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1. 2017 NAPA Top DC Advisor Firms: This list is a compilation of individual advisor firms, or teams, solely ranked by DC assets under advisement (AUA). Firms were asked to complete an application and provide information concerning their DC business to NAPA. Overall, 325 qualified firms were considered, of which 250 (77 percent of candidates) were recognized. 100 advisors with over $100 million in assets under advisement were separately honored, solely based on AUA, on NAPA's 2017 TOP DC Advisor Firms with Assets Under Advisement over $100 Million List. These recognitions are not indicative of the future performance of the firm or its advisors. Your experience may vary. For more information, please visit: www.napa-net.org.

2. Birmingham Business Journal 2017 Largest Investment Brokers: The list of largest investment brokers in Birmingham was compiled according to asset data provided by company representatives and research conducted by Birmingham Business Journal. Local companies were ranked according to client assets. Of the 25 listed, Grinkmeyer Leonard placed #25. This recognition is not indicative of the future performance of the firm or its advisors. For more information please visit www.bizjournals.com/birmingham.

3. The 2018 NAPA Top DC Advisor Teams List is a compilation of individual advisor firms, or teams, solely ranked by DC (Defined Contribution) assets under advisement. Firms were asked to complete an application and provide information concerning their DC business to NAPA. 300 qualified firms were considered, of which 255 (85% of candidates) were recognized. This award is not indicative of the future performance of the firm or its advisors. Your experience may vary. For more information, please visit: www.napa-net.org.

4. Financial Times “401 Top Retirement Advisers” 2018: 670 qualified applicants were nominated, of which 401 were recognized (60% of candidates). This honor is not indicative of the advisor's future performance. Your experience may vary. Neither the advisors nor their parent firms pay a fee to the Financial Times in exchange for inclusion in the Financial Times 401. For the full methodology, visit ft.com.

5. InvestmentNews Top 40 Under 40: Nominations were solicited from InvestmentNews readers and financial planning industry professionals. Nominees must be 39 or younger and are judged, by the editors of InvestmentNews, on their accomplishments, industry contributions, leadership, and promise (passion, enthusiasm, and ideas). 1,200 advisors were considered. 3.33% of candidates were named to the list. Individuals were selected solely based on the opinions of InvestmentNews' editors and are not indicative of the advisor's future performance. Your experience may vary. For more information, please visit: www.investmentnews.com/section/40-under-40.

6. NAPA Top Women Advisors 2015 list nominations were made by NAPA Broker-Dealer and RIA partners. Honorees were selected by a panel of judges based on criteria such as, a candidate's percent revenues derived from retirement plans, total plan assets under management/advisement, years of experience working with workplace retirement plans, regulatory compliance record, and credentials. Votes were utilized to break ties, if applicable. List makers were honored in three separate categories: All-Stars, Captains, and Rising Stars. In 2015, 227 advisors were considered 146 were named to the list. List makers were honored in four categories: Captains (30 advisors), All-stars (25), Rising Stars (16), and MVPs (75). As defined by NAPA. All-Stars: Top producers who have their own practices. Captains: All-Stars who happen to be principals, owners, or team captains of their organizations. Rising Stars: Top producers who have less than five years' experience with retirement plans as a financial advisor. MVPs: Outstanding players who are part of a team. The MVP category was removed in 2016. The nominated advisor need not be a NAPA member. This award is not indicative of the wealth manager's future performance. Your experience may vary. For more information, please visit: www.napa-net.org.

7. Birmingham Business Journal's (BBJ) Top 40 Under 40: This list recognizes young professionals in Birmingham and is based solely on the opinions of the editors of the magazine. They considered the candidates contributions to their company, impact to the business world, and their role in the community. This award is not specific to financial services and does not imply an endorsement, recommendation, or otherwise reflect the performance of the advisor or any accounts.

