as well as Weatherly as a firm. Carolyn was named 43st out of the 113 named from Southern California. In total, the list showcased over 6,500 wealth managers. The list was published on April 7th, 2022 on Forbes.com. The 2022 Best-In-State ranking is based on firms’ AUM as of 06/30/21 and reflects Weatherly’s AUM of $1,105,922,145. The 2022 Forbes ranking of Best-In-State Wealth Advisors, developed by SHOOK Research, is based on an algorithm of qualitative criteria, mostly gained through telephone and in-person due diligence interviews, and quantitative data. The ranking algorithm is designed to fairly compare the business practices of a large group of advisors based on quantitative and qualitative elements. Data are weighted to ensure priorities are given to dynamics such as preferred “best practices”, business models, recent business activity, etc. Each variable is graded and represents a certain value for each measured component. These data are fed into an algorithm that measures thousands of advisors against each other. The algorithm weighted factors including revenue trends, assets under management, compliance records, industry experience and those advisors that encompass best practices in their practices and approach to working with clients. Portfolio performance is not a criteria due to varying client objectives and lack of audited data. Neither Forbes nor SHOOK receive a fee in exchange for rankings. In total, 34,925 nominations were received and 19,640 advisors were invited to complete the online survey. Throughout the research process, 14,476 telephone interviews, 2,657 in-person interviews, and 1,311 Web-based interviews were conducted. The ranking listed over 6,500 advisors, 113 of which were located in Southern California. Basic Requirements to be considered for the “Forbes Best-in-State Wealth Advisors” included:1) 7 years as an advisor; 2) minimum 1 year at current firm 3)advisor must be recommended, and nominated, by Firm, 4) completion of online survey; 5) over 50% of revenue/production must be with individuals; and 6) an acceptable compliance record. In addition to the above basic requirements, advisors were also judged on the following quantitative figures: 1) revenue/production; weightings assigned for each; 2)assets under management—and quality of those assets—both custodied and a scrutinized look at assets held away (although individual numbers are used for ranking purposes, the ranking publishes the entire team’s assets); 3)client-related data (i.e.retention.) NOTE: Portfolio performance was not considered – audited returns among advisors are rare, and differing client objectives provide varying returns. Qualitative considerations examined included but were not limited to: 1) telephone and in-person meetings with advisors; 2) advisors exhibiting “best practices” within their practices and approach to working with clients and 3)advisors that provide a full client experience (factors examined include service model, investing processes, fee structure (higher % of fee-based assets earns more points,) and breadth of services, including extensive use of Firm’s platform and resources; 4)credentials (years of service can serve as proxy); 5) use of team & team dynamics; 6) community involvement; 7)discussions with management, peers, competing peers, and 8)telephone and in-person meetings. Compliance records and U4s were also reviewed in detail as part of the selection process including: 1) infractions denied or closed with no action; 2) complaints that arose from a product, service or advice initiated by a previous advisor or another member or former member of team; 3) length of time since complaint; 4)complaints related to product failure not related to investment advice; 5) complaints that have been settled to appease a client who remained with the advisor for at least one year following settlement date; 6)complaints that were proven to be meritless; and 6) actions taken as a result of administrative error or failure by firm. Weatherly Asset Management did not pay any fees to SHOOK to be nominated or included in the “Forbes Best-In- State Wealth Advisors” list and Weatherly was not required to advertise in, or subscribe to, Forbes. As of the time of this disclosure, Weatherly did not elect to pay for reprints of the list. Inclusion in this ranking 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.

752022 – San Diego Business Journal – Best Places to Work
Weatherly Asset Management, L.P. was listed as a finalist for the 2022 San Diego Business Journal Best Places to Work award. The San Diego Business Journal (“Journal”) recognized outstanding companies whose benefits, policies and practices are among the best in the region. There were 100 winners overall, and the list was segmented by employer size categories: 1) Small Employer Category (15-49 US Employees); 2) Medium Employer Category (50-249 US Employees); 3) Large Employer Category (250-1,999 US Employees); and 4) Mega Employer Category (2,000 or more US Employees). Of the 30 employers in the Small Employer Category, Weatherly was ranked 11. Not all nominees were named winners. The San Diego Business Journal solicited nominations via email invitation to their mailing lists and via the paper journal circulation. The submission process included a two-part survey to get a thorough assessment of each employer. Part 1 consisted of an employer assessment and part 2 consisted of an employee feedback survey. Surveys were conducted online. Both the employer and employee data sets are combined to determine the best workplaces. Weatherly was not required to make payments or purchases to nominate, be nominated, be considered, or included on the list related to 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.

742022 – San Diego Business Journal – 40 Business Leaders Under 40
Kelli Burger was listed as an honoree for the 2022 San Diego Business Journal 40 Business Leaders under 40 award. The San Diego Business Journal (“Journal”) recognized 40 dynamic business leaders under 40 who have contributed significantly to San Diego’s workplaces and communities. The San Diego Business Journal solicited nominations via email invitation to their mailing lists and via the paper journal circulation. Members of the Weatherly team nominated Kelli Burger. Not all nominees were named honorees. Nominees and honorees were asked to provide a profile on the nominee’s specific career and accomplishments. Weatherly supplied the information for the nomination by completing the Journal’s questionnaire. Weatherly was not required to make payments or purchases to nominate, be nominated, be considered, or included on the list related to 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.

732022 Financial Advisor Magazine 2022 RIA Ranking – August, 2022:
Weatherly Asset Management, L.P. was included in the Financial Advisor’s Magazine 2022 RIA Survey and Ranking List. This list is the publication’s 16th annual ranking of independent advisory firms. The list and article are available to view in the print version of the July 2022 issue. The ranking was based on 2021 year end discretionary and non-discretionary AUM reported on ADV. To be eligible for the ranking, firms must be independent registered investment advisors and file their own ADV statement with the SEC, and provide financial planning and related services to individual clients. Firms must have at least $50 million in assets under management as of December 31, 2021. Corporate RIA firms and investment advisor representatives (IARs) were not eligible for this survey. The list was segmented by asset categories: 1) $1 billion and over; 2) $500 million to <$1billion; 3) $250 million to <$500 million; 4) $150 million to <$250 million; and 5) $50 million to <$150 million. Within each of the asset category segments, firms were ranked by 2021 year end discretionary and non-discretionary AUM. The comprehensive list consisted of 534 firms. Weatherly was ranked 297 overall. Weatherly received an email invitation to participate in FA’s annual nation-wide RIA ranking survey. Weatherly completed the survey, which in addition to AUM, focused on services offered by the firm; service fee structure; anticipated changes to the business in the next 5 years; staffing and recruiting; operations and strategy. The survey review included information provided by Weatherly, as well as public data available through the firm’s ADV filing. No payment was required for participating in the survey. At the time of disclosure, Weatherly did not elect to pay for electronic use of hard copy reprints hard copy 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.

722022-Barron’s Top 100 Women Financial Advisors, July 2022:
Carolyn Taylor was included in Barron’s 2022 Top 100 Women Financial Advisors list. The criteria for ranking reflects assets under management as of 03/31/2022, 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 was ranked 43rd. Carolyn Taylor was invited to participate in the nomination process via email solicitation from Barron’s, and nominated by colleagues for inclusion in the list. There were 1043 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. Weatherly paid Dow Jones & Company for custom hard copy reprints and digital access. 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.

712022-San Diego Business Journal – 50 Women of Influence over 50 – June, 2022:
Carolyn Taylor was listed as an honoree for the 2022 San Diego Business Journal 50 Women of Influence Over 50 award. The San Diego Business Journal (“Journal”) recognized 50 dynamic women business leaders over 50 who have contributed significantly to San Diego’s workplaces and communities. The San Diego Business Journal solicited nominations via email invitation to their mailing lists and via the paper journal circulation. Members of the Weatherly team nominated Carolyn Taylor. Not all nominees were named honorees. Nominees and honorees were asked to provide a profile on the nominee’s specific career and accomplishments. Weatherly supplied the information for the nomination by completing the Journal’s questionnaire. Weatherly was not required to make payments or purchases to nominate, be nominated, be considered, or included on the list related to 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.

