Ballentine Partners has been named as one of the Top 300 Registered Investment Advisors by Financial Times. The 2015 Financial Times Top 300 Registered Investment Advisors is an independent listing produced by the Financial Times (June, 2015). The FT 300 is based on data gathered from RIA firms, regulatory disclosures, and the FT’s research. As identified by the FT, the listing reflected each practice’s performance in six primary areas, including assets under management, asset growth, compliance record, years in existence, credentials and accessibility. Neither the RIA firms nor their employees pay a fee to The Financial Times in exchange for inclusion in the FT 300.
Methodology provided by Financial Times
In assembling the FT 300 list, we assessed registered investment adviser (RIA) practices from the perspective of current and prospective investors. The FT’s methodology examines the database of RIAs that are registered with the US Securities and Exchange Commission and selects those practices reporting to the SEC that have $300m or more in assets under management (AUM). This assures a list of companies with established and institutionalised investment processes. The RIA companies have no subjective input. The FT then invites those qualifying RIA groups, which amount to more than 2,000, to provide further information about their practices. That is augmented with our research, including data from regulatory filings. Some 650 RIA companies qualified, meaning 48 per cent of them made the 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 AUM, asset growth, the company’s years in existence, industry certifications of key employees, SEC compliance record and online accessibility:
- AUM: signals experience in managing money and client trust
- AUM growth rate: growing assets is a proxy for performance, asset retention and ability to generate business
- Company’s years in existence: indicates reliability and experience in managing assets
- Compliance record: provides evidence of past client disputes — a string of complaints can signal potential problems
- Industry certifications (such as CFA and CFP): show technical and industry knowledge and a commitment to investment skills
- Online accessibility: this illustrates commitment a to providing investors with easy access and transparent contact information
- AUM and asset growth comprised roughly 80 to 85 per cent of each adviser’s score.
We present the FT 300 as an elite group, not a competitive ranking from 1 to 300. This identifies the industry’s best advisers while accounting for the firms’ different approaches and varied specialisations.
No fee was paid to participate.
Please Note: Limitations: Neither rankings and/or recognition by unaffiliated rating services, publications, or other organizations, nor the achievement of any designation or certification, should be construed by a client or prospective client as a guarantee that he/she will experience a certain level of results if Ballentine is engaged, or continues to be engaged, to provide investment advisory services. Rankings published by magazines, and others, generally base their selections exclusively on information prepared and/or submitted by the recognized adviser. Rankings are generally limited to participating advisers (see individual post as to participation data). No ranking or recognition should be construed as a current or past endorsement of Ballentine by any of its clients. ANY QUESTIONS: Ballentine’s Chief Compliance Officer remains available to address any questions regarding rankings and/or recognitions, including providing the criteria used for any reflected ranking.
This ranking does not imply anything about a particular client’s experience or investment results with Ballentine Partners.
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