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RFG Advisory awards criteria.

RFG Advisory, LLC. (RFG) is an SEC registered investment adviser located in Birmingham, Alabama. RFG and its investment advisor representatives are in compliance with the current filing requirements imposed upon SEC registered investment advisers by those states in which RFG maintains clients. RFG may only transact business in those states in which it is registered or qualifies for an exemption or exclusion from registration requirements.

This web site and RFG’s related media channels such as YouTube, Twitter or LinkedIn are 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 RFG’s web sites on the internet should not be construed by any consumer and/or prospective client as RFG’s solicitation to effect, or attempt to effect transactions in securities, or the rendering of personalized investment advice for compensation, over the internet.

RFG 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 this 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.

Certain portions of RFG’s web sites (i.e., newsletters, articles, commentaries, etc.) may contain a discussion of, and/or provide access to, RFG (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 discussions 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 RFG, or its investment advisor representatives. RFG is neither an attorney nor an accountant, and no portion of the web site content should be interpreted as legal, accounting or tax advice.

Rankings and/or recognition by unaffiliated rating services 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 RFG is engaged, or continues to be engaged, to provide investment advisory services, nor should it be construed as a current or past endorsement of RFG by any of its clients. 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. RFG does not pay a fee to be considered for any ranking or recognition but may purchase plaques or reprints to publicize rankings.




Forbes’ 2022 America’s Top RIA Firms

Forbes’ 2022 America’s Top RIA Firms

Data provided to SHOOK ® Research, LLC by RFG Advisory as of 12/31/21. America’s Top Registered Investment Advisor Firms ranking by SHOOK Research and is based on in-person, virtual and telephone due diligence meetings and a ranking algorithm that includes: a measure of best practices, client retention, industry experience, review of compliance records, firm nominations; and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion because client objectives and risk tolerance vary, and advisors rarely have audited performance reports. For more information, please see www.SHOOKresearch.com. RFG Advisory did not pay a fee to participate or be considered.

ThinkAdvisor Luminaries 2022

ThinkAdvisor Luminaries 2022

LUMINARIES Class of 2022 Finalists, are being recognized this year for the many dynamic and inclusive ways they are driving the wealth, investment and retirement industry forward. It aims to highlight how top-performing industry participants that produce meaningful results through efforts that matter most to advisors in Community Impact; Diversity, Equity & Inclusion; Executive Leadership; and Thought Leadership & Education. Finalists will be reviewed by a diverse panel of judges from across the advice industry, as well by our editorial team.

RFG Advisory did not pay a fee to participate or be considered.

RIA Channel Top 50 Wealth Managers by Growth Assets 2022

RIA Channel Top 50 Wealth Managers by Growth Assets 2022

2022 Top 50 Wealth Managers By Growth In Assets List Methodology: RIA Database ranked the Top 50 Wealth Managers by Growth in Assets on an absolute basis over a one year time frame. RIA Database has been providing RIA rankings for Forbes and several industry publications, including RIA Channel (RIAChannel.com) for over ten years. Criteria and requirements for this list include the following:

All firms are active registered investment advisers (RIAs) with the SEC, and have no regulatory, criminal or administrative violations on file per the SEC as of March 31, 2022.

All firms provide wealth management services as their primary business. These services may include financial planning, selection of third party investment managers, portfolio construction services, family office services, comprehensive estate planning, asset allocation services or similar functions to high net worth and/or ultra high net worth individuals.

All qualified wealth managers with $100 million in assets under management or greater were ranked based on percentage of growth over a one year period from assets as reported to the SEC on their Form ADV Part I filing on March 31, 2021 to March 31, 2022.

As with previous WSR Pathfinder Awards, we reviewed a wide range of top executives against a robust set of criteria, including their impact on wealth management, charitable activities, years in leadership and recognition within the industry.

RFG Advisory did not pay a fee to participate or be considered.