702022 Barron’s 2022 Top 1200 Advisors – March, 2022:
Carolyn Taylor was included in Barron’s 2022 Top 1200 Advisor Rankings by State list. The full list can be viewed on Barron’s website. The criteria for ranking reflects assets under management as of 09/30/2021, revenue that the advisors generate for their Firms, regulatory record, quality of the advisor’s practices, and philanthropic work. 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. Survey data was submitted by around 6,000 advisors, but only 1200 were published in the ranking. 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. The Top 1,200 are drawn from all 50 states, plus the District of Columbia. This ranking is the largest and most comprehensive of the annual Barron’s advisor listings. It includes a cross section of private-wealth advisors, from independents who own and operate their own practices to advisors from the large Wall Street firms. This special report lists the top advisors in each state, with the number of ranking spots determined by each state’s population and wealth. Carolyn Taylor ranked 78th in the state of California. No payment was required for nomination or inclusion in the ranking. After receiving notice of inclusion in the top 1200 list, Weatherly plans to pay Dow Jones Reprints and Licensing for custom hard copy reprints and digital access. Wealth Managers do not pay a fee to be considered or placed on the final list. 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.

692022 Forbes Top Women Wealth Advisors Best-In-State – March, 2022:
Carolyn Taylor was named one of Shook Research’s 2022 Top Women Wealth Advisors Best-In-State list. She was invited to complete an online survey detailing information about her career, as well as Weatherly as a firm. Carolyn was named 32nd out of 79 advisors in Southern California. The list was published on February 4th, 2022 on Forbes.com The 2022 Top Women Wealth Advisors Best-In-State ranking is based on firms’ AUM as of 9/30/21 and reflects Weatherly’s discretionary AUM of $1.1 Billion. The Forbes ranking of Top Women Wealth Advisors Best-In-State, developed by SHOOK Research, is based on an algorithm of: qualitative data, such as telephone and in-person interviews, a review of best practices, service and investing models, and compliance records; as well as quantitative data, like revenue trends and assets under management. All advisors have a minimum of seven years’ experience. Portfolio performance is not a criteria due to varying client objectives and lack of audited data. Neither Forbes nor SHOOK receive a fee in exchange for rankings. In total, 34,500 nominations were received and 18,465 advisors were invited to complete the online survey. Throughout the research process, 13,549 telephone interviews, 2,610 in-person interviews, and 1203 web-based interviews were conducted. The ranking listed 79 advisors in California, and Carolyn was ranked 32nd. Basic Requirements to be considered for the “Forbes Top Women Wealth Advisors Best-In-State” included: 1) 7 years as an advisor; 2) minimum 1 year at current firm 3) advisor must be recommended, and nominated, by Firm, 4) completion of online survey; 5) over 50% of revenue/production must be with individuals; and 6) an acceptable compliance record. In addition to the above basic requirements, advisors were also judged on the following quantitative figures: 1) revenue/production; weightings assigned for each; 2) assets under management—and quality of those assets—both custodied and a scrutinized look at assets held away (although individual numbers are used for ranking purposes, the ranking publishes the entire team’s assets); 3) client-related data (i.e.retention.) NOTE: Portfolio performance was not considered – audited returns among advisors are rare, and differing client objectives provide varying returns. Qualitative considerations examined included but were not limited to: 1) telephone and in-person meetings with advisors; 2) compliance records and U4s; 3) advisors that provide a full client experience (factors examined include service model, investing processes, fee structure (higher % of fee-based assets earns more points,) and breadth of services, including extensive use of Firm’s platform and resources; 4) credentials (years of service can serve as proxy); 5) use of team & team dynamics; 6) community involvement; 7) discussions with management, peers, competing peers, and 8)telephone and in-person meetings. Compliance records and U4s were also reviewed in detail as part of the selection process including: 1) infractions denied or closed with no action; 2) complaints that arose from a product, service or advice initiated by a previous advisor or another member or former member of team; 3) length of time since complaint; 4)complaints related to product failure not related to investment advice; 5) complaints that have been settled to appease a client who remained with the advisor for at least one year following settlement date; 6) complaints that were proven to be meritless; and 7) actions taken as a result of administrative error or failure by firm. Weatherly Asset Management did not pay any fees to SHOOK to be nominated or included in the “Forbes Top Women Wealth Advisors Best-In-State” list and Weatherly was not required to advertise in, or subscribe to, Forbes. As of the time of this disclosure, Weatherly did not elect to pay for reprints of the list. Inclusion in this ranking 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. SHOOK Disclosures: SHOOK is completely independent and objective and does not receive compensation from the advisors, Firms, the media, or any other source in exchange for placement on a ranking. SHOOK is funded through conferences, publications and research partners. Since every investor has unique needs, investors must carefully choose the right Advisor for their own situation and perform their own due diligence. SHOOK’s research and rankings provide opinions for how to choose the right Financial Advisor.

682022 Five Star Wealth Managers – February, 2022:
In September 2021, Five Star Professional completed an interview process to determine 2022 Five Star Wealth Managers. Several of Weatherly’s team, including Carolyn Taylor, Brent Armstrong, Kelli Ruby, and Ryan Richardson all received this inclusion to participate. Upon completion, all four advisors were named 2022 Five Star Wealth Managers. 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 licensed as a registered investment adviser or as a principal of a registered investment adviser firm 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 settled or pending complaints filed against them and/or a total of five settled, pending, dismissed or denied complaints 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; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. 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 and each advisor participated in a phone interview to confirm personal information. 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 purchased additional profile ad space in the Wall Street Journal and digital and hard-copy reprints. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. 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 this publication. 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. For more information on the Five Star award and the research/selection methodology, go to www.fivestarprofessional.com. In total, 2,084 San Diego-area wealth managers were considered for the award; 223 (11% of candidates) were named 2022 Five Star Wealth Managers. 2021: 6,123 considered, 459 winners; 2020: 2,018 considered, 231 winners; 2019: 1,885 considered, 224 winners; 2018: 1,498 considered, 228 winners; 2017: 1,349 considered, 349 winners; 2016: 1,337 considered, 349 winners; 2015: 1,639 considered, 350 winners; 2014: 1,838 considered, 368 winners; 2013: 1,675 considered, 417 winners; 2012: 1,014 considered, 284 winners. Five Star Professional conducts a review of each award candidate as reported by FINRA and the SEC. For wealth managers with a CRD Number, Five Star Professional relies on the wealth manager’s FINRA BrokerCheck Report and/or the SEC Investment Adviser Public Disclosure website. For wealth managers without a CRD Number, Five Star Professional relies on Form ADV for the wealth manager’s firm. Additionally, Five Star Professional promotes, via local advertising and through their website, the opportunity to submit feedback — including whether a consumer had an unsatisfactory experience — regarding a wealth manager. Complaint data submitted in this way serves as an early alert system to unfiled consumer complaints and augments the regulatory review of reported complaints. 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.

672021 Woman of the Year/Celebrating Women – San Diego Magazine – November, 2021:
Carolyn Taylor, Kelli Ruby, Lindsey Fiske-Thompson, and Brooke Boone were listed as finalists for the 2021 San Diego Magazine’s 2021 Celebrating Women award series, including “Woman of the Year.” Each year, the San Diego Magazine (“Magazine”) recognizes dynamic women business leaders who have contributed significantly to San Diego’s workplaces and communities. For the 2021 program, Carolyn, Kelli, Lindsey, and Brooke were listed as finalists! Not all nominees were finalists. The San Diego Magazine solicited nominations via email in the form of an online survey. Members of the Weatherly team nominated Carolyn Taylor, Kelli Ruby, Lindsey Fiske-Thompson, and Brooke Boone. Nominees and finalists were evaluated based on their business accomplishments and community involvement. Weatherly supplied the information for the nominations by completing the Magazine’s questionnaire. Weatherly was not required to make payments or purchases to nominate, be nominated, be considered or included on the list related to 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.

662021- San Diego Business Journal – 50 Influential Women over 50:
Carolyn Taylor was listed as an honoree for the 2021 San Diego Business Journal 50 Influential Women Over 50 award. The San Diego Business Journal (“Journal”) recognized 50 dynamic women business leaders over 50 who have contributed significantly to San Diego’s workplaces and communities. The San Diego Business Journal solicited nominations via email invitation to their mailing lists and via the paper journal circulation. Members of the Weatherly team nominated Carolyn Taylor. Not all nominees were named honorees. Nominees and honorees were asked to provide a profile on the nominee’s specific career and accomplishments. Weatherly supplied the information for the nomination by completing the Journal’s questionnaire. Weatherly was not required to make payments or purchases to nominate, be nominated, be considered, or included on the list related to the award. After receiving notice of the award, Weatherly paid the Journal for a quarter page congrats ad that was featured on the list. 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.

