IMPORTANT DISCLOSURE INFORMATION
DiNuzzo Index Advisors, Inc. (“Company”) is an SEC registered investment adviser located in Beaver, Pennsylvania. Company may only transact business in those states in which it is registered, or qualifies for an exemption or exclusion from registration requirements. Company’s web site is limited to the dissemination of general information pertaining to its advisory services, together with access to additional investment-related information, publications, and links. Accordingly, the publication of Company’s web site on the Internet should not be construed by any consumer and/or prospective client as Company’s solicitation to effect, or attempt to effect transactions in securities, or the rendering of personalized investment advice for compensation, over the Internet. Any subsequent, direct communication by Company with a prospective client shall be conducted by a representative that is either registered or qualifies for an exemption or exclusion from registration in the state where the prospective client resides. For information pertaining to the registration status of Company, please contact the SEC or the state securities regulators for those states in which Company maintains a notice filing. A copy of Company’s current written disclosure statement discussing Company’s business operations, services, and fees is available from Company upon written request. Company does not make any representations or warranties as to the accuracy, timeliness, suitability, completeness, or relevance of any information prepared by any unaffiliated third party, whether linked to Company web site or incorporated herein, and takes no responsibility therefore. All such information is provided solely for convenience purposes only and all users thereof should be guided accordingly.
Please remember that different types of investments involve varying degrees of risk, and there can be no assurance that the future performance of any specific investment or investment strategy (including those undertaken or recommended by Company), will be profitable or equal any historical performance level(s).
Certain portions of Company’s web site (i.e. newsletters, articles, commentaries, etc.) may contain a discussion of, and/or provide access to, Company (and those of other investment and non-investment professionals) positions and/or recommendations as of a specific prior date. Due to various factors, including changing market conditions, such discussion may no longer be reflective of current position(s) and/or recommendation(s). Moreover, no client or prospective client should assume that any such discussion serves as the receipt of, or a substitute for, personalized advice from Company, or from any other investment professional. Company is neither an attorney nor an accountant, and no portion of the web site content should be interpreted as legal, accounting or tax advice.
FIVE STAR WEALTH MANAGERS
In order to consider a broad population of high-quality wealth managers and investment professionals, award candidates are identified by one of three sources: firm nomination, peer nomination or prequalification based on industry standing. Self-nominations are not accepted. Pittsburgh award candidates were identified using internal and external research data. Candidates do not pay a fee to be considered or placed on the final lists of Five Star Wealth Managers or Five Star Investment Professionals. Although this list is a useful tool for anyone looking for help in managing their financial world or implementing aspects of their financial strategies, it should not be considered exhaustive. Undoubtedly, there are many excellent professionals who, for one reason or another, are not on this year’s lists.
• The Five Star award is not indicative of a professional’s future performance. • Wealth managers may or may not use discretion in their practice and therefore may not manage their clients’ assets. • The inclusion of a professional on the Five Star Wealth Manager list or the Five Star Investment Professional list should not be construed as an endorsement of the professional by Five Star Professional or Pittsburgh Magazine.
• Working with a Five Star Wealth Manager, Five Star Investment Professional or any professional is no guarantee as to future investment success, nor is there any guarantee that the selected professionals will be awarded this accomplishment by Five Star Professional in the future. • Five Star Professional is not an advisory firm, and the content of this article should not be considered financial advice. For more information on the Five Star Wealth Manager or Five Star Investment Professional award programs, research and selection criteria, go to www.fivestarprofessional.com/research.
Five Star Investment Professional Criteria
Five Star Professional’s Investment Professional award goes to outstanding accountants, estate planning attorneys, insurance agents and select others in the financial industry. Award candidates must satisfy the following criteria to be named a 2017 Five Star Investment Professional:
Eligibility Criteria – Required
1. Credentialed with appropriate state or industry licensures.
2. Actively employed as a credentialed professional in the financial services industry for a minimum of five years.
3. Favorable regulatory and complaint history review.
4. Accepting new clients Evaluation Criteria - Considered 5. One-year client retention rate
6. Five-year client retention rate
7. Number of client households served 8. Recent personal production and performance (industry specific criteria)
This year, we honored seven Pittsburgh-area investment professionals with the Five Star Investment Professional award. Learn more at: FiveStarProfessional.com
Financial Advisor Magazine’s “RIA Survey”
This annual survey is performed by Financial Advisor Magazine as a means of measuring growth among independent advisors
across the United States. Firms must be registered investment advisors and provide financial planning and related services to individual clients. All firms must be either independently owned or be a freestanding subsidiary of another business.
Data is provided by each firm, mostly from numbers and information published on the firm’s Form ADV, including assets under management for the previous two years, number of client relationships, average assets per client, services offered by the firm and percentage of clients who utilize each, portfolio allocations, typical fees, and revenue sources. Each participating advisor is then ranked in a listing alongside their participating peers.
Survey results are listed out in five categories, which are determined by each firm’s asset size. The categories are:
$1 Billion and Over
$500 Million to <$1 Billion
$300 Million to <$500 Million
$100 Million to <$300 Million
$75 Million to <$100 Million
A separate listing ranking for firms with assets of $75 million or less is available on Financial Advisor Magazine’s Website (www.fa-mag.com), but is not published in their magazine. Within each of the five categories, the top 10 fastest-growing firms are also listed separately. The results are determined by the percentage of growth in assets over the previous two years. This list is then published at the beginning of the survey ranking results.
Submissions to the national surveys also qualify firms for inclusion in state rankings. These statewide rankings of a
firms are then published regionally on Financial Advisor Magazine’s Website at various points throughout the year.