Securities offered through Osaic Wealth, member FINRA/SIPC. Investment advisory and insurance services offered through Cassaday and Company, a registered investment adviser not affiliated with Osaic Wealth.
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The following individuals are not registered with Osaic Wealth, or Cassaday & Company, Inc.: Aubrianna Green, Alex Bjornsen, Alex Moir, Alexandra Krial, Allison Felix, Angelica Eagy, Anna Amirsoltani, Annie Khoury, Arpine Jamjyan, Avatus Stone, Ben Lee, Brooke Orlando, Cayenne Rooks, Chelsea Miller, Chad Cassaday, Chris Cassaday, Cindy Portillo, Colin Campbell, Daven Foulk, Erin Cochrane, Erin Good, Fatima Masumi, Hannah Eason, Janet Howard, Jenna Wardrip, Jennifer Landis-Santos, Jenny Chandler, Jenny Sajdera, Jessica Marchegiano, Jordan Trostle, Joshua Roberts, Joyce Barsoum, Justin Diggs, Karolyn Banks, Katie Donadio, Kayla Pham, Kristen House, Kristin Woodson, Lindsey Witchie, Lisa Adams, Lori Nelson, Mary Beth Butler, Matt Latterell, Michael Dietz, Michael, Sheehan, Michelle Tigani, Natalie Shkrabaliuk, Nick Carroll, Ramah Jaradat, Sarah Mouser, Shawn Walters.
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.
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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.
Arlington Magazine – Best Financial Planners (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 - Top 1200, Top 100, and Top Independent Advisors – (2007-2023) – 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. Cassaday & Co. does not pay a fee for inclusion on any Barron’s rankings. Please see https://www.barrons.com/articles/barrons-methodology-for-ranking-financial-advisors-51615843316 for more information.
Barron's - Hall of Fame, Stephan Cassaday (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. For criteria for Barron’s awards, please see disclosure directly above. Cassaday & Co. did not pay a fee for inclusion on this list. https://www.barrons.com/articles/barrons-financial-advisor-hall-of-fame-51572028751
Financial Advisor (FA) Magazine – Top RIAs (2012-2023) – 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 – Top 400 Financial Advisors (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.
Financial Times - Top 300 RIA Firms (2014-2015, 2018-2020) - The FT 300 assesses registered investment advisors based on desirable traits for investors. They present the FT 300 as an elite group rather than a competitive ranking of one to 300, as they determine this is the fairest way to identify the industry's elite advisors while accounting for the companies' different approaches and specializations. The formula the FT uses to grade advisors is based on six broad factors and calculates a numeric score for each advisor. Areas of consideration include AUM, asset growth, the company's age, industry certifications of key employees, SEC compliance record, and online accessibility. Cassaday & Company did not pay a fee in exchange for inclusion on this list. To read more about the FT 300's methodology, see here: https://www.ft.com/content/6a45556e-6c21-4770-bc94-468fee0de563
Forbes - America’s Top Next Generation Wealth Advisors – (2017-2020) – 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 – America’s Top RIA Firms (2022-2023) – America’s Top Registered Investment Advisor Firms ranking was developed 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. Participation in this directory is limited to ranked firms; once placed on a ranking, firms may choose to pay fees to Forbes and SHOOK for premium listing features as indicated by highlighted names. SHOOK’s research and rankings provide opinions intended to help investors choose the right financial advisor or firm and not indicative of future performance or representative of any one client’s experience. Investors must carefully choose the right advisor or firm for their own situation and perform their own due diligence. Past performance is not an indication of future results. Neither SHOOK nor Forbes receives compensation in exchange for its Registered Investment Advisor Firm placements or rankings, which are determined independently. For more information, visit https://www.forbes.com/sites/rjshook/2023/10/10/methodology-americas-top-ria-firms-2023/?sh=112d3aabe26d.