652021- Financial Advisor Magazine 2021 RIA Ranking:
Weatherly Asset Management, L.P. was included in the Financial Advisor’s Magazine 2021 RIA Survey and Ranking List. This list is the publication’s 15th annual ranking of independent advisory firms. The list and article are available to view in the print version of the August 2021 issue. The ranking was based on 2020 year end discretionary and non-discretionary AUM reported on ADV. To be eligible for the ranking, firms must be independent registered investment advisors and file their own ADV statement with the SEC, and provide financial planning and related services to individual clients. Firms must have at least $50 million in assets under management as of December 31, 2020. Corporate RIA firms and investment advisor representatives (IARs) were not eligible for this survey. The list was segmented by asset categories: 1) $1 billion and over; 2) $500 million to <$1billion; 3) $250 million to <$500 million; 4) $150 million to <$250 million; and 5) $50 million to <$150 million. Within each of the asset category segments, firms were ranked by 2020 year end discretionary and non-discretionary AUM. The comprehensive list consisted of 607 firms. Weatherly was ranked 320 overall. Weatherly received an email invitation to participate in FA’s annual nation-wide RIA ranking survey. Weatherly completed the survey, which in addition to AUM, focused on services offered by the firm; service fee structure; anticipated changes to the business in the next 5 years; staffing and recruiting; operations and strategy. The survey review included information provided by Weatherly, as well as public data available through the firm’s ADV filing. No payment was required for participating in the survey. After receiving notice of inclusion in the list and list publication, Weatherly elected to pay for electronic use of hard copy reprints hard copy 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.

642021- – Barron’s Top 100 Women Financial Advisors – June 2021:
Carolyn Taylor was included in Barron’s June 2021 Top 100 Women Financial Advisors list. The criteria for ranking reflects assets under management as of 12/31/2020, 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 was ranked 59th. Carolyn Taylor was invited to participate in the nomination process via email solicitation from Barron’s, and nominated by colleagues 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. Weatherly plans to pay Dow Jones & Company for custom hard copy reprints and digital access. 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.

632021- – Forbes America’s Top Women Wealth Advisors – Shook Research – March 2021:
Carolyn Taylor was nominated for Shook Research’s 2021 Top Women Wealth Advisors list. She was invited to complete an online survey detailing information about her career, as well as Weatherly as a firm. Carolyn was named 396th out of 1,000 advisors in total. The list was published on March 24th, 2021 on Forbes.com. The 2021 Top Women Wealth Advisors ranking is based on firms’ AUM as of 9/30/20 and reflects Weatherly’s discretionary AUM of $927 Million. The Forbes ranking of America’s Top Women Wealth Advisors, developed by SHOOK Research, is based on an algorithm of: qualitative data, such as telephone and in-person interviews, a review of best practices, service and investing models, and compliance records; as well as quantitative data, like revenue trends and assets under management. All advisors have a minimum of seven years’ experience. Portfolio performance is not a criteria due to varying client objectives and lack of audited data. Neither Forbes nor SHOOK receive a fee in exchange for rankings. In total, 32,810 nominations were received and 16,165 advisors were invited to complete the online survey. Throughout the research process, 13,235 telephone interviews, 2,595 in-person interviews, and 692 web-based interviews were conducted. The ranking listed 1,000 advisors, and Carolyn was ranked 396th. Basic Requirements to be considered for the “Forbes Top Women Wealth Advisors” included: 1) 7 years as an advisor; 2) minimum 1 year at current firm 3) advisor must be recommended, and nominated, by Firm, 4) completion of online survey; 5) over 50% of revenue/production must be with individuals; and 6) an acceptable compliance record. In addition to the above basic requirements, advisors were also judged on the following quantitative figures: 1) revenue/production; weightings assigned for each; 2) assets under management—and quality of those assets—both custodied and a scrutinized look at assets held away (although individual numbers are used for ranking purposes, the ranking publishes the entire team’s assets); 3) client-related data (i.e.retention.) NOTE: Portfolio performance was not considered – audited returns among advisors are rare, and differing client objectives provide varying returns. Qualitative considerations examined included but were not limited to: 1) telephone and in-person meetings with advisors; 2) compliance records and U4s; 3) advisors that provide a full client experience (factors examined include service model, investing processes, fee structure (higher % of fee-based assets earns more points,) and breadth of services, including extensive use of Firm’s platform and resources; 4) credentials (years of service can serve as proxy); 5) use of team & team dynamics; 6) community involvement; 7) discussions with management, peers, competing peers, and 8)telephone and in-person meetings. Compliance records and U4s were also reviewed in detail as part of the selection process including: 1) infractions denied or closed with no action; 2) complaints that arose from a product, service or advice initiated by a previous advisor or another member or former member of team; 3) length of time since complaint; 4)complaints related to product failure not related to investment advice; 5) complaints that have been settled to appease a client who remained with the advisor for at least one year following settlement date; 6) complaints that were proven to be meritless; and 7) actions taken as a result of administrative error or failure by firm. Weatherly Asset Management did not pay any fees to SHOOK to be nominated or included in the “Forbes Top Women Wealth Advisors” list and Weatherly was not required to advertise in, or subscribe to, Forbes. As of the time of this disclosure, Weatherly did not elect to pay for reprints of the list. Inclusion in this ranking 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. SHOOK Disclosures: SHOOK is completely independent and objective and does not receive compensation from the advisors, Firms, the media, or any other source in exchange for placement on a ranking. SHOOK is funded through conferences, publications and research partners. Since every investor has unique needs, investors must carefully choose the right Advisor for their own situation and perform their own due diligence. SHOOK’s research and rankings provide opinions for how to choose the right Financial Advisor.

622021- Barron’s 2021 Top 1200 Advisors- March 2021:
Carolyn Taylor was included in Barron’s 2021 Top 1200 Advisor Rankings by State list. The full list can be viewed on Barron’s website. The criteria for ranking reflects assets under management as of 09/30/2020, revenue that the advisors generate for their Firms, regulatory record, quality of the advisor’s practices, and philanthropic work. 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. Survey data was submitted by over 4000 advisors, but only 1200 were published in the ranking. 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. The Top 1,200 are drawn from all 50 states, plus the District of Columbia. This ranking is the largest and most comprehensive of the annual Barron’s advisor listings. It includes a cross section of private-wealth advisors, from independents who own and operate their own practices to advisors from the large Wall Street firms. This special report lists the top advisors in each state, with the number of ranking spots determined by each state’s population and wealth. Carolyn Taylor ranked 87th in the state of California. No payment was required for nomination or inclusion in the ranking. After receiving notice of inclusion in the top 1200 list, Weatherly plans to pay Dow Jones Reprints and Licensing for custom hard copy reprints and digital access. Wealth Managers do not pay a fee to be considered or placed on the final list. 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.

612020- Five Star Wealth Managers – February 2021:
In September 2020, Five Star Professional completed an interview process to determine 2021 Five Star Wealth Managers. Several of Weatherly’s team, including Carolyn Taylor, Brent Armstrong, Kelli Ruby, and Ryan Richardson all received this inclusion to participate. Upon completion, all four advisors were named 2021 Five Star Wealth Managers. 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 licensed as a registered investment adviser or as a principal of a registered investment adviser firm 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 settled or pending complaints filed against them and/or a total of five settled, pending, dismissed or denied complaints 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; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. 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 and each advisor participated in a phone interview to confirm personal information. 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 purchased additional profile ad space in the Wall Street Journal and digital and hard-copy reprints. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. 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 this publication. 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. For more information on the Five Star award and the research/selection methodology, go to fivestarprofessional.com. 2,218 San Diego-area wealth managers were considered for the award; 231 (10% of candidates) were named 2021 Five Star Wealth Managers. 2020: 2,018 considered, 219 winners; 2019: 1,885 considered, 224 winners; 2018: 1,498 considered, 228 winners; 2017: 1,349 considered, 349 winners; 2016: 1,337 considered, 349 winners; 2015: 1,639 considered, 350 winners; 2014: 1,838 considered, 368 winners; 2013: 1,675 considered, 417 winners; 2012: 1,014 considered, 284 winners. Five Star Professional conducts a review of each award candidate as reported by FINRA and the SEC. For wealth managers with a CRD Number, Five Star Professional relies on the wealth manager’s FINRA BrokerCheck Report and/or the SEC Investment Adviser Public Disclosure website. For wealth managers without a CRD Number, Five Star Professional relies on Form ADV for the wealth manager’s firm. Additionally, Five Star Professional promotes, via local advertising and through their website, the opportunity to submit feedback — including whether a consumer had an unsatisfactory experience — regarding a wealth manager. Complaint data submitted in this way serves as an early alert system to unfiled consumer complaints and augments the regulatory review of reported complaints. 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.

