Securities offered through Royal Alliance Associates, member FINRA/SIPC. Investment advisory and insurance services offered through Cassaday and Company, a registered investment adviser not affiliated with Royal Alliance Associates.
This communication is strictly intended for individuals residing in the states of Alabama, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Illinois, Indiana, Iowa, Kansas, Kentucky, Maine, Massachusetts, Maryland, Michigan, Minnesota, Mississippi, Missouri, Montana, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia and Wyoming. No offers may be made or accepted from any resident outside the specific state(s) referenced.
The following individuals are not registered with Royal Alliance Associates, Inc., or Cassaday and Company, Inc.: Alexandra Krial, Allison Felix, Angelica Eagy, Anna Shkrabaliuk, Annie Khoury, Arpine Jamjyan, Avatus Stone, Ben Lee, Brenda McKenzie, Brooke Orlando, Bryanda Epps, Chelsea Miller, Chad Cassaday, Chris Cassaday, Cindy Portillo, Daven Foulk, Dayanara Veliz, Heather Tweedlie, Helen Kim, Fatima Masumi, Jenna Wardrip, Jessica Marchegiano, Jimmit Bhatt, Justin Diggs, Karolyn Banks, Katie Donadio, Kristin Woodson, Kelly Timms, Lindsey Witchie, Lisa Adams, Michael Sweeney, Michelle Tigani, Natalie Plavan, Rachel Boyell, Ramah Jaradat, Riley Saunders, Robert Blankenship, Robert Goughnour, Ryan Muscatella, Ryan Oliver, Ryan Tormey, Sarah Mouser, Seneca Peklo, Shawn Walters, Tabitha King, Tom Wagaman.
Cassaday & Company, Inc. was originally formed in 1993. In January 2022, Cassaday & Company, Inc., joined Focus Financial Partners and will continue to do business as Cassaday & Company, Inc.
Click here for Cassaday & Company, Inc.’s Form CRS.
ELECTRONIC COMMUNICATION DISCLOSURES
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AWARD AND RECOGNITION DISCLOSURES
Third-party rankings and recognitions are no guarantee of future investment success and do not ensure that a client or prospective client will experience a higher level of performance or results. These ratings should not be construed as an endorsement of the advisor by any client nor are they representative of any one client’s evaluation.
Alliance for Workplace Excellence – AWE – (2012, 2014-2017) The Alliance for Workplace Excellence’s (AWE) Workplace Excellence Award highlights businesses that promote professional fulfillment and personal wellness at work, at home, and in the community. Excellent Workplace Award winners demonstrated equal merit in each of the following categories: Workforce Demographics, Management Practices, Employee Engagement, Corporate Social Responsibility, Diversity and Inclusion, Total Rewards Programs and Benefits, Health & Wellness Programs and Initiatives and the Employee Voice Survey. For more information, please visit http://www.excellentworkplace.org/awards-workplace.html.
Arlington Magazine – (2015, 2017) The Arlington Magazine “Best Of” designation is awarded to individuals who are nominated by the public as being the best in their field. The “Best Financial Planners/Advisors” are those who received the most recommendations. Portfolio performance is not a factor. No fee was paid for this award.
Barron’s – (2007-2022) The formula Barron’s uses to rank advisors is proprietary. It has three major components: assets managed, revenue produced and quality of practice. Investment returns are not a component of the rankings because an advisor’s returns are dictated largely by the risk tolerance of clients. The quality-of-practice component includes an evaluation of each advisor’s regulatory record. Please see https://www.barrons.com/articles/barrons-methodology-for-ranking-financial-advisors-51615843316 for more information.
Barron's - (2019) Barron's Hall of Fame is an award honoring a group of advisors who exemplify long-term success and commitment to their clients. Each member of the Hall of Fame has appeared in Barron's annual Top 100 Advisor rankings for 10+ years, and their long-looking commitment to excellence is a hopeful example for the industry to follow.