Forbes – America's Top Wealth Advisors (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. Neither Forbes nor 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 – Best-In-State Next-Gen Wealth Advisors (2019-2020, 2022-2023) – 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.
Forbes – Best-In-State Wealth Advisors (2018-2023) – 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 – The 100 Fastest Growing Top RIAs (2016) – To be considered, each firm must be a registered investment advisor (RIA) with the SEC, provide wealth management services and serve individual clients as a primary focus. Broker/dealers, hedge funds, those managing large funds and firms with disciplinary disclosures were excluded. As the RIA market changes and grows, RIA Channel continues to adapt its criteria to the current environment. Cassaday & Co. did not pay a fee for inclusion on this list.
Inc. - Best Workplaces– (2019-2022) – The Best Workplaces list was determined by calculating engagement scores and benefits scores for thousands of applicants. Employees at each company completed a 37-item questionnaire, and the raw data was calculated on a six-point Likert scale (strongly disagree to strongly agree) to find an average score that is indexed to a 100-point scale. Benefits and perks, including health insurance and 401(k)s, were assigned a 1-to-4 weighting. Applicants pay a $295 fee for registering (price as of 2022 application for regular entry fee - as opposed to early rate fee). For more information, visit https://www.inc.com/best-workplaces/2022
Inc. 5000 – Fastest Growing Companies (2007-2010, 2014-2016, 2019-2021) – The Inc. 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. Applicants pay a $195 fee for registering (price as of 2021 application, early rate fee).
Inc. 5000 Regionals: DC Metro – Top 250 Fastest Growing Companies (2020) – The 2020 Inc. 5000 Regional Series is ranked according to percentage revenue growth when comparing 2016 and 2018. To qualify, companies must be founded and generating revenue by March 31, 2016. They have to be U.S.-based, privately held, for profit, and independent—not subsidiaries or divisions of other companies—as of December 31, 2018. The minimum revenue required for 2016 is $100,000; the minimum for 2018 is $1 million. Cassaday & Co. did not pay a fee for inclusion on the 2020 ranking. As always, Inc. reserves the right to decline applicants for subjective reasons.
Invest in Others & Invest in Others Charitable Champions (2019-2020, 2022-2023) – 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. Cassaday & Co. did not pay a fee for inclusion on this list.
InvestmentNews – 40 Under 40 (2023) – The InvestmentNews 40 Under 40 program recognizes and celebrates up-and-comers in the financial advice industry. Each year, our editorial team reviews more than 1,000 nominations to create a list of 40 outstanding financial advisers, or industry professionals supporting advisers, who are 39 or younger. Honorees are judged on their accomplishments, contribution to the industry, leadership and promise. Nominees will be considered by InvestmentNews editors based on the following key points: Accomplishments: We are looking for professionals who are successful in the advisory business, industry-related projects and the wider world in an advisory capacity, as exhibited by their credentials and achievements. Contribution: We are searching for professionals who promote the financial advice profession, advocate for financial literacy and engage in pro bono financial planning work. Leadership: We are interested in professionals who offer guidance and successful management within a company or the industry as a whole. Promise: We want to celebrate professionals who have passion, enthusiasm, great ideas and show a commitment to the field. Cassaday did not compensate InvestmentNews for this award.
InvestmentNews – Best Places to Work for Financial Advisors (2018-2023) – 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. Cassaday did not compensate InvestmentNews for this award.
InvestmentNews – 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). Cassaday & Co. did not pay a fee for inclusion on this list.
InvestmentNews - Top Financial Advisors in the US (2024) - InvestmentNews first solicited nominations from advisors, industry professionals, and clients. The final list was determined based on each advisor’s weighted ranking in overall AUM, AUM growth, and client growth (both between September 2022 and September 2023). The InvestmentNews team then tabulated a ranking for each advisor in each category and combined those scores to determine the advisor’s final ranking on the 2024 Top Advisors list. No clients were contacted, and no fee was paid.
