Disclosures

Articles Disclosure

Opinions expressed in the above articles are those of LeafHouse Financial. The opinions referenced are as of the date of publication and are subject to change without notice. The information discussed herein is not a recommendation to buy or sell a particular security or to invest in any particular sector. Forward-looking statements are not guaranteed. LeafHouse Financial reserves the right to modify its current investment strategies and techniques based on changing market dynamics or client needs and there is no guarantee that their assessment of investments will be accurate. The discussions, outlook and viewpoints featured are not intended to be investment advice and do not take into account specific client investment objectives.

Awards Disclosure

2020 PLANADVISER’s Top 100 Retirement Plan Advisers Award
The 2020 PLANADVISER’s Top 100 Retirement Plan Advisers Award is based on the top quantitative standouts from the Top 100 Retirement Plan Adviser Survey (the “Survey”) which names designees according to the dollar value of qualified plan assets under advisement, as well as the number of plans under advisement. LeafHouse was eligible for the 2020 PLANADVISER’s Top 100 Retirement Plan Advisers Award since LeafHouse participated in the Survey and met the requirements for assets under advisement and plans under advisement. The Survey divided respondents into categories for evaluation based on the number of advisers, plus support staff, in the practice. The award may not be representative of any one client’s experience because the award reflects quantitative standouts. The award does not imply a certain level of training and is not indicative of LeafHouse’s future performance. LeafHouse did not pay a fee to participate in this program or to receive recognition on this list.
NAPA Top DC Advisor Teams 2019
The National Association of Plan Advisor’s (“NAPA”) 2019 Top DC Advisor Teams list is focused on teams, broadly defined as being in a single physical location, and having at least $100 million in DC assets under advisement. It is based upon self-reported assets under advisement as of December 31, 2019, unless otherwise noted. The NAPA Top DC Advisor Team list highlights the nation’s leading retirement plan advisor firms. The teams are focused on quality retirement plan advice, but also on building a more financially secure retirement for millions of Americans. Ratings are not representative of any one client’s experience because the rating reflects an average of all, or a sample of all, of the experiences of the adviser’s clients. The rating does not imply a certain level of training and is not indicative of LeafHouse’s future performance. LeafHouse did not pay a fee to participate in this program or to receive recognition on this list.
FA's 2020 RIA Ranking
The Financial Adviser’s 2020 RIA Ranking is based on the 2019 year end assets under management and LeafHouse was listed as one of the advisers out of 551 total advisers included on the list. Advisors were listed in categories based on assets and LeafHouse was listed in the $1 billion and over asset category along with 314 other advisers. The award may not be representative of any one client’s experience because the award reflects quantitative standouts and was not a survey or representation of a client’s experience. The award does not imply a certain level of training and is not indicative of LeafHouse’s future performance. LeafHouse did not pay a fee to participate in this program or to receive recognition on this list.
FA’s Top 50 Fastest-Growing Firms
The 2020 Financial Adviser’s Fastest-Growing Firms Award is based on the percentage of growth in assets and the percentage of growth in assets per client from 2018 to 2019. The advisers considered were advisers with more than $400 million in assets under management. Fifty advisers were included on this list; however, the number advisers who participated in this award submission was not disclosed. LeafHouse was eligible for the Top 50 Fastest-Growing firms award as they participated the survey and met the requirements for assets under advisement and plans under advisement. The award may not be representative of any one client’s experience because the award reflects quantitative standouts and was not a survey or representation of a client’s experience. The award does not imply a certain level of training and is not indicative of LeafHouse’s future performance. LeafHouse did not pay a fee to participate in this program or to receive recognition on this list.
Inc. 5000 2020
The 2020 Inc. 5000 Fastest-Growing Private Companies in America award is based on the percentage of revenue growth over a three-year period. Information considered for the award included: the percentage of growth, the industry in which the company was involved, and the city and state of the company. While a total number of applicants was not disclosed, five thousand participants were included in the list of award recipients. LeafHouse was listed at 1,982 and all other recipients were listed in order based on their percentage of growth. The award may not be representative of any one client’s experience because the award reflects quantitative standouts and was not a survey or representation of a client’s experience. The award does not imply a certain level of training and is not indicative of LeafHouse’s future performance. LeafHouse paid an application fee of $245 to participate in this listing.
The List: Austin-area Investment Management Firms RIA
The Austin Business Journal’s List of Austin-area Investment Management Firms (RIA) is based on firms handling investment management services with offices in the Austin area. To be eligible, firms must be a registered investment advisory firm (RIA) with the SEC or the State of Texas, depending upon the amount of assets managed, and participants must be able to disclose ranking criteria of assets under management (AUM) for the Austin office. Firms that have Investment Advisor Representatives (IAR) on staff but work under another firm's broker dealer or RIA registration are not eligible for this list. Only firms that respond to requests for information are considered. Ratings are not representative of any one client’s experience because the rating reflects an average of all, or a sample of all, of the experiences of the adviser’s clients. The rating does not imply a certain level of training and is not indicative of LeafHouse’s future performance. Austin Business Journal conducted this survey and LeafHouse Financial did not pay a fee to participate in this program or to receive recognition on this list.
Pensions & Investments Best Places to Work in Money Management 2020
The Pensions & Investments Best Places to Work in Money Management 2020 award was the result of a two-part survey of employers and their employees conducted by Best Companies Group, an independent research firm specializing in identifying great places to work. The first part consisted of evaluating each nominated company's workplace policies, practices, and demographics. This part of the process was worth approximately 25 percent of the total evaluation. The second part consisted of an employee survey to measure the employee experience. This part of the process was worth approximately 75 percent of the total evaluation. The combined scores determined the top companies. The rating does not imply a certain level of training and is not indicative of LeafHouse Financial’s future performance. Ratings are not representative of any one client’s experience because the rating does not include a survey of clients or information on client experience. The survey is conducted by Best Companies Group on behalf of Pensions & Investments. LeafHouse Financial did not pay a fee to participate in this program or to receive recognition on this list.
NAPA Top DC Advisor Teams 2020
The National Association of Plan Advisor’s (“NAPA”) 2020 Top DC Advisor Teams list is focused on teams, broadly defined as being in a single physical location, and having at least $100 million in DC assets under advisement. It is based upon self-reported assets under advisement as of December 31, 2020, unless otherwise noted. The NAPA Top DC Advisor Team list highlights the nation’s leading retirement plan advisor firms. The teams are focused on quality retirement plan advice, but also on building a more financially secure retirement for millions of Americans. Ratings are not representative of any one client’s experience because the rating reflects an average of all, or a sample of all, of the experiences of the adviser’s clients. The rating does not imply a certain level of training and is not indicative of LeafHouse’s future performance. LeafHouse did not pay a fee to participate in this program or to receive recognition on this list.
The List: Austin-area Investment Management - RIA Firms 2021
The 2021 Austin Business Journal’s Austin-area Investment Management – RIA firms is open to firms with offices in the Austin Area and are registered with the SEC or the State of Texas. Firms with Investment Advisor Reps on staff but working under another firm’s RIA registration are not eligible for the list. Participants must disclose ranking criteria of assets under management. Only firms that responded to requests for information were considered. The ranking does not imply a certain level of training and is not indicative of LeafHouse’s future performance. LeafHouse did not pay a fee to participate in this program or to receive recognition on this list.
2021 PLANADVISER Top 100 Retirement Plan Advisers
Past performance is not indicative of future results. The rankings shown may not be representative of an individual client’s experience because it reflects an average of all, or a sample of all, the experiences of the adviser’s clients. The criterion for this award is advisers must complete the annual PLANADVISER Retirement Plan Adviser Survey, fielded each September. Respondents are divided into categories for evaluation, defined by the number of advisers, plus support staff, in the practice. The rating was for retirement planning advisers, Top 100 designees are named according to the dollar value of qualified plan assets under advisement, as well as the number of plans under advisement. Planadviser conducted the survey, and no fee was paid to participate. Of the 100 advisers included in the ranking, 36 teams were included within the ‘Small Teams with $2 billion or more in Retirement Plan Assets Under Advisement.’