WSR Pathfinder Awards Winner - Top Women Leaders in Wealth Management

WSR Pathfinder Awards

March 2022: WSR recognizes another group of leaders in wealth management – women who helm their firms – as the next in the series of our invitation-only WSR Pathfinder Awards, which recognizes the combination of wealth management industry success and diversity. As with previous WSR Pathfinder Awards, we reviewed a wide range of top executives against a robust set of criteria, including their impact on wealth management, charitable activities, years in leadership and recognition within the industry.

RFG Advisory did not pay a fee to participate or be considered.

InvestmentNews Best Places to Work for Financial Advisors

InvestmentNews Best Places to Work for Financial Advisers 2022

InvestmentNews collaborated with Best Companies Group, an independent research firm specializing in identifying great places to work, to create the survey and recognition program. Recipients are selected from a two-part survey completed by employers and employees. Employers report their organization’s workplace policies, practices and demographics, and employees complete a survey designed to measure the employee experience. Scores from the employee survey represent three-quarters of the weight of the final rankings.

To qualify as one of InvestmentNews Best Places to Work for Financial Advisers, an advice firm must have at least 15 employees and have been in business for one year. There is no charge to register.

RFG Advisory did not pay a fee to participate or be considered.

Women in Asset Management Awards Series

Women in Asset Management Awards Series

For 2021: Shannon Spotswood was Nominated Advocate of the Year in Asset/Wealth Management. The Women in Asset Management Awards recognizes women working in asset/wealth management who lead by example, inspiring women to choose this industry, ensuring equity and inclusion, and creating opportunity for women to have a transformational impact on their organizations in the last 18 months. As well as examining the initiatives the candidates has pioneered to inspire women and diverse talent to succeed in asset/wealth management, judges will also assess their leadership and the initiative’s impact on, and integration with, the business.

RFG Advisory did not pay a fee to participate or be considered.

ThinkAdvisor Luminaries 2021

ThinkAdvisor Luminaries 2021

Our distinguished judging panel and seasoned editorial team consider the nominee’s impact on the firm, its advisors and the broader professional community and industry, as well as on the landscape of clients, prospective clients, investors and would-be investors nationwide.

This impact should include both quantitative and qualitative results -- such as the number of advisors affected by the nominee and a clear description of the innovative way the nominee has contributed to the particular program, firm and broader community, and industry.

A demonstrated ability to achieve goals and display ingenuity in terms of creative thinking and problem solving – i.e., filling a significant gap.

A description of the nominee’s dedication to furthering the development of advisors and the industry -- most notably its ability to serve the best interests of investor clients and the broader community in which they live and work.

A personal commitment to the highest ethical standards, service and excellence.

You may nominate individuals, teams or organizations. Please submit no more than four entries per company. If nominating a team or company, please include only the names and titles of its leaders and key members. We encourage you to limit your entries to nominees who have made indelible impacts on the business.

All entries must include 3-5 examples that qualitatively and quantitatively demonstrate the impact their efforts have had over the past 12 months.

RFG Advisory did not pay a fee to participate or be considered.

InvestmentNews Icons & Innovators

InvestmentNews’ Icons & Innovators

For 2021: RFG Advisory, its new StrongHER Money program is an opportunity to give back to the community while also tapping a market segment that’s been overlooked. Winners are be chosen by InvestmentNews’ advisory board of industry experts.

From more than 100 nominations submitted each year from readers, staff and other experts in the industry, InvestmentNews editors select men and women whose innovative ideas, products and solutions stand out as meaningful contributions to the financial advice profession. A rigorous selection process designed to identify individuals and firms that contributed profoundly and consistently to the advancement of the financial advice profession and for conceiving new ideas and tools that have propelled the industry forward.

RFG Advisory did not pay a fee to participate or be considered.

Best and Brightest Companies to Work for in then Nation 2021

Best and Brightest 2021

The Best and Brightest Companies to Work For® competition identifies and honors companies that deliver exceptional human resource practices and an impressive commitment to their employees. Organizations are assessed based on categories such as communication, work-life balance, employee education, diversity, recognition, retention and more. Participating companies have the opportunity to benchmark results with other cities such as Atlanta, Los Angeles, New York, Nashville, Chicago and more.