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/Asburn Today – "40 Under 40" (2015) – Compiled by Leesburg Today/Ashburn Today, this 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. No fee is paid to participate.
Northern Virginia Magazine – Top Financial Professionals (2011-2023) – 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. Cassaday & Co. did not pay a fee to be included.
Pensions and Investments – Best Places to Work in Money Management (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. Cassaday & Co. did not pay a fee for inclusion on this list.
Radford University – Outstanding Alumnus Award (2016-2017) – 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 – Outstanding Service Award (2021) – 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 – Top Next Gen IBD Advisors (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.
SmartCEOs – Best Run Companies (2016) – Winners are selected by SmartCEO on nine criteria: process, vision, customers, culture, leadership, communication, growth, brand and talent. Each of these components were evaluated through a formal application process and follow-up interviews.
Virginia Business – Best Places to Work (2012-2024) – 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. Cassaday & Co. did not pay a fee to be included. For more information on the Best Places to Work in Virginia program, visit www.bestplacestowork.com.
Virginia Business – Virginia 500 Power List (2021-2023) – Awards and recognitions by unaffiliated publications should not be construed by a client or prospective client as a guarantee that the client will experience a certain level of results if Cassaday & Co. is engaged, or continues to be engaged, to provide investment advisory services, nor should they be construed as a current or past endorsement of Cassaday & Co. or its representatives by any of its clients. Rankings published by magazines and others are generally based on information prepared and/or submitted by the recognized adviser. The Virginia 500 rankings are based on research conducted by Virginia Business’ editorial staff, not through nominations; however, Virginia Business does accept suggestions for candidates. Some of the list is determined by a person’s position (such as leadership in a high level government position, or the head of a Fortune 1000 corporation. Other factors considered include company revenue the number of employees a leader oversees, the scope of their responsibilities, how newsworthy the executive is, and how prominent they are within their industry and/or community. We examine board memberships, as well as philanthropy. Virginia Business strives to inventory the most powerful and influential leaders and executives in Virginia across 20 major sectors, ranging from real estate and manufacturing to higher education and government. Cassaday & Co. did not pay a fee to be included on this list. Awarded 9/2022. For more information see https://www.virginiabusiness.com/article/moving-up/
Virginia Living Magazine – Best of Virginia: Best Financial Planning Firms (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. Cassaday & Co. did not pay a fee to be included.
Washington Business Journal - Best Places to Work (2007-2008, 2010-2013, 2015-2023) – 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. Applicants pay a $250 fee for registering (price as of 2024 application).
Washington Business Journal - Corporate Philanthropy Awards (2019-2023) – Rankings on this list are based on the amount of DC-Metro area giving in 2023. Cassaday & Company did not pay a fee in exchange for inclusion on this list. https://www.bizjournals.com/washington/subscriber-only/2023/06/02/corporate-philanthropy-small-companies-by-giving-in-greater.html
Washington Post – Top Workplaces (2020-2022) – The heart of the Top Workplaces program is an employee survey. A 24-question survey collects feedback from those who know organizations the best: the people who work there. Employee feedback is the sole basis for determining which employers make the Top Workplaces list. Organizations are ranked by the aggregate score based on the employee feedback; the more positive the employee responses, the higher the score, the higher the rank. Cassaday & Co. did not pay a fee for inclusion on this list.
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. Cassaday & Co. did not pay a fee for inclusion on this list. https://www.washingtonian.com/best/financial-advisers/
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. Cassaday & Co. did not pay a fee to be included.
Washingtonian – Top Wealth Advisor Hall of Fame (2023) – To create their 'Top Financial Advisers' list, Washingtonian surveys hundreds of financial professionals in the region and consults industry experts, asking who they’d trust with their own money. Those recommended the most make the roster. Professionals on the Top Wealth Adviser Hall of Fame list are still practicing, and have been recognized on a Washingtonian Top Financial Advisers list for at least eight of the past fourteen years, including three of the most recent five. Cassaday & Co. did not pay a fee to be included.
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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