Financial Times Award Disclosure
“FT” and “Financial Times” are trademarks of The Financial Times Ltd. (“FT”). The Financial Times “300 Top Registered Investment Advisers” is an independent listing (“The FT 300”) that is produced annually. FT is not affiliated with Firm. The FT 300 is presented as “an elite group,” not a competitive ranking of one to 300. Chicago Partners (the “Firm”) applied for consideration, and the resulting award was independently granted. The results are not based upon information or opinions of participating Registered Investment Advisers’ (“RIA”) clients. Therefore, inclusion on The FT 300 is not representative of any participating RIA’s client’s experiences and should not be construed as a current or past endorsement of the Firm by any of its clients.

Applicants are graded on six factors: assets under management (“AUM”); AUM growth rate; company’s years in existence; compliance record; industry certifications; and online accessibility. By considering the “compliance record,” eligibility to appear on The FT 300, FT seeks to ensure that a participating RIA has an established and significant history and record free from regulatory sanctions. As of 2019, FT and “Ignites Distribution Research,” a subsidiary of FT that provides business intelligence on the asset management industry, invited more than 2,000 RIAs to apply for consideration. 740 RIA companies applied and 300 made the final list across 37 states. The Firm has received The FT 300 Award from 2014-2020. The selection results and date for each year is as follows: 2014 there were over 2,000 firms included; 2015 there were over 1,500 firms included; 2016 there were over 1,500 firms included and 520 RIA companies applied, 2017 there were over 2,000 firms included and 525 RIA companies applied, 2018 there were over 2,000 firms included and 760 RIA companies applied, 2019 there were over 2,000 firms included and 740 RIA companies applied, 2020 there were over 2,000 firms included and 760 RIA companies applied. In each calendar year, The FT 300 will select 300 RIAs to receive the award based on their criteria outlined below. Additionally, The FT 300 caps the number of advisory companies from any one state. The cap is roughly based on the distribution of millionaires across the United States. The FT 300 is based on data gathered from RIAs, regulatory disclosures, FT’s research, and/or research conducted on FT’s behalf by Ignites Distribution Research.

As of 2019, The FT 300 formula used to grade advisers is based on six broad factors and calculates a numeric score for each adviser. Areas of consideration include AUM, asset growth, the company’s age, industry classifications of key employees, SEC compliance record and online accessibility. The reasons these were chosen are as follows:

- AUM signals experience managing money and client trust.
- AUM growth rate can be a proxy for performance, as well as for asset retention and the ability to generate new business. We assessed companies on three-year growth rate.
- Companies’ years in existence indicates reliability and experience of managing assets through different market environments.
- Compliance Record provides evidence of past client disputes; a string of complaints can signal potential problems.
- Industry certifications (CFA, CFP, etc) shows the company’s staff has industry knowledge and a professional commitment to investment skills.
- Online accessibility shows a desire to provide easy access and transparent contact information.

Among the top factors in scoring, AUM accounted for an average of 72 percent of each adviser’s score. Their growth rate accounted for an average of 15 percent. The FT places a cap on the number of advisers from any one state, corresponding to the distribution of millionaires across the US.

Neither the participating RIAs nor their employees pay a fee to FT in exchange for inclusion in The FT 300. However, the Firm may pay a fee to FT, an affiliate, or an unaffiliated third party in exchange for plaques or article reprints commemorating the designation. While the Firm would pay this fee after receiving the designation and not as a condition precedent to receiving it, the fact that the Firm pays any fee with respect to its receipt of the designation should be considered if such designation is a factor in a client or prospective client’s evaluation of whether to initially to engage or continue to engage the Firm for investment advisory services. There are no facts that would call into question the validity of the inclusion on The FT 300 or the appropriateness of the Firm’s advertising the same. The Firm’s receipt of this award designation is not indicative of the Firm’s ’s future performance, or any future performance pertaining to its clients’ investments; should not be construed by a client or prospective client as a guarantee that they will experience a certain level of results if the Firm is engaged, or continues to be engaged, to provide investment advisory services.