602021- Forbes Best-in-State Wealth Advisors – February 2021:
Carolyn Taylor was nominated for Shook Research’s 2021 Best-in-State Wealth Advisors list. She was invited to complete an online survey detailing information about her career, as well as Weatherly as a firm. Carolyn was named 41st out of the 79 named from Southern California. In total, the list showcased over 5,000 wealth managers. The list was published on February 11th, 2021 on Forbes.com. The 2021 Best-In-State ranking is based on firms’ AUM as of 6/30/20 and reflects Weatherly’s AUM of $902,402,386. The 2021 Forbes ranking of Best-In-State Wealth Advisors, developed by SHOOK Research, is based on an algorithm of qualitative criteria, mostly gained through telephone and in-person due diligence interviews, and quantitative data. The ranking algorithm is designed to fairly compare the business practices of a large group of advisors based on quantitative and qualitative elements. Data are weighted to ensure priorities are given to dynamics such as preferred “best practices”, business models, recent business activity, etc. Each variable is graded and represents a certain value for each measured component. These data are fed into an algorithm that measures thousands of advisors against each other. The algorithm weighted factors including revenue trends, assets under management, compliance records, industry experience and those advisors that encompass best practices in their practices and approach to working with clients. Portfolio performance is not a criteria due to varying client objectives and lack of audited data. Neither Forbes nor SHOOK receive a fee in exchange for rankings. In total, 32,725 nominations were received and 15,854 advisors were invited to complete the online survey. Throughout the research process, 13,114 telephone interviews, 2,085 in-person interviews, and 619 Web-based interviews were conducted. The ranking listed over 5,000 advisors, 79 of which were located in Southern California. Basic Requirements to be considered for the “Forbes Best-in-State Wealth Advisors” included:1) 7 years as an advisor; 2) minimum 1 year at current firm 3) advisor must be recommended, and nominated, by Firm, 4) completion of online survey; 5) over 50% of revenue/production must be with individuals; and 6) an acceptable compliance record. In addition to the above basic requirements, advisors were also judged on the following quantitative figures: 1) revenue/production; weightings assigned for each; 2) assets under management—and quality of those assets—both custodied and a scrutinized look at assets held away (although individual numbers are used for ranking purposes, the ranking publishes the entire team’s assets); 3)client-related data (i.e.retention.) NOTE: Portfolio performance was not considered – audited returns among advisors are rare, and differing client objectives provide varying returns. Qualitative considerations examined included but were not limited to: 1) telephone and in-person meetings with advisors; 2) advisors exhibiting “best practices” within their practices and approach to working with clients and 3)advisors that provide a full client experience (factors examined include service model, investing processes, fee structure (higher % of fee-based assets earns more points,) and breadth of services, including extensive use of Firm’s platform and resources; 4)credentials (years of service can serve as proxy); 5) use of team & team dynamics; 6) community involvement; 7)discussions with management, peers, competing peers, and 8)telephone and in-person meetings. Compliance records and U4s were also reviewed in detail as part of the selection process including: 1) infractions denied or closed with no action; 2) complaints that arose from a product, service or advice initiated by a previous advisor or another member or former member of team; 3) length of time since complaint; 4)complaints related to product failure not related to investment advice; 5) complaints that have been settled to appease a client who remained with the advisor for at least one year following settlement date; 6) complaints that were proven to be meritless; and 7) actions taken as a result of administrative error or failure by firm. Weatherly Asset Management did not pay any fees to SHOOK to be nominated or included in the “Forbes Best-In- State Wealth Advisors” list and Weatherly was not required to advertise in, or subscribe to, Forbes. As of the time of this disclosure, Weatherly did not elect to pay for reprints of the list. Inclusion in this ranking 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. SHOOK Disclosures: SHOOK is completely independent and objective and does not receive compensation from the advisors, Firms, the media, or any other source in exchange for placement on a ranking. SHOOK is funded through conferences, publications and research partners. Since every investor has unique needs, investors must carefully choose the right Advisor for their own situation and perform their own due diligence. SHOOK’s research and rankings provide opinions for how to choose the right Financial Advisor.

592020- Business Woman of the Year Finalist – San Diego Business Journal – November 2020:
Carolyn Taylor, Kelli Ruby, Lindsey Fiske-Thompson, and Brooke Boone Kelly were listed as finalists for the 2020 San Diego Business Journal Business Woman of the Year award. Each year, the San Diego Business Journal (“Journal”) recognizes dynamic women business leaders who have contributed significantly to San Diego’s workplaces and communities. For the 2020 program, Carolyn, Kelli, Lindsey, and Brooke were listed among 121 finalists! Not all nominees were finalists. The San Diego Business Journal solicited nominations via email invitation to their mailing lists and via the paper journal circulation. Members of the Weatherly team nominated included Carolyn Taylor, Kelli Ruby, Lindsey Fiske-Thompson, and Brooke Boone Kelly. Nominees and finalists were as to provide contact information for professional references, and were evaluated based on their business accomplishments and community involvement. Weatherly supplied the information for the nominations by completing the Journal’s questionnaire. Weatherly was not required to make payments or purchases to nominate, be nominated, be considered or included on the list related to 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.

582020- Financial Advisor Magazine RIA Ranking:
Weatherly Asset Management, L.P. was included in the Financial Advisor’s Magazine of 2020 RIA Survey and Ranking List. This list is the publication’s 14th annual ranking of independent advisory firms. The list and article are available to view in the print version of the August 2020 issue and online at (https://www.fa-mag.com/news/rias-in-the-time-of-pandemic-56993.html?issue=332). The ranking was based on 2019 year end discretionary and non-discretionary AUM reported on ADV. To be eligible for the ranking, firms must be independent registered investment advisors and file their own ADV statement with the SEC, and provide financial planning and related services to individual clients. Firms must have at least $50 million in assets under management as of December 31, 2019. Corporate RIA firms and investment advisor representatives (IARs) were not eligible for this survey. The list was segmented by asset categories: 1) $1 billion and over; 2) $500 million to <$1billion; 3) $300 million to <$500 million; 4) $150 million to <$300 million; 5) $100 million to <$150 million; and 6) <$100 million. Within each of the asset category segments, firms were ranked by 2019 year end discretionary and non-discretionary AUM. Of the 137 firms in the $500 million to <$1 billion category, Weatherly was ranked 28. The comprehensive list consisted of 715 firms. Weatherly was ranked 342 overall. Weatherly received an email invitation to participate in FA’s annual nation-wide RIA ranking survey. Weatherly completed the survey, which in addition to AUM, focused on services offered by the firm; service fee structure; anticipated changes to the business in the next 5 years; staffing and recruiting; operations and strategy. The survey review included information provided by Weatherly, as well as public data available through the firm’s ADV filing. No payment was required for participating in the survey. After receiving notice of inclusion in the list and list publication, Weatherly elected not to pay for electronic use or hard copy 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.

552020- Barron’s Top 100 Women Financial Advisors – July 2020:
Carolyn Taylor was included in Barron’s July 2020 Top 100 Women Financial Advisors list. View the reprint here: https://webreprints.djreprints.com/57512.pdf. The criteria for ranking reflects assets under management as of 03/31/2020, 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 was ranked 63rd. Carolyn Taylor was invited to participate in the nomination process via email solicitation from Barron’s, and nominated by colleagues 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 custom hard copy reprints and digital access. 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.