FA Magazine – (2007-2008, 2010, 2012-2022) Financial Advisor Magazine used discretionary and nondiscretionary assets under management as reported on Form ADV to compile their RIA rankings. Cassaday & Company did not pay a fee in exchange for inclusion on this list. More information can be found at http://www.fa-mag.com/research/ria-survey.
Financial Times – (2011-2015, 2018-2020) The Financial Times 400 Top Financial Advisors is an independent listing produced annually by the Financial Times. The FT 400 is based on data gathered from advisors, broker-dealer home offices, regulatory disclosures, and the FT’s research. The listing reflects each advisor’s status in six primary areas: assets under management (AUM), asset growth, compliance record, experience, credentials and online accessibility. This award does not evaluate the quality of services provided to clients and is not indicative of this advisor’s future performance. Neither the brokerages nor the advisors pay a fee to the Financial Times in exchange for inclusion in the FT 400.
Forbes – (2016-2017) The Forbes ranking of America’s Top Wealth Advisors, developed by SHOOK Research, is based on an algorithm of qualitative and quantitative data, rating thousands of wealth advisors with a minimum of seven years of experience and weighing factors like revenue trends, assets under management, compliance records, industry experience and best practices learned through telephone and in-person interviews. Portfolio performance is not a criteria due to varying client objectives and lack of audited data. Neither Forbes or SHOOK receive a fee in exchange for rankings. For more information, please go to http://www.forbes.com/sites/rjshook/2016/08/03/shook-research-methodology-forbes-top-wealth-advisors/#1d882c664485.
Forbes – (2017-2020) America’s Top Next Generation Wealth Advisors – SHOOK Research considered advisors born in 1980 or later with a minimum 4 years relevant experience. Advisors have built their own practices and lead their teams; joined teams and are viewed as future leadership; or a combination of both. Ranking algorithm is based on qualitative measures derived from telephone and in-person interviews and surveys: service models, investing process, client retention, industry experience, review of compliance records, firm nominations, etc.; and quantitative criteria, such as assets under management and revenue generated for their firms. Investment performance is not a criteria because client objectives and risk tolerances vary, and advisors rarely have audited performance reports. Rankings are based on the opinions of SHOOK Research, LLC. Neither SHOOK nor Forbes receives compensation from the advisors or their firms in exchange for placement on a ranking. For more information see https://www.forbes.com/top-millennial-advisors/#6335ef255aed.
Forbes – (2018-2022) The Forbes ranking of Best-In-State Wealth Advisors, developed by SHOOK Research, is based on an algorithm of qualitative criteria, gained through telephone, virtual and in-person due diligence interviews, and quantitative data. Those advisors that are considered have a minimum of seven years experience, and the algorithm weighs factors like revenue trends, assets under management, compliance records, industry experience and those that encompass best practices in their approach to working with clients. Portfolio performance is not a criterion due to varying client objectives and lack of audited data. Neither Forbes nor SHOOK receive a fee in exchange for rankings.
Forbes – (2019-2020) Best-In-State Next-Gen Wealth Advisors – Developed in 2019 by SHOOK Research, this list is based on an algorithm of qualitative criterion, mostly gained through telephone and in-person due diligence interviews, and quantitative data. Those advisors that are considered have a minimum of four years' experience, and the algorithm weighs factors like revenue trends, assets under management, compliance records, industry experience and those that encompass the highest standards of best practices. Portfolio performance is not a criterion due to varying client objectives and lack of audited data. Neither Forbes nor SHOOK receive a fee in exchange for rankings.
Helios HR – (2013) Helios HR is a provider of human capital management solutions that optimize workforce and business operations. Finalists were selected by an independent panel of judges for their employee development initiatives, community outreach, and their ability to communicate the overall impact of these programs. For more information, visit www.helioshr.com.
Inc. Magazine – (2007-2010, 2014-2021) The Inc. 500|5000 is ranked according to percentage revenue growth for four years. To qualify, companies must have been founded and generating revenue by the first week of four years prior to the year won, and therefore able to show four full calendar years of sales. Additionally, they have to be US based, privately held, for profit, and independent — not subsidiaries or divisions of other companies.
