Disclosure Information

Lassus Wherley (“LW”) is an SEC-registered investment adviser located in New Providence, New Jersey. LW and its representatives are in compliance with the current filing requirements imposed upon SEC-registered investment advisers by those states in which LW maintains clients. LW may only transact business in those states in which it is registered, or qualifies for an exemption or exclusion from registration requirements. LW's web site is limited to the dissemination of general information pertaining to its advisory services, together with access to additional investment-related information, publications, and links. Accordingly, the publication of LW's web site on the Internet should not be construed by any consumer and/or prospective client as LW's solicitation to effect, or attempt to effect, transactions in securities, or the rendering of personalized investment advice for compensation, over the Internet. Any subsequent, direct communication by LW 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 LW, please contact the SEC or the state securities regulators for those states in which LW maintains a notice filing. A copy of LW's current written disclosure statement discussing LW's business operations, services, and fees is available from LW upon written request. LW does not make any representations or warranties as to the accuracy, timeliness, suitability, completeness, or relevance of any information prepared by any unaffiliated third party, whether linked to LW'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.

Please remember that different types of investments involve varying degrees of risk, and there can be no assurance that the future performance of any specific investment or investment strategy (including those undertaken or recommended by LW, will be profitable or equal any historical performance level(s).

Certain portions of LW's web site (i.e. newsletters, articles, commentaries, etc.) may contain a discussion of, and/or provide access to, LW's (and those of other investment and non-investment professionals) positions and/or recommendations as of a specific prior date. Due to various factors, including changing market conditions, such discussion may no longer be reflective of current position(s) and/or recommendation(s). Moreover, no client or prospective client should assume that any such discussion serves as the receipt of, or a substitute for, personalized advice from LW, or from any other investment professional. LW is not an attorney and no portion of the web site content should be interpreted as legal advice.

Rankings and/or recognition by unaffiliated rating services and/or publications should not be construed by a client or prospective client as a guarantee that he/she will experience a certain level of results if LW is engaged, or continues to be engaged, to provide investment advisory services, nor should it be construed as a current or past endorsement of LW by any of its clients. Rankings published by magazines, and others, generally base their selections exclusively on information prepared and/or submitted by the recognized adviser. Rankings are generally limited to participating advisors.

To the extent that any client or prospective client utilizes any economic calculator or similar interactive device contained within or linked to LW's web site, the client and/or prospective client acknowledges and understands that the information resulting from the use of any such calculator/device, is not, and should not be construed, in any manner whatsoever, as the receipt of, or a substitute for, personalized individual advice from LW, or from any other investment professional.

Each client and prospective client agrees, as a condition precedent to his/her/its access to LW's web site, to release and hold harmless LW, its officers, directors, owners, employees and agents from any and all adverse consequences resulting from any of his/her/its actions and/or omissions which are independent of his/her/its receipt of personalized individual advice from LW.

Financial Times (FT) 300 Top Registered Investment Advisers

The 2015 Financial Times Top 300 Registered Investment Advisors is an independent listing produced by the Financial Times (June, 2015). The FT 300 is based on data gathered from RIA firms, regulatory disclosures, and the FT’s research. As identified by the FT, the listing reflected each practice’s performance in six primary areas, including assets under management, asset growth, compliance record, years in existence, credentials and accessibility. Neither the RIA firms nor their employees pay a fee to The Financial Times in exchange for inclusion in the FT 300.

Best Places To Work

This survey and award program identifies, recognizes and honors the top places of employment in New Jersey that benefit the state's economy, its workforce and businesses. To qualify, companies had to fulfill the following eligibility requirements:

- Have at least 15 employees in New Jersey;

- Be a for-profit, not-for-profit or government entity;

- Be a publicly or privately held business; and

- Have a facility in New Jersey.

Companies from across the state entered the two-part process to determine the 100 Best Places to Work in New Jersey. Part one consisted of evaluating each nominated company's workplace policies, practices, philosophy, systems and demographics. This phase was worth approximately 25% of the total evaluation. Part two consisted of an employee survey to measure the employee experience. This phase was worth approximately 75% of the total evaluation. The combined scores determined the top companies and the final ranking. The overall registration and survey process was managed by Best Companies Group (BCG). BCG also analyzed the data provided and used their expertise to determine the final rankings.

Companies do not pay a fee to be considered or placed on the final list of Best Places to Work.

Women’s Choice Award®

The Women's Choice Award® is awarded by WomenCertified Inc. and is the only recognition program for well-qualified advisors who are committed to the women’s market and serving their female clients. The Award is based on 17 objective criteria associated with providing quality service to women clients such as credentials, experience and a favorable regulatory history, among other factors.

Financial advisors do not pay a fee to be considered or placed on the final list of Women's Choice Award® Financial Advisors, though they may have paid a fee to participate in the Women's Choice Award Financial Advisor Marketing Program.

2017 Five Star Wealth Manager Award-New Jersey

The Five Star Wealth Manager award is presented to wealth managers who satisfy 10 objective eligibility and evaluation criteria: Eligibility Criteria-Required- 1) Credentialed as an investment advisory representative or a registered investment adviser. 2) Actively employed as a credentialed professional in the financial services industry for a minimum of five years. 3) Favorable regulatory and complaint history review. 4) Fulfilled their firm review based on internal firm 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; and 10) Education and professional designations. 3,868 award candidates in the New Jersey area were considered for the Five Star Wealth Manager award. 644 (approximately 18 percent of the award candidates) were named 2017 Five Star Wealth Managers.