542020- Financial Times 300 Top Registered Investment Advisors- July 2020:
Weatherly Asset Management, L.P. was included in the 2020 Financial Times 300 Top Registered Investment Advisors list. This list was published online on FT.com, on July 30, 2020. View the reprint here: FT300_PDF_Reprint. The selection process for the Financial Times 300 (“FT 300”) is based on the largest independent Registered Investment Advisors across the United States that meet the following criteria: To qualify as a candidate for the FT 300, an RIA firm must manage at least $300 million in assets under management (as of 12/31/19), have no more than 75% of its practice’s assets be institutional and be independent (it cannot be the RIA arm of a broker-dealer, for example). Financial Times invited roughly 4500 SEC registered RIA companies across the US who reported $300mm or more in AUM to participate in the review process. Some 760 RIAs applied, and 300 made the final list. Qualified RIAs were required to fill out an online application, and were evaluated on several factors including AUM, AUM growth rate, years the firm has been in existence, industry certifications of staff, SEC compliance report, online accessibility and other factors such that the final list should include a diverse range of practice types. AUM comprised roughly 72 per cent of each adviser’s score, while asset growth accounted for an average of 15 percent. Additionally, FT capped the number of companies from any one state. The cap was roughly based on the distribution of millionaires across the US. The research was conducted on behalf of the Financial Times by Ignites Research, a Financial Times sister publication. The 300 firms were listed by state and alphabetically by business name. Weatherly paid Financial Times for custom hard copy reprints and digital access after the list was published. Wealth managers do not pay a fee to be considered or placed on the final list. 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.

532020- Wealth Management Firms List – San Diego Business Journal – May 2020:
San Diego Business Journal included Weatherly Asset Management in the 2020 listing of Wealth Management Firms, published on May 4, 2020. Placed among the best in San Diego County, WAM lands the 16th spot of 42 firms in total. Eligibility requirements to participate included being a registered investment adviser with either the Securities Exchange Commission or the California Department of Corporations. The criteria by which Firms were ranked was based on assets managed in San Diego County for fiscal year 2019.
After receiving an email invitation from the Journal to participate in the list, Weatherly completed a brief online survey. A third-party CPA was required to complete an attestation for total assets managed in 2019 and 2018. The Journal used the CPA attestation to verify Weatherly’s assets under management for FY 2019 and FY 2018. 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. No organizational memberships were required of the Firm or individuals. Inclusion in the ranking is not representative of any one client’s experience and is not indicative of Weatherly’s future performance. Past performance is not necessarily indicative of future results. 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.

522020- Forbes America’s Top Women Wealth Advisors – April 2020:
Carolyn Taylor was nominated for Shook Research’s 2020 Top Women Wealth Advisors list. She was invited to complete an online survey detailing information about her career, as well as Weatherly as a firm. Carolyn was named 325th out of 1,000 advisors in total. The list was published on April 21st, 2020 on Forbes.com. The 2020 Top Women Wealth Advisors ranking is based on firms’ AUM as of 9/30/19 and reflects Weatherly’s discretionary AUM of $808 Million. The Forbes ranking of America’s Top Women Wealth Advisors, developed by SHOOK Research, is based on an algorithm of: qualitative data, such as telephone and in-person interviews, a review of best practices, service and investing models, and compliance records; as well as quantitative data, like revenue trends and assets under management. All advisors have a minimum of seven years’ experience. Portfolio performance is not a criteria due to varying client objectives and lack of audited data. Neither Forbes nor SHOOK receive a fee in exchange for rankings. In total, 32,000 nominations were received and 14,190 advisors were invited to complete the online survey. Throughout the research process, 11,864 telephone interviews and 2,356 in-person interviews were conducted. The ranking listed 1,000 advisors, and Carolyn was ranked 325th. Basic Requirements to be considered for the “Forbes Top Women Wealth Advisors” included: 1) 7 years as an advisor; 2) minimum 1 year at current firm 3) advisor must be recommended, and nominated, by Firm, 4) completion of online survey; 5) over 50% of revenue/production must be with individuals; and 6) an acceptable compliance record. In addition to the above basic requirements, advisors were also judged on the following quantitative figures: 1) revenue/production; weightings assigned for each; 2) assets under management—and quality of those assets—both custodied and a scrutinized look at assets held away (although individual numbers are used for ranking purposes, the ranking publishes the entire team’s assets); 3) client-related data (i.e.retention.) NOTE: Portfolio performance was not considered – audited returns among advisors are rare, and differing client objectives provide varying returns. Qualitative considerations examined included but were not limited to: 1) telephone and in-person meetings with advisors; 2) compliance records and U4s; 3) advisors that provide a full client experience (factors examined include service model, investing processes, fee structure (higher % of fee-based assets earns more points,) and breadth of services, including extensive use of Firm’s platform and resources; 4) credentials (years of service can serve as proxy); 5) use of team & team dynamics; 6) community involvement; 7) discussions with management, peers, competing peers, and 8)telephone and in-person meetings. Compliance records and U4s were also reviewed in detail as part of the selection process including: 1) infractions denied or closed with no action; 2) complaints that arose from a product, service or advice initiated by a previous advisor or another member or former member of team; 3) length of time since complaint; 4)complaints related to product failure not related to investment advice; 5) complaints that have been settled to appease a client who remained with the advisor for at least one year following settlement date; 6) complaints that were proven to be meritless; and 7) actions taken as a result of administrative error or failure by firm. Weatherly Asset Management did not pay any fees to SHOOK to be nominated or included in the “Forbes Top Women Wealth Advisors” list and Weatherly was not required to advertise in, or subscribe to, Forbes. As of the time of this disclosure, Weatherly did not elect to pay for reprints of the list. Inclusion in this ranking 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. SHOOK Disclosures: SHOOK is completely independent and objective and does not receive compensation from the advisors, Firms, the media, or any other source in exchange for placement on a ranking. SHOOK is funded through conferences, publications and research partners. Since every investor has unique needs, investors must carefully choose the right Advisor for their own situation and perform their own due diligence. SHOOK’s research and rankings provide opinions for how to choose the right Financial Advisor.

512020- Five Star Wealth Managers – February 2020:
In September 2019, Five Star Professional completed an interview process to determine 2020 Five Star Wealth Managers. Weatherly’s senior team, including Carolyn Taylor, Brent Armstrong, and Kelli Ruby all received this inclusion to participate. Upon completion, all three advisors were named 2020 Five Star Wealth Managers. 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 registered investment adviser or as a principal of a registered investment adviser firm 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 settled or pending complaints led against them and/or a total of five settled, pending, dismissed or denied complaints 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; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. 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 and each advisor participated in a phone interview to confirm personal information. 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 purchased additional profile ad space in the Wall Street Journal and digital and hard-copy 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. 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. 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 2,018 San Diego wealth managers for the award; 219 (11 percent of candidates) were named 2020 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.

