Disclosures

Advisor of the Year (Regional) — InvestmentNews

This award was issued by InvestmentNews on 3/31/2026 for the previous year. Excellence Awardees were recognized for each region of the country. The financial professional was nominated for this recognition.

Award Criteria

Winners were selected based on the following criteria:

• Knowledge, understanding and communication of alternative investment opportunities and strategies for their clients' portfolios
• Client retention and relationship strategies, and how it sets the advisor apart from competition within alternative investments
• Education efforts demonstrating ways the advisor is educating the industry and clientele on alternatives
• Business development strategies to prospect and retain clients in innovative ways
• Regulatory compliance approach and adherence to industry standards

Regional Selection

Seven individuals were selected as Excellence Awardees for the Northeast region.

No fee was paid for the nomination, receipt, or promotion of this award.

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.

ThinkAdvisor Luminary 2024 — Executive Leadership Finalist

The ThinkAdvisor Luminary 2024 Executive Leadership award is issued by ThinkAdvisor, a subsidiary of ALM. ThinkAdvisor considers the following criteria: the nominee's impact on the firm, advisors, and the broader professional community and industry. Recipients apply for nomination and are selected via a panel of judges.

The financial professional did not pay a fee for this award and clients were not consulted for this award.

For more information regarding this award, please visit ThinkAdvisor Luminaries Awards.

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.

Five Star Wealth Manager

The FIVE STAR Wealth Manager list, awarded on 11/1/23, is created by Crescendo Business Services LLC. It includes less than 9% of 3,564 wealth managers in the Connecticut-area in 2023.

Candidate Identification & Selection

Award candidates are identified by one of three sources: firm nomination, peer nomination, or prequalification. Wealth managers were evaluated across ten criteria: (a) Credentialed as an investment advisory representative or a registered investment advisor; (b) Actively employed as a credentialed professional in the financial services industry for a minimum of five years; (c) Favorable regulatory and complaint history review; (d) Fulfilled their firm review based on internal firm standards; (e) Accepting new clients; (f) One-year client retention rate; (g) Five-year client retention rate; (h) non-institutional discretionary and/or non-discretionary client assets administered; (i) Number of client households served; and (j) Educational and professional designations. Favorable and unfavorable evaluations are included in the score.

Regulatory & Complaint History Review

Each wealth manager is reviewed for regulatory actions, civil judicial actions, and customer complaints. A favorable regulatory and complaint history is defined by Five Star Professional to mean that 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 with any regulatory authority or through Five Star Professional's consumer complaint process
• Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority
• Filed for personal bankruptcy
• Been convicted of a felony

Five Star Wealth Managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. Scores reflect an average of all respondents and are not representative of any one client's evaluation.

Important Disclaimers

The Five Star award is not indicative of the wealth managers' future performance. Wealth managers may or may not use discretion in their practice and therefore may not manage their clients' assets. Working with a FIVE STAR Wealth Manager or any wealth manager is no guarantee as to future investment success, nor is there any guarantee that the selected wealth managers will be awarded this accomplishment by Five Star Professional in the future.

The inclusion of a wealth manager on the Five Star Wealth Manager list should not be construed as an endorsement of the wealth manager by Five Star Professional or the magazine. Five Star Professional is not an advisory firm.

For more information on the Five Star award and the research/selection methodology, visit fivestarprofessional.com.

Awards & Third-Party Recognition

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.

Regulatory & Licensing

Securities and investment advisory services offered through Osaic Wealth, Inc., member FINRA/SIPC. Osaic Wealth is separately owned and other entities and/or marketing names, products or services referenced here are independent of Osaic Wealth.

This site is published for residents of the United States and is for informational purposes only and does not constitute an offer to sell or a solicitation of an offer to buy any security or product that may be referenced herein. Persons mentioned on this website may only offer services and transact business and/or respond to inquiries in states or jurisdictions in which they have been properly registered or are exempt from registration. Not all products and services referenced on this site are available in every state, jurisdiction or from every person listed.

Tax Services

Tax preparation services offered directly through Kingston Wealth Management Group, LLC. Osaic Wealth and its representatives do not provide tax advice; therefore it is important to coordinate with your tax advisor regarding your specific situation.

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BrokerCheck

You can review the background and experience of financial professionals at FINRA BrokerCheck. For more information about our firm, please review our Form CRS.