8. 2016 UAB Excellence in Business Top 25 award program is designed to identify, recognize, and celebrate the success of alumni business leaders. Each company must have been founded, owned, or managed (most senior leadership team or regional/division leadership team) by a UAB alumnus/alumna. Nominees were asked to complete a confidential survey and were independently verified by Warren Averett. This list recognizes young professionals in Birmingham based on their contributions and impact to their business and role in the community. This recognition isn't specific to financial services and does not imply an endorsement, recommendation, or otherwise reflect the performance of the advisor or any of their accounts. For more information, visit https://www.uab.edu/business/home/inthenews/1257-2016-uab-excellence-in-business-top-25.

9. The 2018 ranking of Forbes’ Top 1,000 Next Generation Wealth Advisors recognizes advisors born in 1980 or later with a minimum of four years of experience. Advisors were rated based on a proprietary algorithm of qualitative and quantitative criteria: assets under management, revenues generated for their firms, client retention, industry experience, credentials, and compliance records. SHOOK Research also employs an opinion-based weighting system that prioritizes its preferred “best practices,” which include business models, activities, processes, and structure. Overall, 5,832 advisors were considered, and 1,000 (17% of candidates) were recognized. Please visit www.forbes.com for the full methodology that Forbes developed in partnership with SHOOK Research. This recognition and the due-diligence process conducted are not indicative of the advisor’s future performance. Your experience may vary. You are encouraged to conduct your own research to determine if the advisor is right for you.

10. The Birmingham Business Journal’s 2019 Women to Watch award honorees were nominated and chosen based on their career accomplishments, their potential for future leadership and contributions to their organization and the overall economy and other factors. This award is not specific to financial services and does not imply an endorsement, recommendation, or otherwise reflect the performance of the advisor or any account.

11. The 2019 ranking of the Forbes’ Best-in-State Next-Gen Wealth Advisors recognizes advisors born in 1980 or later with a minimum of four years of experience. Advisors were rated based on a proprietary algorithm of qualitative and quantitative criteria: assets under management, revenues generated for their firms, client retention, industry experience, credentials, and compliance records. SHOOK Research also employs an opinion-based weighting system that prioritizes its preferred “best practices,” which include business models, activities, processes, and structure. Overall, 6,389 advisors were considered, and 1,495 (23% of candidates) were recognized. Click here for the full methodology that Forbes developed in partnership with SHOOK Research. This recognition and the due-diligence process conducted are not indicative of the advisor’s future performance. Your experience may vary. You are encouraged to conduct your own research to determine if the advisor is right for you. Portfolio performance is not a criterion due to varying client objectives and lack of audited data. SHOOK does not receive a fee in exchange for rankings.

12. The 2020 ranking of the Forbes’ Best-in-State Wealth Advisors list was developed by SHOOK Research and is based on in-person and telephone due-diligence meetings to evaluate each advisor qualitatively and on a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria (including assets under management and revenue generated for their firms). Overall, 32,000 advisors were considered, and 4,000 (12.5% of candidates) were recognized. The full methodology that Forbes developed in partnership with SHOOK Research is available at www.forbes.com. This recognition and the due-diligence process conducted are not indicative of the advisor’s future performance. Your experience may vary. Winners are organized and ranked by state. Some states may have more advisors than others. You are encouraged to conduct your own research to determine if the advisor is right for you. Portfolio performance is not a criterion due to varying client objectives and lack of audited data. SHOOK does not receive a fee in exchange for rankings.

13. The 2019 ranking of the Forbes’ Best-in-State Wealth Advisors list was developed by SHOOK Research and is based on in-person and telephone due-diligence meetings to evaluate each advisor qualitatively and on a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria (including assets under management and revenue generated for their firms). Overall, 30,000 advisors were considered, and 3,500 (11.6% of candidates) were recognized. The full methodology that Forbes developed in partnership with SHOOK Research is available at www.forbes.com. This recognition and the due-diligence process conducted are not indicative of the advisor’s future performance. Your experience may vary. Winners are organized and ranked by state. Some states may have more advisors than others. You are encouraged to conduct your own research to determine if the advisor is right for you. Portfolio performance is not a criterion due to varying client objectives and lack of audited data. SHOOK does not receive a fee in exchange for rankings.