502020- Forbes Best-in-State Wealth Advisors – March 2020:
Carolyn Taylor was nominated for Shook Research’s 2020 Best-in-State Wealth Advisors list. She was invited to complete an online survey detailing information about her career, as well as Weatherly as a firm. Carolyn was named 5th out of the 80 named from Southern California. In total, the list showcased over 4,000 wealth managers. The list was published on January 16th, 2020 on Forbes.com. The 2020 Best-In-State ranking is based on firms’ AUM as of 6/30/19 and reflects Weatherly’s AUM of $863,756,581. After a routine internal audit, Weatherly’s corrected AUM as of 6/30/19 was calculated at $853,915,237. Weatherly disclosed this correction to SHOOK but the deadline for incorporating changes to the published list had past. The 2020 Forbes ranking of Best-In-State Wealth Advisors, developed by SHOOK Research, is based on an algorithm of qualitative criteria, mostly gained through telephone and in-person due diligence interviews, and quantitative data. The ranking algorithm is designed to fairly compare the business practices of a large group of advisors based on quantitative and qualitative elements. Data are weighted to ensure priorities are given to dynamics such as preferred “best practices”, business models, recent business activity, etc. Each variable is graded and represents a certain value for each measured component. These data are fed into an algorithm that measures thousands of advisors against each other. The algorithm weighted factors including revenue trends, assets under management, compliance records, industry experience and those advisors that encompass best practices in their practices and approach to working with clients. Portfolio performance is not a criteria due to varying client objectives and lack of audited data. Neither Forbes nor SHOOK receive a fee in exchange for rankings. In total, 32,000 nominations were received and 7,556 advisors were invited to complete the online survey. Throughout the research process, 11,864 telephone interviews and 2,336 in-person interviews were conducted. The ranking listed over 4,000 advisors, 80 of which were located in Southern California. Basic Requirements to be considered for the “Forbes Best-in-State Wealth Advisors” included:1) 7 years as an advisor; 2) minimum 1 year at current firm 3)advisor must be recommended, and nominated, by Firm, 4) completion of online survey; 5) over 50% of revenue/production must be with individuals; and 6) an acceptable compliance record. In addition to the above basic requirements, advisors were also judged on the following quantitative figures: 1) revenue/production; weightings assigned for each; 2)assets under management—and quality of those assets—both custodied and a scrutinized look at assets held away (although individual numbers are used for ranking purposes, the ranking publishes the entire team’s assets); 3)client-related data (i.e.retention.) NOTE: Portfolio performance was not considered – audited returns among advisors are rare, and differing client objectives provide varying returns. Qualitative considerations examined included but were not limited to: 1) telephone and in-person meetings with advisors; 2) advisors exhibiting “best practices” within their practices and approach to working with clients and 3)advisors that provide a full client experience (factors examined include service model, investing processes, fee structure (higher % of fee-based assets earns more points,) and breadth of services, including extensive use of Firm’s platform and resources; 4)credentials (years of service can serve as proxy); 5) use of team & team dynamics; 6) community involvement; 7)discussions with management, peers, competing peers, and 8)telephone and in-person meetings. Compliance records and U4s were also reviewed in detail as part of the selection process including: 1) infractions denied or closed with no action; 2) complaints that arose from a product, service or advice initiated by a previous advisor or another member or former member of team; 3) length of time since complaint; 4)complaints related to product failure not related to investment advice; 5) complaints that have been settled to appease a client who remained with the advisor for at least one year following settlement date; 6)complaints that were proven to be meritless; and 6) actions taken as a result of administrative error or failure by firm. Weatherly Asset Management did not pay any fees to SHOOK to be nominated or included in the “Forbes Best-In- State Wealth Advisors” list and Weatherly was not required to advertise in, or subscribe to, Forbes. As of the time of this disclosure, Weatherly did not elect to pay for reprints of the list. Inclusion in this ranking 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. SHOOK Disclosures: SHOOK is completely independent and objective and does not receive compensation from the advisors, Firms, the media, or any other source in exchange for placement on a ranking. SHOOK is funded through conferences, publications and research partners. Since every investor has unique needs, investors must carefully choose the right Advisor for their own situation and perform their own due diligence. SHOOK’s research and rankings provide opinions for how to choose the right Financial Advisor.

492020- Barron’s 2020 Top 1200 Advisors – March 2020:
Carolyn Taylor was included in Barron’s 2020 Top 1200 Advisor Rankings by State list. The full list can be viewed on Barron’s website. The criteria for ranking reflects assets under management as of 12/31/2019, revenue that the advisors generate for their Firms, regulatory record, quality of the advisor’s practices, and philanthropic work. 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. Survey data was submitted by over 4000 advisors, but only 1200 were published in the ranking. 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. The Top 1,200 are drawn from all 50 states, plus the District of Columbia. This ranking is the largest and most comprehensive of the annual Barron’s advisor listings. It includes a cross section of private-wealth advisors, from independents who own and operate their own practices to advisors from the large Wall Street firms. This special report lists the top advisors in each state, with the number of ranking spots determined by each state’s population and wealth. Carolyn Taylor ranked 86th in the state of California. No payment was required for nomination or inclusion in the ranking. *After notice of inclusion in the top 1200 list, Weatherly paid Dow Jones Reprints and Licensing for custom hard copy reprints and digital access after the list was published. Wealth Managers do not pay a fee to be considered or placed on the final list. 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. *updated 3/27/2020

482019- Wealth Management Firms List – San Diego Business Journal – July 2019:
San Diego Business Journal included Weatherly Asset Management in the 2019 listing of Wealth Management Firms, published on July 8, 2019. Placed among the best in San Diego County, WAM lands the 16th spot of 30 firms in total. Eligibility requirements to participate included being a registered investment adviser with either the Securities Exchange Commission or the California Department of Corporations. The criteria by which Firms were ranked was based on assets managed in San Diego County for fiscal year 2018. After receiving an email invitation from the Journal to participate in the list, Weatherly completed a brief online survey. A third-party CPA was required to complete an attestation for total assets managed in 2018 and 2017. The Journal used the CPA attestation to verify Weatherly’s assets under management for FY 2018 and FY 2017. 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 $250 to be highlighted on the list. No organizational memberships were required of the Firm or individuals. Inclusion in the ranking is not representative of any one client’s experience and is not indicative of Weatherly’s future performance. Past performance is not necessarily indicative of future results. 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.

472019 – Business Woman of the Year Finalist – San Diego Business Journal: Carolyn Taylor, Kelli Ruby, and Brooke Boone were listed as finalists for the 2019 San Diego Business Journal Business Woman of the Year award. Each year, the San Diego Business Journal (“Journal”) recognizes dynamic women business leaders who have contributed significantly to San Diego’s workplaces and communities. For the 2019 program, Carolyn, Brooke, and Kelli were listed among 96 finalists! Not all nominees were finalists. The San Diego Business Journal solicited nominations via email invitation to their mailing lists and via the paper journal circulation. Members of the Weatherly team nominated Carolyn Taylor, Kelli Ruby, Brooke Boone and Lindsey Thompson. Nominees and finalists were asked to provide contact information for professional references, and were evaluated based on their business accomplishments and community involvement. Weatherly supplied the information for the nominations by completing the Journal’s questionnaire. Weatherly was not required to make payments or purchases to nominate, be nominated, be considered or included on the list related to the award. After receiving notice of being named a finalist, Weatherly paid the Journal for Brooke and Kelli to attend the awards ceremony. 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.

462019- Inc. 5000 Fastest-Growing Private Companies in America #4662: Weatherly Asset Management, L.P. was included in the 2019 Inc. 5000 list of fastest-growing private companies in America. This list is the publication’s 13th annual ranking of independent advisory firms, and was published in the July 2019 issue. Companies on the 2019 Inc. 5000 list are ranked according to percentage revenue growth from 2015-2018.  To be eligible, the company must  1) be privately-owned, based in the United States, and independent (not a subsidiary or division of another company); 2) have generated revenue by March 31st, 2015; 3) have generated at least $100,000 in revenue in 2015; 4)  have generated at least $2 million in revenue in 2018; and 5) have had revenue in 2018 that exceeded revenue in 2015.    Inc. defines revenue as gross revenue, less returns and allowances, before any cost of goods sold.   Inc. requires eligible companies to complete one of three revenue verification process options.  Weatherly completed Inc.’s Revenue Verification Form, and had the Firm’s 3rd party certified public accountant sign the form attesting to the complete accuracy of the information.  The CPA is a licensed professional with credentials that are current and in good standing, per requirements of Inc.’s verification process.  Growth rates used to determine company rankings were calculated to three decimal places. Over 5000 companies applied to be considered for the list.  There were no ties on this year’s Inc. 5000. Weatherly was ranked 4662.  Weatherly received an email invitation to participate in Inc. 5000’s ranking list from Weatherly’s Vistage Group Chair, Charles Furman, and a 20% discount to apply. Vistage is a partner of Inc.  Weatherly paid for digital and hard copy reprints of the list. Weatherly was not required to advertise in, or subscribe to, Inc. magazine.  No organizational memberships were required of the Firm or individuals.  Inclusion in the ranking 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 the ranking in the list.