Email Disclosure

This message and any attachments are solely for the intended recipient and may contain confidential or privileged information. If you are not the intended recipient, any disclosure, copying, use, or distribution of the information included in this message and any attachments is prohibited. If you have received this communication in error, please notify us by reply e-mail and immediately and permanently delete this message and any attachments.

CFP® certification is a voluntary certification granted in the United States by Certified Financial Planner Board of Standards, Inc. It is recognized in the United States and a number of other countries for its (1) high standard of professional education; (2) stringent code of conduct and standards of practice; and (3) ethical requirements that govern professional engagements with clients. Individuals who become certified are required to complete continuing education.

CPFA™ is a voluntary certification granted in the United States by the National Association of Plan Advisers. It is recognized in the United States and a number of other countries for its (1) high standard of professional education; (2) stringent code of conduct and standards of practice; and (3) ethical requirements that govern professional engagements with clients. Individuals who become certified are required to complete continuing education.

RF™ is a voluntary certification granted in the United States by Dalbar, Inc. It is recognized in the United States and a number of other countries for its (1) high standard of professional education; (2) stringent code of conduct and standards of practice; and (3) ethical requirements that govern professional engagements with clients. Individuals who become certified are required to complete continuing education.

Chartered Financial Analyst® (CFA®) are licensed by the CFA® Institute to use the CFA® mark. CFA® certification requirements: Hold a bachelor's degree from an accredited institution or have equivalent education or work experience, successful completion of all three exam levels of the CFA® Program, have 48 months of acceptable professional work experience in the investment decision-making process, fulfill society requirements, which vary by society. Unless you are upgrading from affiliate membership, all societies require two sponsor statements as part of each application; these are submitted online by your sponsors.

Social Media Disclosure

The opinions expressed are those of LeafHouse Financial Advisors, LLC (“LeafHouse”) and are subject to change without notice. All opinions are as of the date published and are subject to change. The use of third-party information contained herein was prepared by sources deemed to be reliable but is not guaranteed. This material is not financial advice or an offer to sell any product. LeafHouse reserves the right to modify its current investment strategies and techniques based on changing market dynamics or client needs.

LeafHouse is an independent investment adviser registered under the Investment Advisers Act of 1940, as amended. Registration does not imply a certain level of skill or training. More information about LeafHouse including our investment strategies, fees, and objectives can be found in our ADV Part 2, which is available upon request.

Website Disclosure

The opinions expressed herein are those of LeafHouse Financial Advisors, LLC (“LeafHouse”) and are subject to change without notice. This material is not financial advice or an offer to sell any product. LeafHouse reserves the right to modify its current investment strategies and techniques based on changing market dynamics or client needs.