Invest in Others - (2022) To be eligible for the Invest in Others award program, firms must meet all of the following criteria: be in business a minimum of 1 year, have a minimum of 10 employees in the United States, all employees in the company should be included in the employee count, not just the financial advising department, be a registered investment adviser (RIA), affiliated with (but not an employee of) an independent broker-dealer (IBD), or a hybrid/dually-registered firm affiliated with an IBD and doing business through an RIA, and should directly provide financial advice to households or organizations.
Investment News – Best Practices in Technology (2015)– The IN Adviser Technology Study highlights the ways in which firms have punched through the ceiling with the most advantageous use of staff members and technology strategies. Winners selected based on the following metrics: Operating Profit, Revenue Growth, Productivity (Revenue per Professional and Revenue per Staff) and Integration Score (number of integrated core technology solutions).
Investment News – Best Places to Work for Financial Advisors- (2018-2022) This recognition program identifies and recognizes financial advisory firms that empower employees to provide clients with the best possible investment and financial planning advice. Eligibility requirements include being a registered investment adviser (RIA) or being affiliated with an independent broker-dealer (IBD), being in business for a minimum of one year, and having a minimum of 15 full-time employees.
Leadership Center for Excellence – (2017) According to Leadership Center for Excellence, 40 Under 40 is societal call to action to identify the next generation of emerging leaders and trailblazers in the DC metropolitan region. Its purpose is to recognize 40 emerging leaders under the age of 40 who demonstrate impact personally and/or professionally through their exceptional leadership in our region. The under-40 demographic represents a large segment of our region’s population. Leadership Center for Excellence and our community as a whole have the responsibility to empower and celebrate this civically-minded, future leadership. Portfolio performance is not a factor. No fee is paid to participate. To learn more please visit leadercenter.org.
Leesburg Today – Leesburg Today/Ashburn Today – (2015) The “40 Under 40” list is compiled by Leesburg Today/Ashburn Today. The list acknowledges the up-and-coming business and community leaders who live or work in Loudoun County. The honorees, all under the age of 40, were chosen from more than 100 nominations based on professional accomplishments, community involvement and commitment to Loudoun County. The selection committee consisted of representatives from Leesburg Today, members of the Loudoun Chamber of Commerce’s Young Professionals Group, and prior honorees.
NABCAP (National Association of Board Certified Advisory Practice) – (2011-2014) NABCAP evaluates candidates on 20 categories of practice management. Characteristics of an advisory practice evaluated include but are not limited to: Years of experience, Credentials/Designations, Average AUM per client, Investment philosophy, Risk philosophy, U4/ADV status, and Customer service. Advisors are invited to participate by submitting an online questionnaire. No fee is paid to participate.
Northern Virginia Magazine – (2011-2021) The Top Financial Professional list is compiled by the Northern Virginia magazine. The magazine sends out nomination forms to Financial Associations in Northern Virginia to nominate professional advisors in the various categories. The “Top Financial Professional” listing is given to those financial advisors that receive the most nominations. Financial professionals do not pay a fee to be included.
Pensions and Investments – (2015) Money managers self-nominate through a registration process overseen by the global survey unit of Buck Consultants LLC, our partner on Best Places to Work. Organizations must have at least 20 U.S. employees in order to be considered for inclusion. Rankings are determined by the results of two surveys: an employer survey detailing hiring practices, benefits and pay and a second, brief employee-driven survey. The combined scores of the employer and employee surveys determine the 2015 Best Places to Work in Money Management.
Radford University – (2016-2017) Outstanding Alumnus Award: Recognizes a graduate who has made remarkable contributions to society through his or her profession. Young Alumnus Merit Award: Is given to an alumnus 35-or-under who has made significant career achievements and has been actively involved in Radford University programs or civic and volunteer activities. Portfolio performance is not a factor. No fee is paid to participate.
Radford University – (2021) Outstanding Service Award: Recognizes a graduate who has made exceptional contributions to furthering the mission of the university and has demonstrated how an alumnus can continue to support Radford University through their time, talent, and resources, Portfolio performance is not a factor. No fee is paid to participate.