452019- Financial Times 300 Top Registered Investment Advisors: Advertisement in Financial Times – Southern California Region Weatherly Asset Management, L.P. was included in the 2019 Financial Times 300 Top Registered Investment Advisors list. This list was published in print and online on FT.com, on June 27, 2019. The selection process for the Financial Times 300 (“FT 300”) is based on the largest independent Registered Investment Advisors across the United States that meet the following criteria. To qualify as a candidate for the FT 300, an RIA firm must, manage at least $300 million in assets under management (as of 12/31/18), have no more than 75% of its practice’s assets be institutional and be independent (it cannot be the RIA arm of a broker-dealer, for example). Financial Times invited more than 2000 SEC registered RIA companies across the US who reported $300mm or more in AUM to participate in the review process. Some 740 RIAs applied, and 300 made the final list. Qualified RIAs were required to fill out an online application, and were evaluated on several factors including AUM, AUM growth rate, years the firm has been in existence, industry certifications of staff, SEC compliance report, online accessibility and other factors such that the final list should include a diverse range of practice types. AUM comprised roughly 70 to 75 per cent of each adviser’s score, while asset growth accounted for an average of 15 percent. Additionally, FT capped the number of companies from any one state. The cap was roughly based on the distribution of millionaires across the US. The research was conducted on behalf of the Financial Times by Ignites Research, a Financial Times sister publication. The 300 firms were listed by state and alphabetically by business name. Weatherly paid Financial Times for custom hard copy reprints and digital access after the list was published. Wealth managers do not pay a fee to be considered or placed on the final list. 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.

43 2019 – Forbes Best-In-State Wealth Advisors In August of 2018, Carolyn Taylor and Candise Holmlund were nominated for Shook Research’s 2019 Best-in-State Wealth Advisors list. Both were invited to complete an online survey detailing information about their careers as well as Weatherly as a firm. Carolyn was named 4th out of the 55 named from Southern California. In total, the list showcased over 3,000 wealth managers. The list was published on February 20th, 2019 on Forbes.com at https://www.forbes.com/best-in-state-wealth-advisors/#248c0ac5291d. The 2019 Forbes ranking of Best-In-State Wealth Advisors, developed by SHOOK Research, is based on an algorithm of qualitative criteria, mostly gained through telephone and in-person due diligence interviews, and quantitative data. The ranking algorithm is designed to fairly compare the business practices of a large group of advisors based on quantitative and qualitative elements. Data are weighted to ensure priorities are given to dynamics such as preferred “best practices”, business models, recent business activity, etc. Each variable is graded and represents a certain value for each measured component. These data are fed into an algorithm that measures thousands of advisors against each other. The algorithm weighted factors including revenue trends, assets under management, compliance records, industry experience and those advisors that encompass best practices in their practices and approach to working with clients. Portfolio performance is not a criteria due to varying client objectives and lack of audited data. Neither Forbes or SHOOK receive a fee in exchange for rankings. Basic Requirements to be considered for the “Forbes Best-in-State Wealth Advisors” included:1) 7 years as an advisor; 2) minimum 1 year at current firm 3) advisor must be recommended, and nominated, by Firm, 4) completion of online survey; 5) over 50% of revenue/production must be with individuals; and 6) an acceptable compliance record. In addition to the above basic requirements, advisors were also judged on the following quantitative figures: 1) revenue/production; weightings assigned for each; 2)assets under management—and quality of those assets—both custodied and a scrutinized look at assets held away. (Although individual numbers are used for ranking purposes, the ranking publishes the entire team’s assets); 3)client-related data (ie retention.) NOTE: Portfolio performance was not considered – audited returns among advisors are rare, and differing client objectives provide varying returns. Qualitative considerations examined included but were not limited to: 1) telephone and in-person meetings with advisors; 2) advisors exhibiting “best practices” within their practices and approach to working with clients and 3)advisors that provide a full client experience (factors examined include service model, investing processes, fee structure (higher % of fee-based assets earns more points,) and breadth of services, including extensive use of Firm’s platform and resources; 4)credentials (years of service can serve as proxy); 5) use of team & team dynamics; 6) community involvement; 7)discussions with management, peers, competing peers, and 8)telephone and in-person meetings. Compliance records and U4s were also reviewed in detail as part of the selection process including: 1) infractions denied or closed with no action; 2) complaints that arose from a product, service or advice initiated by a previous advisor or another member or former member of team; 3) length of time since complaint; 4)complaints related to product failure not related to investment advice; 5) complaints that have been settled to appease a client who remained with the advisor for at least one year following settlement date; 6)complaints that were proven to be meritless; and 6) actions taken as a result of administrative error or failure by firm. Weatherly Asset Management did not pay any fees to SHOOK to be nominated or included in the “Forbes Best-In- State Wealth Advisors” list and Weatherly was not required to advertise in, or subscribe to, Forbes. As of the time of this disclosure, Weatherly did not elect to pay for reprints of the list. In total, 29,334 nominations were received and 5,961 advisors were invited to complete the online survey. Throughout the research process, over 9,230 telephone interviews and 1,757 in-person interviews were conducted. The ranking listed 3000 advisors, 55 of which were located in Southern California.Inclusion in this ranking 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.SHOOK Disclosures: SHOOK is completely independent and objective and does not receive compensation from the advisors, Firms, the media, or any other source in exchange for placement on a ranking. SHOOK is funded through conferences, publications and research partners. Since every investor has unique needs, investors must carefully choose the right Advisor for their own situation and perform their own due diligence. SHOOK’s research and rankings provide opinions for how to choose the right Financial Advisor.

422019 – Five Star In September 2018, Five Star Professional completed an interview process to determine 2019 Five Star Wealth Managers. Weatherly’s senior team, including Carolyn Taylor, Candise Holmlund, Brent Armstrong, Ashley Copp, and Kelli Ruby all received this inclusion to participate. Upon completion, all five advisors were named 2019 Five Star Wealth Managers. 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 registered investment adviser or as a principal of a registered investment adviser firm 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 settled or pending complaints led against them and/or a total of five settled, pending, dismissed or denied complaints 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; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. 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 and each advisor participated in a phone interview to confirm personal information.  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. 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. 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 1,885 San Diego wealth managers for the award; 224 (12 percent of candidates) were named 2019 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.

412018 Business Woman of the Year Finalist- San Diego Business Journal
Carolyn Taylor was listed as a finalist for the 2018 San Diego Business Journal Business Woman of the Year award. Each year, the San Diego Business Journal (“Journal”) recognizes dynamic women business leaders who have contributed significantly to San Diego’s workplaces and communities. For the 2018 program, Carolyn was listed among 103 finalists! Click here to view the full article. Nominees and finalists 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. To celebrate the 25th anniversary of the event, 25 women were honored as winners. The winners were chosen by an independent judging panel of successful business women. There were over 200 nominations; Carolyn did not receive the award, but was one of 103 finalists for the award. Weatherly was not required to make payments or purchases to nominate, be nominated, be considered or included on the list related to the award. Weatherly paid the Journal for Carolyn and 4 colleagues to attend the awards ceremony program. 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.

392018-Woman of the Year / Celebrating Women – San Diego Magazine – September, 2018
Carolyn Taylor and Candise Holmlund were finalists for the San Diego Magazine’s 2018 Celebrating Women award series, including “Woman of the Year.” One individual was chosen as Woman of the Year among all the nominees across the following categories: Industry Leader, Nonprofit Visionary, Rising Star and Military Service. San Diego Magazine announced the winners as well as the list of 189 finalists across all categories on September 27, 2018. Carolyn and Candise were nominated as Industry Leaders by their colleagues. This award recognizes an individual who is a dynamic and passionate leader who has a positive influence on others and works tirelessly for causes near and dear to his/her heart, and women who’ve successfully executed on a strategy, and transformed their business line or brand. Kelli Ruby, Ashley Copp, and Lindsey Fiske Thompson were nominated as Rising Stars by their colleagues, but were not named finalists. This category is designed for women on the rise, making their mark, even at the early stages of their careers. San Diego Magazine solicited nominations via email in the form of an online survey. Nominators are asked to provide subjective justification, detailed professional achievements, and additional comments regarding the individual nominee. The nominations were reviewed by San Diego magazine staff and a judging panel consisting of winners from the past five years. More than 300 women were nominated and only half qualified as finalists. No payment was required for to be nominated or considered for the award. No organizational memberships were required of the Firm or individuals. The 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.

