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Important Disclosures

General

Awards and rankings are historical. No award or ranking is indicative of future performance of Freestone or any of our employees.

Recognitions

Barron’s

The Barron’s rankings are based on data provided by individual advisors and their firms. Advisor data is confirmed via regulatory databases, cross-checks with securities firms and conversations with individual advisors. The formula used by Barron’s to rank advisors is proprietary to Barron’s. It has three major components: assets managed, revenue produced and quality of practice. Investment returns are not a component of the rankings. The quality of practice component includes an evaluation of each advisor’s regulatory record. In addition to the previous components, the Top 1200 Financial Advisors rankings include philanthropic work as a factor. For the Top 100 Independent Financial Advisors and the Top 100 Financial Advisors rankings, the scoring system assigns a top score of 100 and rates the rest of the advisors by comparing them with the winner.

Below are the Barron's rankings for Erik Morgan and Bob Mellon:

Barron’s Top 1200 Independent Financial Advisors (by state)

2016:

Erik Morgan - #3 out of 30 ranked advisors in Washington
Bob Mellon - #30 out of 30 ranked advisors in Washington

2014:

Erik Morgan - #1 out of 25 ranked advisors in Washington

2013*:

Erik Morgan - #1 out of 25 ranked advisors in Washington
Bob Mellon - #4 out of 25 ranked advisors in Washington

2012*:

Erik Morgan - #2 out of 25 ranked advisors in Washington
Bob Mellon - #13 out of 25 ranked advisors in Washington

2011*:

Erik Morgan - #2 out of 25 ranked advisors in Washington
Bob Mellon - #10 out of 25 ranked advisors in Washington

*During these years, Barron’s ranked the top 1000 independent financial advisors (by state)

Barron’s Top 100 Independent Financial Advisors in the United States

2015:

Erik Morgan - #40 out of 100 ranked advisors

2014:

Erik Morgan - #6 out of 100 ranked advisors

2013:

Erik Morgan - #16 out of 100 ranked advisors
Bob Mellon - #54 out of 100 ranked advisors

2012:

Erik Morgan - #17 out of 100 ranked advisors
Bob Mellon - #29 out of 100 ranked advisors

2011:

Erik Morgan - #22 out of 100 ranked advisors
Bob Mellon - #70 out of 100 ranked advisors

2010:

Erik Morgan - #31 out of 100 ranked advisors
Bob Mellon - #86 out of 100 ranked advisors

Puget Sound Business Journal – Wealth Management Firms

This list ranks wealth management firms in the Puget Sound area by assets under management. This list was compiled using information from Form ADV filed with the SEC. For 2016, Freestone is ranked #3 (out of 25) based on 2015 assets under management. None of Freestone or its employees pay a fee in exchange for inclusion in this list.

Financial Advisor – RIA Survey & Ranking

This list ranks RIAs by total assets. For 2016, Freestone is ranked #67 (out of 610). None of Freestone or its employees pay a fee in exchange for inclusion in this list.

WealthManagement.com – Top 100 Retail RIAs of 2016

This list was assembled using data from Discovery Data. RIA firms are ranked by the total assets under management reported on Form ADV. To make this list, firms had to be U.S.-based and serve individual investors as their primary business. For 2016, Freestone is ranked #88 (out of 100). None of Freestone or its employees pay a fee in exchange for inclusion in this list.

Financial Times – FT 300 Top Registered Investment Advisers

The 2016 Financial Times 300 Top Registered Investment Advisors is an independent listing produced by the Financial Times (June 2016). The FT 300 is based on data gathered from RIA firms, regulatory disclosures, and the FT’s research. 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. None or Freestone or its employees pay a fee in exchange for inclusion in the list.

Investment News – Top Fee-only RIAs by State

InvestmentNews qualified firms headquartered in the United States based on data reported on Form ADV to the SEC as of May 1. To qualify, firms just have met the following criteria: (1) Latest ADV filing date is either on or after Jan. 1, 2015. (2) Total AUM is at least $100 million. (3) Does not have employees who are registered representatives of a broker-dealer. (4) Provided investment advisory services to clients during its most recently completed fiscal year. (5) No more than 50% of regulatory assets under management is attributable to pooled investment vehicles (other than investment companies). (6) No more than 25% of Regulatory assets under management is attributable to pension and profit-sharing plans (but not the plan participants). (7) No more than 25% of regulatory assets under management is attributable to corporations or other businesses. (8) Does not receive commissions. (9) Provides financial planning services. (10) Is not actively engaged in business as a broker-dealer (registered or unregistered). (11) Is not actively engaged in business as a registered representative of a broker-dealer. (12) Has neither a related person who is a broker-dealer/municipal securities dealer/government securities broker or dealer (registered or unregistered) nor one who is an insurance company or agency. For 2015, Freestone is ranked #3 (out of 59 in Washington). None of Freestone or its employees pay a fee in exchange for inclusion in this list.