REP. Magazine – (2007-2009) Methodology: Advisors on the Top 40 Under 40 Independent Broker/Dealer Advisors list are ranked exclusively by assets under management. The magazine solicited nominations from the top 35 IBDs by headcount. REP. magazine and WealthManagement.com do not receive any compensation from financial advisors, participating forms and affiliates or the media in exchange for rankings.
REP. Magazine – (2014-2015) REP. Magazine methodology: Advisors on the Top NextGen Independent Broker/Dealer Advisors list are ranked exclusively by total assets under management. We solicited nominations from the top 30 IBDs by headcount, sourced from Cerulli Associates. These are the firms that responded. REP. magazine and WealthManagement.com do not receive any compensation from financial advisors, participating firms and affiliates, or the media in exchange for rankings.
The Washington Post – (2020-2022) Top Workplaces Award: Selection is based solely on employee feedback gathered through an anonymous third-party survey administered by research partner Energage, LLC, which measured several aspects of workplace culture, including alignment, execution, and connection. This year’s honorees include government contractors, real estate firms, professional and business services, law firms and tech companies.
Virginia Business - Best Places to Work – (2012-2022) To be considered for participation in Best Places to Work list created by Virginia Business and Best Companies Group, companies had to fulfill the following eligibility requirements: be a for-profit or not-for-profit business or government entity, be a publicly or privately held business, have a facility in the state of Virginia, have at least 15 employees working in Virginia and have been in business a minimum of 1 year. Best Companies Group managed the overall registration, survey and analysis process and determined the final rankings. For more information on the Best Places to Work in Virginia program, visit www.bestplacestowork.com.
Virginia Business – Virginia 500 Power List – (2021) Virginia Business considers a variety of factors, including — but not limited to — annual revenue, newsworthiness, community involvement, diversity, number of employees (in Virginia and worldwide) and how large a presence the organization has in the commonwealth. It’s important to note that inclusion in the Virginia 500 is not an endorsement by Virginia Business. It is simply recognition of a person’s power, influence and importance within their field.
Virginia Living Magazine – (2017, 2020, 2022) Virginia Living Magazine solicits the input from the public on who is the best in their field for its “Best of Virginia” list. Firms selected received the most recommendations. Portfolio performance is not a factor.
Washington Business Journal – (2007-2008, 2010-2013, 2015-2022) For the Washington Business Journal Best Places to Work program, employees of nominated companies are asked to complete an employee engagement survey. Companies are ranked and finalists are chosen in each size category according to their overall engagement score. Overall number of responses is also factored into the engagement score. Winners are chosen 100% based on the results of the survey and in essence by the employees themselves.
Washingtonian – Great Places to Work (2009, 2011, 2013, 2015, 2017, 2019) For the Washingtonian’s Great Places to Work program, employees of nominated companies are asked to complete an employee survey asking detailed questions about the organization’s benefits, personnel and policies. Companies much reach a minimum level of employee participation, based on total number of employees, to be eligible as a finalist. Companies are ranked and finalists are chosen according to their overall score.
Washingtonian – Top Wealth Advisors (2008-2022) The Washingtonian Top Financial Planner is awarded to individuals who are nominated and surveyed by their industry peers as being the best in their field. The advisors select are those who received the most recommendations from their peers. Portfolio performance is not a factor.
Wealthmanagement.com’s Thrive Award (2019) – The Thrive 500 Award is an award granted by the magazine WealthManagement.com. The Award is determined solely by revenue growth. Applicants are Financial Advisors who offer financial services to individual clients in the areas of investments, insurance, financial planning, wealth management, and had verified revenue of at least $100,000. Advisors are selected by state/region, by type of business, type of firm, and size of their book of business. No clients were consulted and no fees were paid to determine the winner, however applicants pay a $90 administration fee when applying. For more information about this award, go to: https://thriveawards.com.
SOCIAL MEDIA DISCLOSURES
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