In order to consider a broad population of high-quality wealth managers and investment professionals, award candidates are identified by one of three sources: firm nomination, peer nomination or prequalification based on industry standing. Self-nominations are not accepted. New Jersey award candidates were identified using internal and external research data. Candidates do not pay a fee to be considered or placed on the final lists of Five Star Wealth Managers or Five Star Investment Professionals. Although this list is a useful tool for anyone looking for help in managing their financial world or implementing aspects of their financial strategies, it should not be considered exhaustive. Undoubtedly, there are many excellent professionals who, for one reason or another, are not on this year's lists. 

  • The Five Star award is not indicative of a professional's future performance.
  • Wealth managers may or may not use discretion in their practice and therefore may not manage their clients' assets.
  • The inclusion of a professional on the Five Star Wealth Manager list or the Five Star Investment Professional list should not be construed as an endorsement of the professional by Five Star Professional or New Jersey Monthly.
  • Working with a Five Star Wealth Manager, Five Star Investment Professional or any professional is no guarantee as to future investment success, nor is there any guarantee that the selected professionals wil be awarded this accomplishment by Five Star Professional in the future.
  • Five Star Professional is not an advisory firm.  For more information on the Five Star Wealth Manager or the Five Star Investment Professional award programs, research and selection criteria, go to www.fivestarprofessional.com/research.

2017 Five Star Investment Professional Award-New Jersey

Five Star Professional's Investment Professional award goes to outstanding accountants, estate planning attorneys, insurance agents and select others in the financial industry. Award candidates must satisfy the following criteria to be named a 2017 Five Star Investment Professional.

Eligibility Criteria-Required

1. Credentialed with appropriate state or industry licensures. 2. Actively employed as a credentialed professional in the financial services industry for a minimum of five years. 3. Favorable regulatory and complaint history review. 4. Accepting new clients.

Evaluation Criteria-Considered

5. One-year client retention rate. 6. Five-year client retention rate. 7. Number of client households served. 8. Recent personal production and performance (industry-specific criteria).

This year, 54 New jersey-area investment professionals were honored with the Five Star Investment Professional award. 

In order to consider a broad population of high-quality wealth managers and investment professionals, award candidates are identified by one of three sources: firm nomination, peer nomination or prequalification based on industry standing. Self-nominations are not accepted. New Jersey award candidates were identified using internal and external research data. Candidates do not pay a fee to be considered or placed on the final lists of Five Star Wealth Managers or Five Star Investment Professionals. Although this list is a useful tool for anyone looking for help in managing their financial world or implementing aspects of their financial strategies, it should not be considered exhaustive. Undoubtedly, there are many excellent professionals who, for one reason or another, are not on this year's lists. 

  • The Five Star award is not indicative of a professional's future performance.
  • Wealth managers may or may not use discretion in their practice and therefore may not manage their clients' assets.
  • The inclusion of a professional on the Five Star Wealth Manager list or the Five Star Investment Professional list should not be construed as an endorsement of the professional by Five Star Professional or New Jersey Monthly.
  • Working with a Five Star Wealth Manager, Five Star Investment Professional or any professional is no guarantee as to future investment success, nor is there any guarantee that the selected professionals wil be awarded this accomplishment by Five Star Professional in the future.
  • Five Star Professional is not an advisory firm.  For more information on the Five Star Wealth Manager or the Five Star Investment Professional award programs, research and selection criteria, go to www.fivestarprofessional.com/research.

Wealth & Money Management Award

The Wealth & Money Management Award recognizes the achievements of those working within the investment and financial services community. The awards pay homage to the leading professionals for going above and beyond in assisting their clients with managing their wealth, planning for the future of their business or their family and for providing sound advice in all areas of finance.

Wealth & Finance has welcomed nominations for firms throughout the globe and have ensured that those who do go on to win one of these highly sought after awards have been selected on merit and are based on votes received, the further evidence supplied and based on Wealth & Finance's own in-house research.

Financial advisors do not pay a fee to be considered or placed on the final list. Receipt of the award is not indicative of the financial advisor's future performance.

30 Most Influential

The 30 Most Influential program recognizes those NAPFA members and staff who have had a profound impact on Fee-Only financial planning, the organization, and their peers in NAPFA’s first 30 years. The members nominated deserving individuals and voted on those they deem most worthy of being recognized.

Award candidates do not pay a fee to be considered or placed on the final list of 30 Most Influential.

Best 50 Women In Business

The Best 50 Women in Business awards program honors New Jersey’s most dynamic women in business that have been making headlines in their fields. To qualify, a nominee had to meet selection criteria that included living or working in New Jersey and holding significant authority for decision making in a for-profit company. An independent panel of judges selected the top 50 winners based on their dedication to business growth, professional and personal accomplishments, community involvement, and advocacy for women.

Award candidates do not pay a fee to be considered or placed on the final list of Best 50 Women in Business.

 

 

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