Disclosures

Copyright 2019, Apriem Inc. All rights reserved.

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

FT 300 TOP REGISTERED INVESTMENT ADVISERS (2017, 2018, 2019), FINANCIAL TIMES

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, 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

2019 OUTSTANDING SMALL BUSINESS, NATIONAL PHILANTHROPY DAY

This award recognizes a corporation or business that has created a culture of philanthropy with their organization and has demonstrated an outstanding commitment to philanthropy through its: 1) financial support of one or more nonprofit organizations, 2) leadership involvement, and 3) volunteer participation and commitment of its workforce in establishing a role model for other businesses in our community. This award does not recognize a single individual representing a corporation or business, but rather the work of the entire corporation or business. Apriem did not pay a fee in exchange for inclusion. https://npdoc.org/awards/categories-and-criteria/

2019 OUTSTANDING PRACTICES, INVESTMENT NEWS “EXCELLENCE IN DIVERSITY & INCLUSION”

InvestmentNews received hundreds of nominations for our 2019 awards. Advisory firm awards honor registered investment advisory firms, independent broker-dealer affiliates, or branch offices of a wirehouse, insurance firm, or brokerage, that have fostered diversity and inclusion within their own firms, among clients (especially those who have been traditionally ignored by financial service professionals), or within the financial advice industry as a whole. Apriem did not pay a fee in exchange for inclusion. https://www.investmentnews.com/section/awards-and-recognition/diversity-and-inclusion

2019 CIVIC 50 ORANGE COUNTY

The Civic 50 Orange County Awards presented by the Orange County Business Journal, in partnership with OneOC, Points of Light and True Impact, will recognize the 50 most community-minded companies as determined by a national survey. By benchmarking and celebrating best practices, it provides visibility and a framework for how local companies can use their employees’ time, skills and other resources to improve the quality of life in our community.

Civic 50 Orange County honorees are selected based on four dimensions of their U.S. community engagement program, as determined by an annual survey:

    1. Investment: How extensively and strategically the company applies its resources to community engagement in Orange County, including employees’ time and skills, cash, in-kind giving and public leadership.
    2. Integration: How a company’s Orange County community engagement program supports business interests and integrates into business functions, or how it “does well by doing good.”
    3. Institutionalization: How the company supports community engagement in Orange County through its organizational policies, systems and incentives.
    4. Impact: How the company measures the social and business outputs and outcomes of its Orange County community engagement program.

Apriem did not pay a fee in exchange for inclusion. http://www.oneoc.org/occivic50/faq

2017 FINANCIAL ADVISOR MAGAZINE RIA RANKING

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. Apriem did not pay a fee in exchange for inclusion. 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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