The Best and Brightest programs identify, recognize, and celebrate the organizations that epitomize Better Business. Richer Lives. Stronger Communities.

RFG Advisory did not pay a fee to participate or be considered.

WealthManagement.com 2020 & 2021 Industry Awards

Wealthmanagement.com “Wealthie” Winner for Non-Custodial RIA Support Platforms

Winners were selected based on quantitative measures of their initiatives — including scope, scale, adoption and feature set — along with qualitative measures such as innovation, creativity and new methods of delivery. The awards program was expanded in 2022 to recognize organizations that are pioneering innovation in retirement planning and charitable giving, as well as progressive companies who are advancing the integration and implementation of digital assets. And for the first time, individual awards paid tribute to up-and-comers at RIA firms.

Each of the 2022 Industry Awards finalist initiatives and company profiles can be found on the WealthiesCircle.com content platform, which will also provide a gateway to the upcoming 2022 Wealthies Podcast Digital Forums paneled by senior executives at finalist and award-winning firms.

A panel of independent judges made up of top names in the industry and led by WealthManagement.com editor-in-chief David Armstrong, determined the winners of the WealthManagement.com Industry Awards, which each year recognizes the firms and individuals who are bringing new innovations to market that make a real difference to the daily activities of financial advisors.

RFG Advisory did not pay to participate in the award selection.

Financial Times Top Financial Advisers 2020

Financial Times Top Financial Advisers 2020

TOP 300 RIA OF 13,000 RIAS NATIONWIDE

This seventh edition of the FT 300 assesses registered investment advisers based on desirable traits for investors. We present the FT 300 as an elite group, not a competitive ranking of one to 300. This is the fairest way to identify the industry’s elite advisers while accounting for the companies’ different approaches and specializations.

To ensure a list of established companies with substantial expertise, we examine the database of RIAs registered with the US Securities and Exchange Commission and select those with more than $300m in assets under management (AUM).

The Financial Times and Ignites Research, the FT’s sister company, invited qualifying RIA companies — more than 2,000 — to complete a lengthy application that gave us more information about them. We added this to our own research into their practices, including data from regulatory filings. Some 760 RIA companies applied and 300 made the final list.

The formula the FT uses 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 certifications 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 rates.
  • 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 our scoring, AUM accounted for an average of 72 per cent of each adviser’s score. Their growth rate accounted for an average of 15 per cent. The FT places a cap on the number of advisers from any one state, corresponding to the distribution of millionaires across the US. The research was conducted on behalf of the Financial Times by Ignites Research, a Financial Times sister publication.

RFG Advisory did not pay a fee to participate or be considered.

Money Management Institute Barron's Industry Awards

Barron’s Industry Awards 2020 Finalist

Nominations for the MMI/Barron’s Industry Awards were submitted in an open nomination process, and finalists were selected by a special review committee representing all segments of MMI’s membership. MMI member firms vote to determine the winners in each category.

RFG Advisory did not pay a fee to participate or be considered.

InvestmentNews Women to Watch

InvestmentNews Women to Watch

For 2020: WOMEN TO WATCH: SHANNON SPOTSWOOD

This is InvestmentNews’ sixth annual Women to Watch recognition program and we’re honoring 23 female financial advisers and industry executives who are advancing the financial advice industry.

These leaders share their experiences and expertise with others in the business — especially other women — and give back to their communities in spades. The 2020 Women to Watch honorees were chosen by an InvestmentNews selection committee out of hundreds of nominations.

RFG Advisory did not pay a fee to participate or be considered.

Are you ready to crush it?

RFG Leaf

Independence is the name of the game — and RFG is absolutely where you need to be.

Learn more about joining RFG or a RFG partner firm by talking to RFG’s Business Development Leads, Kristy Puckett and Tyler Boyce, CFP®. After all, it’s just a conversation — not a commitment, right? You may call Kristy at 205.218.6962 or email her at kpuckett@rfgadvisory.com. Or call Tyler at 214.205.7178 or email him at tboyce@rfgadvisory.com. Unleash your growth potential by becoming an independent Advisor affiliated with RFG.