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Awards Criteria


The rankings are based on an algorithm of qualitative and quantitative data for rating thousands of individuals on revenue produced, assets under management, compliance records, and industry experience. Oppenheimer & Co. Inc. is not affiliated with Forbes or R.J. Shook Research, OnWallStreet, Technical Analyst, Financial Times, Tip Ranks or other industry news and media publications.

The algorithm for Forbes/SHOOK’s America’s Top Next-Generation Wealth Advisors is designed to fairly compare the business practices of a large group of advisors based on quantitative and qualitative elements. Data are weighted to ensure priorities are given to dynamics such as preferred “best practices”, business models, recent business activity, etc. Each variable is graded and represents a certain value for each measured component. These data are fed into an algorithm that measures thousands of advisors against each other. Forbes/SHOOK Research is not affiliated with Oppenheimer & Co. Inc.

The Best-In-State Wealth Advisors list spotlights over 3,000 top advisors across the country who were nominated by their firms—and then researched, interviewed and assigned a ranking within their respective states.

Financial Times

The Financial Times 401 Top Retirement Plan Advisors is an independent listing produced annually by the Financial Times (September 2018). The FT 401 is based on data gathered from advisors, regulatory disclosures, and the FT’s research. The listing reflects each advisor’s status in seven primary areas: DC plan assets under management (AUM), DC AUM growth rate, specialization in DC plans, years of experience, advanced industry credentials, compliance record and DC plan participation rate. This honor is not indicative of the advisor’s future performance. Neither the advisors nor their parent firms pay a fee to the Financial Times in exchange for inclusion in the FT 401.


The Regional Advisors Under 40 ranking is based on production only of those advisors that were nominated for inclusion to the On Wall Street annual list.

Tip Ranks

For illustrative purposes only; past performance is not indicative of future results. The information set forth herein has been derived from sources believed to be reliable and does not purport to be a complete analysis of the topic presented and any market segments discussed. Oppenheimer & Co. Inc. Transacts Business on All Principal Exchanges and Member SIPC.

Trust & Estates Magazine

Nominations are based on various factors, including the novelty of the topic, the feedback we received from readers and the significance of the topic in the current estate-planning environment. We then sent out a survey, asking our subscribers to vote for their favorite articles in each category. We declared the nominees getting the top number of votes in each category as “Distinguished Authors.” In particular, the “Rising Star” category honors a new author to Trusts & Estates who shows the most potential to be a leading individual in the industry.