Disclosures

Copyright 2019, Apriem Inc. All rights reserved.

Advisory services offered by Apriem Advisors, a SEC Registered Investment Advisor.

For the FT300, the FT examine the database of RIAs registered with the SEC and select those that reported $300M or more in AUM. The Financial Times’ methodology is quantifiable and objective. The RIAs had no subjective input. The FT invited qualifying RIAs – more than 2,000 – to complete a lengthy application. Some 760 RIA companies applied and 300 made the final list.

The formula the FT uses to grade advisers is based on six broad factors and calculates a numeric score for each company. Areas of consideration include adviser AUM, asset growth, the company’s age, industry certifications of key employees, SEC compliance record and online accessibility. Additionally, the FT caps the number of companies from any one state based on the distribution of millionaires across the U.S. This award does not evaluate the quality of services provided to clients and is not indicative of the practice’s future performance. The research was conducted by Ignites Research, a Financial Times sister publication.

Neither the RIA firms nor their employees pay a fee to The Financial Times in exchange for inclusion in the FT 300.

https://www.ft.com/content/a31e1e08-4d54-11e8-97e4-13afc22d86d4

For the FA Magazine ranking, neither the RIA firms nor their employees pay a fee to The Financial Advisor Magazine in exchange for inclusion in the ranking. Please see link below for full rankings and methodology.

http://www.fa-mag.com/news/ria-survey—ranking-2017-33401.html?section=133

Apriem Advisors is a registered advisor with the U.S. Securities and Exchange Commission. Any reference to or use of the terms “registered investment advisor” or “registered,” does not imply that Apriem Advisors or any person associated with Apriem Advisors has achieved a certain level of skill or training. Apriem Advisors may only transact business or render personalized investment advice in those states and international jurisdictions where we are registered, notice filed, or where we qualify for an exemption or exclusion from registration requirements. The purpose of this web site is to provide general information on our products and services only and should not be construed as a solicitation to effect, or attempt to effect, either transactions in securities or the rendering of personalized investment advice over the Internet. Any communications with prospective clients residing in states or international jurisdictions where Apriem Advisors and its advisory affiliates are not registered or licensed will be limited so as not to trigger registration or licensing requirements.

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