Disclosure

 

2012, San Francisco Business Times, "Risk Management Excellence"

The National Association of Board Certified Advisory Practices selected six firms that were exemplary in three categories. Two firms were chosen for each category of excellence. The risk management category measures what systems and policies are utilized to potentially help mitigate and manage the risk of the markets. NABCAP's objective questionnaire assesses 20 categories of practice management of all participating advisers, and while all the practices on the list this year met NABCAP's minimum objective criteria, these practices achieved exemplary scores in their respective categories. The highlighted categories were selected through NABCAP's independent investor research, which concluded these three areas of practice management were the highest influencers in choosing a financial advisor:

  1. Client Education and Service Model: This category reflects the actual service model the practice employs and whether they incorporate any education on investments and/or markets to the client.
  2. Financial Planning. This category reflects at what level the practice/adviser implements financial planning when servicing clientele.
  3. Risk Management. This category measures what systems and policies are utilized to potentially help mitigate and manage the risk of the markets.