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About Us

2020 Forbes Top Women Wealth Adviors – Shook Research

Del Mar, CA - May, 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 at https://www.forbes.com/top-women-advisors/#143cf71f51f4.

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.

 

About Weatherly Asset Management, L.P.

Weatherly Asset Management, L.P. is a Registered Investment Advisor, located in Del Mar, California, dedicated to providing high quality, holistic and innovative wealth management services to high net worth individuals, small businesses and institutional clients since inception of the Firm in 1994.

 

Our comprehensive approach to all aspects of a client’s financial life, the extensive experience of our principals, and the accessibility of experts, set us apart from other firms.

 

Our primary business focus is money management, with each account individually managed to maximize wealth preservation and growth over time. We also provide advice related to retirement planning, tax planning, philanthropic planning, financial planning and college planning, as well as estate planning and wealth transfer guidance. Our goal is to provide clients with as much information as necessary to effectively manage portfolios and help achieve their financial goals.

 

Weatherly Asset Management, L.P. is the investment advisory division of Weatherly Asset Management, Inc. As an independent partnership, the Firm is wholly owned and operated by the partnership.

 

For information on our wealth management team, and for a full list of services we provide, please visit: http://www.weatherlyassetmgt.com/team/

For information on our ADV filings and Compliance, please visit: http://www.adviserinfo.sec.gov/IAPD/IAPDFirmSummary.aspx?ORG_PK=106935

http://www.weatherlyassetmgt.com/adv/

 

If you would like to learn more, please contact:

Carolyn P. Taylor

858-259-4507 Carolyn@weatherlyassetmgt.com