382018- Financial Times 300 Top Registered Investment Advisors: Advertisement in Financial Times – Southern California Region Weatherly Asset Management, L.P. was included in the 2018 Financial Times 300 Top Registered Investment Advisors list. This list was published in print and online on FT.com, on June 28, 2018. The selection process for the Financial Times 300 (“FT 300”) is based on the largest independent Registered Investment Advisors across the United States that meet the following criteria: To qualify as a candidate for the FT 300, an RIA firm must manage at least $300 million in assets under management (as of 12/31/17), have no more than 75% of its practice’s assets be institutional, be independent (it cannot be the RIA arm of a broker-dealer, for example). Financial Times invited more than 2000 SEC registered RIA companies across the US who reported $300mm or more in AUM to participate in the review process. About 760 RIAs applied, and 300 made the final list. Qualified RIAs were required to fill out an online application, and were evaluated on several factors including AUM, AUM growth rate, years the firm has been in existence, industry certifications of staff, SEC compliance report, online accessibility and other factors such that the final list should include a diverse range of practice types. AUM comprised roughly 70 to 75 per cent of each adviser’s score, while asset growth accounted for an additional 15 to 20 percent. Additionally, FT capped the number of companies from any one state. The cap was roughly based on the distribution of millionaires across the US. The research was conducted on behalf of the Financial Times by Ignites Research, a Financial Times sister publication. The 300 firms were listed by state and alphabetically by business name. Weatherly paid Financial Times for custom hard copy reprints and digital access after the list was published. Wealth managers do not pay a fee to be considered or placed on the final list. 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.

362018- Wealth Management Firms List – San Diego Business Journal -March 2018 San Diego Business Journal included Weatherly Asset Management in the 2018 listing of Wealth Management Firms, published on March 5, 2018. Placed among the best in San Diego County, WAM lands the 16th spot of 34 firms in total. Eligibility requirements to participate included being a registered investment adviser with either the Securities Exchange Commission or the California Department of Corporations. The criteria by which Firms were ranked was based on assets managed in San Diego County for fiscal year 2017. After receiving an email invitation from 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 FY 2017 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. 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.

342018- Five Star In September 2017, Five Star Professional completed an interview process to determine 2018 Five Star Wealth Managers. Weatherly’s senior team, including Carolyn Taylor, Candise Holmlund, Brent Armstrong, Ashley Copp, and Kelli Ruby all received this inclusion to participate. Upon completion, all five advisors were named 2018 Five Star Wealth Managers. 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 licensed as a registered investment adviser or as a principal of a registered investment adviser firm 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 settled or pending complaints led against them and/or a total of five settled, pending, dismissed or denied complaints 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; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. 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. 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. 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 1,498 San Diego wealth managers for the award; 228 (15 percent of candidates) were named 2018 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.

352017- Business Woman of the Year Finalist – San Diego Business Journal Weatherly Asset Management’s President Carolyn Taylor was listed as a finalist for the San Diego Business Journal Business Woman of the Year award. Each year, the San Diego Business Journal (“Journal”) recognizes dynamic women business leaders who have contributed significantly to San Diego’s business. This year, Carolyn was listed among 100 finalists! Click here to view the full article. 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. The selection process included two rounds of judging, first cutting the field in half, and then submitting the 100 finalists to the SDBJ panel of judges for the selection of winners. Finalists were grouped by company size. Weatherly supplied the information for the nomination in the form of a survey, but no award was granted to Carolyn Taylor. 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 4 colleagues to attend the awards ceremony program. 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.

332017- Financial Times 300 Top Registered Investment Advisors: Advertisement in Financial Times – Southern California Region Weatherly Asset Management, L.P. was included in the 2017 Financial Times 300 Top Registered Investment Advisors list. This list was published online on June 22, 2017 on FT.com. The selection process for the Financial Times 300 (“FT 300”) is based on the largest independent Registered Investment Advisors across the United States that meet the following criteria: To qualify as a candidate for the FT 300, an RIA firm must: Manage at least $300 million in assets under management (as of 12/31/16), Have no more than 75% of its practice’s assets be institutional, Be independent (it cannot be the RIA arm of a broker-dealer, for example). Financial Times invited more than 2000 SEC registered RIA companies across the US who reported $300mm or more in AUM to participate in the review process. About 725 RIAs applied, and 300 made the final list. Qualified RIAs were required to fill out an online application, and were evaluated on several factors including AUM, AUM growth rate, years the firm has been in existence, industry certifications of staff, SEC compliance report, online accessibility and other factors such that the final list should include a diverse range of practice types. AUM comprised roughly 65 to 70 per cent of each adviser’s score, while asset growth accounted for an additional 10 to 15 percent. Additionally, FT capped the number of companies from any one state. The cap was roughly based on the distribution of millionaires across the US. The research was conducted on behalf of the Financial Times by Ignites Research, a Financial Times sister publication. The 300 firms were listed by state and alphabetically by business name. Weatherly paid Financial Times for custom hard copy reprints after the list was published. Wealth managers do not pay a fee to be considered or placed on the final list. 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.

322017- Fidelity Investments Executive Panel: Women’s Power Breakfast “Attracting Women Advisors to Your Firm” Carolyn Taylor represented Weatherly in an article focusing on the importance and presence of women in the Financial Advisor space, published by Fidelity Investments. “Attracting Women Advisors to Your Firm” was published in July of 2017. Carolyn Taylor participated in the Fidelity Executive Panel, Women’s Power Breakfast on May 1st 2017. Carolyn was invited to participate in this panel by the Firm’s Fidelity Relationship Manager. Invitees included female RIA and Broker-Dealer leaders, with the goal being to discuss what it takes for women to win in today’s career environment and share stories from their own professional paths, lessons learned, and how they are enabling the next generation of female leaders. Four panelists and Fidelity’s SVP of marketing contributed to the discussion and article content. Based on the panel discussion, Fidelity published the article “Attracting Women Advisors to Your Firm”, which includes featured quotes from the panelists and topics discussed at the event. Carolyn and panelists focused on women in the financial industry, strategies to retain and mentor female advisors, and the strengths of a balanced team. The article was composed after the panel has taken place, using a transcript from the video recording at the event. Panelists all received a draft of the article for review, and were required to give consent to publish. There were four panelists total. The article was shared with Fidelity clients in an email newsletter, posted on Fidelity’s websites (for both clients and prospective clients), and/or used via Fidelity’s social media platforms. It is not the intent of the story to endorse the participating businesses or to indicate quality. There was no fee to be included in this article. After the article was published, Weatherly received the PDF at no charge, with approved distribution and full use. Weatherly’s status as a Fidelity client allowed for inclusion in the panel and Article, however no fee was paid to be featured. Inclusion in the article 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 reporting or appropriateness of advertising inclusion in this article.

312017- Wealth Management Firms List- San Diego Business Journal – July 2017 San Diego Business Journal included Weatherly Asset Management in the 2017 listing of Wealth Management Firms, published on July 17, 2017. Placed among the best in San Diego County, WAM lands the 16th spot of 38 firms in total. Eligibility requirements to participate included being a registered investment adviser with either the Securities Exchange Commission or the California Department of Corporations. The criteria by which Firms were ranked was based on assets managed in San Diego County for fiscal year 2016. After receiving an email invitation from 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 FY 2015 and FY 2016 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. 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.

302017-Woman of the year/Celebrating Women Nominees-San Diego Magazine Carolyn Taylor, Candise Holmlund, Ashley Copp, Kelli Ruby and Lindsey Fiske Thompson were nominees for the San Diego Magazine’s 2017 Celebrating Women award series, including “Woman of the Year.” One individual will be chosen as the Woman of the Year among all the nominees across the following categories: Industry Leader, Nonprofit Visionary, Rising Star and Military Service. San Diego Magazine listed 183 nominees across all categories. Carolyn and Candise were nominated as Industry Leaders by their colleagues. This award recognizes an individual who is a dynamic and passionate leader who has a positive influence on others and works tirelessly for causes near and dear to his/her heart, and women who’ve successfully executed on a strategy, and transformed their business line or brand. Ashley, Kelli, and Lindsey were nominated as Rising Stars by their colleagues. This award is designed to recognize women on the rise, making their mark, even at the early stages of their careers. San Diego Magazine solicited nominations via email in the form of an online survey. Nominators are asked to provide subjective justification, detailed professional achievements, and additional comments regarding the individual nominee. The nominations were reviewed by San Diego magazine staff and a judging panel consisting of winners from the past five years. No payment was required for to be nominated or considered for the award. Weatherly paid San Diego Magazine for a half page advertisement and electronic use rights featuring Weatherly team members’ nominations. 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.

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. 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.

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.

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