Important Consumer Disclosure
Smith Anglin Financial, LLC (“Smith Anglin”) is an SEC registered investment adviser (RIA) located in Dallas, Texas. Smith Anglin and its representatives are in compliance with the current registration and notice filing requirements imposed upon SEC registered investment advisers by those states in which Smith Anglin maintains clients. Smith Anglin may only transact business in those states in which it is notice filed, or qualifies for an exemption or exclusion from notice filing requirements. Smith Anglin’s web site is limited to the dissemination of general information regarding its investment advisory services to United States residents residing in states where providing such information is not prohibited by applicable law. Accordingly, the publication of Smith Anglin’s web site on the Internet should not be construed by any consumer and/or prospective client as Smith Anglin’s solicitation to effect, or attempt to effect transactions in securities, or the rendering of personalized investment advice for compensation, over the Internet. Furthermore, information on this Internet site should not be construed, in any manner whatsoever, as the receipt of, or a substitute for, personalized individual advice from Smith Anglin. Any subsequent, direct communication by Smith Anglin with a prospective client shall be conducted by a representative that is either registered or qualifies for an exemption or exclusion from registration in the state where the prospective client resides. For information pertaining to the registration status of Smith Anglin, please contact the United States Securities and Exchange Commission on their web site at www.adviserinfo.sec.gov. A copy of Smith Anglin’s current written disclosure statement discussing Smith Anglin’s business operations, services, and fees is available from Smith Anglin upon written request. Smith Anglin does not make any representations as to the accuracy, timeliness, suitability, completeness, or relevance of any information prepared by any unaffiliated third party, whether linked to Smith Anglin’s web site or incorporated herein, and takes no responsibility therefore. All such information is provided solely for convenience purposes only and all users thereof should be guided accordingly.
Securities offered through Purshe Kaplan Sterling Investments (PKS), Member FINRA/SIPC, headquartered at 18 Corporate Woods Blvd., Albany, NY 12211. Investments through PKS or RIA are not FDIC insured, not bank guaranteed and may lose value, including loss of principal. Not insured by any state or federal agency. Purshe Kaplan Sterling Investments and Smith Anglin Financial, LLC are not affiliated companies.
ACCESS TO THIS WEB SITE IS PROVIDED FOR INFORMATIONAL PURPOSES ONLY AND WITHOUT ANY WARRANTIES, EXPRESSED OR IMPLIED, REGARDING THE ACCURACY, COMPLETENESS, TIMELINESS, OR RESULTS OBTAINED FROM ANY INFORMATION POSTED ON THIS WEB SITE OR ANY THIRD PARTY WEB SITE LINKED TO THIS WEB SITE.
1 The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria. Eligibility criteria – required: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Active as a credentialed professional in the financial services industry for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by Five Star Professional, the wealth manager has not: A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. Had more than a total of three customer complaints filed against them [settled or pending][/settled] with any regulatory authority or Five Star Professional’s consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional’s consumer complaint process; feedback may not be representative of any one client’s experience; C. Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority; D. Filed for personal bankruptcy; E. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients. Evaluation criteria – considered: 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/ or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. Award does not evaluate quality of services provided to clients. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The Five Star award is not indicative of the wealth manager’s future performance. Wealth managers may or may not use discretion in their practice and therefore may not manage their client’s assets. 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 this publication. 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. For more information on the Five Star award and the research/ selection methodology, go to fivestarprofessional.com.
The Top Financial Planners award, administered by Consumers’ Research Council of America (“CRCA”), is based on utilizing a point value system. This method uses a point value for criteria that we deemed valuable in determining top financial planning professionals. The criteria that was used and assessed a point value is as follows: 1. Experience: Each year the Financial Planner has been in practice; 2. Training: Education, specialty training and continuing education; 3. Professional Associations: Membership in professional financial associations Financial Certifications; 4. Completing at least one course of study and meeting all requirements, resulting in receipt of certification and/or professional financial designation. This is a subjective call, there is no study that is 100% accurate. As with any profession, there will be some degree of variation in opinion. Financial Planners do not pay a fee to be considered or placed on the final list of CRCA’s top Financial Planners. Moreover, the award does not evaluate quality of services provided to clients. The award is not indicative of the wealth manager’s future performance. Financial Planners may or may not use discretion in their practice and therefore may not manage their client’s assets. The inclusion of a financial planner on the CRCA list list should not be construed as an endorsement of the financial planner by CRCA or this publication. Working with a CRCA financial planner or any financial planner is no guarantee as to future investment success, nor is there any guarantee that the selected Financial Planners will be awarded this accomplishment by CRCA in the future. For more information on the CRCA award and the research/selection methodology, go to www.consumersresearchcncl.org.