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Accolade Disclosures

Financial Times – FT 300:  Top Registered Investment Advisers in the U.S.

In 2019, Transform Wealth was recognized by Financial Times as a “FT 300 Top Registered Investment Adviser” in the United States and one of the top advisory firms in the State of Colorado. The recognition is “an elite group segmented by state, rather than by a competitive ranking.” Criteria used to evaluate over 760 advisors included six broad factors:

  • Assets Under Management (AUM) – selecting firms with more than $300 million under management
  • AUM Growth Rate – an indicator for asset retention and obtaining new clients
  • Years in Existence – demonstrating reliability and experience managing assets through different market environments
  • Compliance Record – provides evidence of a sound regulatory background and past client disputes
  • Industry Certifications – shows the company’s staff has industry knowledge and a professional commitment to investment skills

Financial Advisor Magazine – Top 50 Fastest-Growing Firms

In 2020, Transform Wealth was ranked #30 out of 50 firms by Financial Advisor (FA) Magazine as one of the “Top 50 Fastest Growing Firms.” Eligible firms must be registered investment advisors and provide financial planning and related services to individual clients. Firms with at least $400 million in assets under management are included in the national ranking.

Financial Advisor Magazine – 2020 FA’s RIA Ranking

Transform Wealth was listed in Financial Advisor (FA) Magazine’s “2020 FA’s RIA Survey & Ranking”, ranked #278 out of 314 firms that made the list in the $1 Billion and Over Asset Category.

2020 Five Star Alliance Wealth Manager – As seen in 5280 Magazine and ColoradoBiz Magazine

In 2019, Transform Wealth was awarded “The Five Star Wealth Manager award”, administered by Crescendo Business Services, LLC (dba Five Star Professional). 2,146 Denver area wealth managers were considered for the award and only 12% (262) of the candidates received this prestigious recognition. The award is based on 10 objective criteria:

Eligibility criteria – required: 

  1. Credentialed as a registered investment adviser or a registered investment adviser representative; 
  2. Actively licensed as a registered investment adviser or as a principal of a registered investment adviser firm for a minimum of 5 years; 
  3. Favorable regulatory and complaint history review (as defined by Five Star Professional) and the wealth manager has not:
  • Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine 
  • Had more than a total of three settled or pending customer complaints filed against them (and no more than 5 total pending, dismissed, or denied) with any regulatory authority 
  • Individually contributed to a financial settlement of a customer complaint 
  • Been terminated from a wealth management or financial services firm (within the past 11 years) 
  • Filed for personal bankruptcy (within the past 11 years) 
  • Been convicted of a felony (within the past 11 years)  

Feedback from consumers, including whether respondents had an unsatisfactory experience with a wealth manager, is used to augment the regulatory history review;

  1. Fulfilled their firm review based on internal standards; 
  2. Accepting new clients

Evaluation criteria – considered: 

  1. One-year client retention rate; 
  2. Five-year client retention rate; 
  3. Non-institutional discretionary and/or non-discretionary client assets administered; 
  4. Number of client households served; 
  5. Education and professional designations. 

Each wealth manager who passes the Five Star regulatory review must attest that they meet the definition of favorable regulatory history as defined by Five Star Professional. 

Expertise – 2020 Best Financial Advisors in Denver

In 2020, Expertise conducted their “Best Financial Advisors in Denver” survey and recognized Transform Wealth as one of the “Top 15 Financial Advisors in Denver” from a list of 152 Financial Advisors reviewed. The selection process begins by identifying a broad pool of active professionals within the financial advisor industry and geographical area. Contact and license information is verified to assure selection candidates are actively doing business and are in good standing. Selection criteria considers more than 25 variables across the following categories:

  • Reputation: A history of satisfied customers giving excellent recommendations
  • Credibility: Established in their industry with licensing, accreditations and awards
  • Experience: Masters of their craft, based on years of practical experience and education
  • Engagement: Approachable and responsive to clients and available for new business
  • Professionalism: Dedicated to providing consistently quality work and impeccable customer service

Advisory HQ – 2019 Best Financial Advisors in Colorado

In 2019, AdvisoryHQ ranked Transform Wealth as one of the “Top 13 Best Financial Advisors in Colorado.” AdvisoryHQ developed a breakthrough “Top-Down Advisor Selection Methodology” with their rankings always 100% independently researched and written. Firms do not even realize that they are being reviewed by AdvisoryHQ until after their reviews have been completed and published to the public. Selection methodology include:

  • Fiduciary Duty – a regulatory responsibility to always act in the clients’ best interest
  • Independence – firms without an affiliation with a major bank or financial institution, leading to a reduced conflict of interest situation
  • Fee Structure – emphasizes fee only firms without commissions or third-party referral payments
  • Experience Level – Years of experience, certification and leading roles within their fields of expertise 
  • Transparency – fees are completely transparent
  • Client Type – work with individuals and families
  • Open Door Policy – actively encourage you to contact them throughout the year before you make major financial decisions
  • Customized Services – provides services that are tailored toward their clients’ unique situations 
  • History of Innovation – a commitment to investing in their team, education and technology
  • Quality of Advisor’s Website – ease of use, graphical design and functionality

Denver Business Journal – 2020 Largest Investment Managers and Financial Planners based in Colorado

Investment managers and financial planners must be headquartered in Colorado. The information on The List was supplied by individual companies through questionnaires and could not be independently verified by Denver Business Journal (DBJ). Only companies that replied to DBJ’s inquiries were included in the list.

Disclaimer: Awards and recognitions by unaffiliated rating services, companies, and/or publications should not be construed by a client or prospective client as a guarantee that he/she will experience a certain level of results if the Firm is engaged, or continues to be engaged, to provide investment advisory services; the rating is not representative of any one client’s experience, nor should they be construed as a current or past endorsement of the Firm or its representatives by any of its clients. Rankings published by magazines and others are generally based exclusively on questions prepared by the magazine and others and responded to and submitted by the recognized advisor. Transform Wealth did not pay a fee for inclusion on any of these aforementioned lists. While Transform Wealth did not pay a fee to be on the Expertise list, a fee was paid to Expertise to be a Featured Advisor.