Designations

Chartered Financial Analyst (CFA)®

Issuing organization:

CFA Institute
Required Prerequisites/Experience:
Undergraduate degree and four years of professional experience involving investment decision-making
or
Four years qualified work experience (full time, but not necessarily investment related)
Educational Requirements:
Self-study program (250 hours of study for each of three levels)
Examination Type:
Three course exams
Required Continuing Education/Experience:
None
Accredited By:
None
Chartered Financial Analyst® and CFA® are registered trademarks of CFA Institute.

 

Chartered Alternative Investment Analyst (CAIA)®

Issuing organization:

Chartered Alternative Investment Analyst Association
Required Prerequisites/Experience:
Bachelor’s or equivalent degree and more than one year of business experience in the financial industry
or
Four years of experience in the financial industry
Required Education:
Self-study certification program requires the successful completion of both the Level I and Level II examinations
Examination Type:
Two CAIA exams
Required Continuing Education/Experience:
None
Accredited By:
None
Chartered Alternative Investment Analyst® and CAIA® are registered trademarks of Chartered Alternative Investment Analyst Association

 

Certified Investment Management Analyst (CIMA)®

Issuing organization:

Investment Management Consultants Association
Required Prerequisites/Experience:
Three years of verifiable financial services experience
and
Must answer “no” to all disclosure questions on Form U-4 that cover criminal and regulatory violations, civil judicial actions, and consumer complaints, or else satisfactorily justify a “yes” answer
Educational Requirements:
Complete the following:
• Self-study education (approximately five months)
• One-week classroom education program provided by a university business school accredited by The Association to Advance Collegiate Schools of Business
Examination Type:
Online examination for self-study Level 1 program and an in-class final certification examination for classroom education program
Required Continuing Education/Experience:
40 hours every two years
Accredited By:
American National Standards Institute
Certified Investment Management Analyst® and CIMA® are registered trademarks of Investment Management Consultants Association

 

Accredited Asset Management Specialist (AAMS)®

Issuing organization:

College for Financial Planning
Required Prerequisites/Experience:
None
Required Education:
Self-study course requiring 100-120 hours
Examination Type:
Final closed-book exam
Required Continuing Education/Experience:
16 hours every 2 years
Accredited By:
None
Accredited Asset Management Specialist® and AAMS® are registered trademarks of College for Financial Planning

 

Certified Financial Planner (CFP)®

Issuing organization:

Certified Financial Planner Board of Standards, Inc.
Required Prerequisites/Experience:
A bachelor’s degree (or higher) from an accredited college or university
and
Three years of full-time personal financial planning experience
Educational Requirements:
Complete a CFP-board registered program or hold one of the following:
• CPA (Certified Public Accountant)
• ChFC (Chartered Financial Consultant)
• CLU (Chartered Life Underwriter)
• CFA (Chartered Financial Analyst)
• PhD in business or economics
• Doctor of Business Administration
• Attorney’s License
Examination Type:
CFP Certification Examination
Required Continuing Education/Experience:
30 hours every two years
Accredited By:
National Commission for Certifying Agencies
Certified Financial Planner® and CFP® are registered trademarks of Certified Financial Planner Board of Standards, Inc.

 

Financial Risk Manager (FRM)®

Issuing organization:

Global Association of Risk Professionals (GARP)
Required Prerequisites/Experience:
Two years work experience in an appropriate financial risk management career and GARP individual membership
Educational Requirements:
Self-study exam
Examination Type:
Final closed-book exam
Required Continuing Education/Experience:
None
Accredited By:
None
Financial Risk Manager® and FRM® are registered trademarks of Global Association of Risk Professionals

 

Certified Private Wealth Advisor (CPWA)®

Issuing organization:
Investment Management Consultants Association
Required Prerequisites/Experience:
• Must demonstrate the following prerequisites:Bachelor’s degree from an accredited college or university or one of the following designations or licenses: CIMA®, CIMC®, CFA ®, CFP®, ChFC®, or CPA license
• Undergo and pass a background check
• Five years of experience in financial services or delivering services to high-net-worth clients
Educational Requirements:
Complete the following:
• Self-study education
• Five-day classroom education program at The University of Chicago Booth School of Business
Examination Type:
An in-class certification examination
Required Continuing Education/Experience:
40 hours every two years
Accredited By:
None
Certified Private Wealth Advisor® and CPWA® are registered trademarks of Investment Management Consultants Association