Disclosures

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Copyright 2022, Apriem Advisors. All rights reserved.

Advisory services offered by Apriem Advisors. 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.

Award Disclosures

The last FT 300 Ranking was published in June 2020, Financial Times is no longer conducting this annual list.

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

Expertise.com scored Irvine Financial Advisors on more than 25 variables across five categories and analyzed the results to give you a hand-picked list of the best.

1. Availability: Consistently approachable and responsive, so customers never feel ignored.
2. Qualifications: Building customer confidence with licensing, accreditations, and awards.
3. Reputation: A history of delighted customers and outstanding service.
4. Experience: Masters of their craft, based on years of practical experience and education.
5. Professionalism: Providing service with honesty, reliability, and respect.

To read more about their selection process:

https://www.expertise.com/ca/irvine/financial-advisors
https://www.expertise.com/our-selection-process

Received in 2019, this award can only be won once in a lifetime.

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/

Received in 2019, this award can only be won once in a lifetime.

InvestmentNews received hundreds of nominations for the 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

This ranking is conducted annually. 2022 is the first year Apriem qualified and participated.

Currently in its fifth year, the InvestmentNews 2022 Best Places to Work for Financial Advisers program recognizes financial advice businesses that create meaningful work experiences for all their professionals. These firms value a commitment of excellence to both their employees and clients. It is from these encouraging foundations that advice firms can provide high quality and personalized investment and financial planning for clients.

Each year, this project is conducted in partnership with employee survey firm Best Companies Group. Winners are selected from a two-part survey completed by employers and employees. Employers report their organization’s workplace policies, practices and demographics, and employees complete a survey designed to measure the employee experience. Scores from the employee survey represent three-quarters of the weight of the final rankings.

To qualify as one of InvestmentNews Best Places to Work for Financial Advisers, an advice firm must have at least 15 employees and have been in business for one year. There is no charge to register. Apriem did not pay a fee in exchange for inclusion.

https://bestplacesforadvisers.com/about-2/

This ranking is conducted annually. 2022 is the first year Apriem qualified and participated.

The Best Places to Work in Orange County is a survey and awards program that honors
employers in Orange County that are making their workplaces great. This is a project
of the Orange County Business Journal in partnership with Workforce Research Group.

Winners are selected from a two-part survey completed by employers and employees. Employers report their organization’s policies and practices, and employees complete a survey designed to capture employee’s opinions about their workplace experience. Scores from the employee survey represent 80% of the weight of the final rankings.

To qualify as one of Orange County Business Journal’s Best Places to Work in OC, an organization must have at least 15 employees; have a physical operation in Orange County; be a for-profit, not-for-profit, or a government organization; and have been in business for one year. There is no charge to register. Apriem did not pay a fee in exchange for inclusion.

https://www.bestplacestoworkorangecounty.com/

Received in 2020, this award can only be won once in a lifetime by any individual.

Nominees for the seventh annual 40 Under 40 project should exhibit qualities of leadership within the financial advice field, such as the drive to succeed, along with prospects for a bright future. He or she must be under the age of 40 on June 29, 2020, which is the date our 40 Under 40 honorees will be announced in the print issue of InvestmentNews and online. Nominees will be considered by InvestmentNews editors based on the following key points:

  • Accomplishments: We are looking for professionals who are successful in the advisory business, industry-related projects and the wider world in an advisory capacity, as exhibited by their credentials and achievements.
  • Contribution: We are searching for professionals who promote the financial advice profession, advocate for financial literacy and engage in pro bono financial planning work.
  • Leadership: We are interested in professionals who offer guidance and successful management within a company or the industry as a whole.
  • Promise: We want to celebrate professionals who have passion, enthusiasm, great ideas and show a commitment to the field.

Neither the RIA firms nor their employees pay a fee to InvestmentNews in exchange for inclusion in the list. Please see link below for full list and criteria: https://www.investmentnews.com/awards-and-recognition/40-under-40-2

This ranking is conducted annually, there was a gap in 2020 due to the COVID-19 pandemic.

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:

  • 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.
  • 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.”
  • Institutionalization: How the company supports community engagement in Orange County through its organizational policies, systems and incentives.
  • 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

This ranking is conducted annually.

The criteria was based on 1) year end discretionary and non-discretionary AUM reported on ADV; 2) % growth in assets; 3) average assets per client; 4) percent growth in assets per client; 5) percent change in number of client relationships. 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, 2016. 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. https://www.fa-mag.com/news/ria-survey—ranking-2017-33401.html