14. Working Mother Magazine's Top Wealth Advisor Moms 2020: SHOOK Research considered wealth advisors who are mothers with at least one child living at home and under the age of 18. Ranking algorithm is based on qualitative measures derived from telephone and in-person interviews and surveys: service models, investing process, client retention, industry experience, review of compliance records, firm nominations, etc.; and quantitative criteria, such as assets under management and revenue generated for their firms. Investment performance is not a criterion because client objectives and risk tolerances vary, and advisors rarely have audited performance reports. Rankings are based on the opinions of SHOOK Research LLC. Overall, 15,627 advisors were considered, and 500 (3 percent) were recognized. This recognition and the due-diligence process conducted are not indicative of the advisor's future performance. Your experience may vary.

15. Working Mother Magazine's Top Wealth Advisor Moms 2019: SHOOK Research considered wealth advisors who are mothers with at least one child living at home and under the age of 18. Ranking algorithm is based on qualitative measures derived from telephone and in-person interviews and surveys: service models, investing process, client retention, industry experience, review of compliance records, firm nominations, etc.; and quantitative criteria, such as assets under management and revenue generated for their firms. Investment performance is not a criterion because client objectives and risk tolerances vary, and advisors rarely have audited performance reports. Rankings are based on the opinions of SHOOK Research LLC. Overall, 3,500 advisors were considered, and 400 (11.4%) were recognized. This recognition and the due-diligence process conducted are not indicative of the advisor's future performance. Your experience may vary.

16. The NAPA 2019 Top Women Advisors list was created by NAPA to recognize the growing number of women who are making significant contributions to the retirement plan industry. Nominations were made by NAPA Broker-Dealer and RIA partners. Honorees were selected by a panel of judges based on criteria such as a candidate's percent revenues derived from retirement plans, total plan assets under management/advisement, years of experience working with workplace retirement plans, regulatory compliance record, and credentials. Votes were utilized to break ties, if applicable. List makers were honored in three separate categories: All-Stars, Captains, and Rising Stars. 209 advisors were considered for this award. 109 (52% of candidates) were named to the list. List makers were then separated into three different categories: All-Stars, Captains, and Rising Stars. The nominated advisor need not be a NAPA member. This award is not indicative of the wealth manager's future performance. Your experience may vary. For more information, please visit www.napa-net.org.In 2019 there were 50 Captains, 50 All-stars, and 19 Rising Stars. As defined by NAPA. All-Stars: top producers who have their own practices. Captains: All-Stars who happen to be principals, owners, or team captains of their organizations. Rising Stars: top producers who have less than five years' experience with retirement plans as a financial advisor.

17. The NAPA Top Women Advisors 2017 list was created by NAPA to recognize the growing number of women who are making significant contributions to the retirement plan industry. Advisors were nominated by NAPA firm partners and their peers and completed an application process. Approximately 600 nominations were received, and more than 12,000 votes were cast in support of these individuals. Honorees were selected by a panel of judges based on their individual experience, contributions, and business composition. List makers were honored in three separate categories: All-Stars, Captains, and Rising Stars. Nominations were made by NAPA broker/dealer and RIA partners. Honorees were selected by a panel of judges based on criteria such as a candidate’s percentage revenues derived from retirement plans, total plan assets under management/advisement, years of experience working with workplace retirement plans, regulatory compliance record, and credentials. Votes were used to break ties, if applicable. There were 201 qualified advisors considered for this award; 110 (55 percent of candidates) were named to the list. List makers were then separated into three different categories: All-Stars, Captains, and Rising Stars. The nominated advisor need not be a NAPA member. As defined by NAPA: All-Stars: top producers who have their own practices. Captains: All-Stars who happen to be principals, owners, or team captains of their organizations. Rising Stars: top producers who have less than five years’ experience with retirement plans as a financial advisor.

18. The NAPA 2017 Young Guns Top 75 Under 40 List includes plan advisors who have built a solid practice—either alone or as part of a team—and are established leaders ready to take their defined contribution (DC) and 401(k) plans to the next level. Nominations were solicited by NAPA members. Nominees were asked to complete an application and winners were chosen based on criteria that include: current and new DC assets under management, DC plans for the past 12 and 24 months, DC/DB plan revenue. Votes were utilized to break ties, if applicable. The nominated advisor need not be a NAPA member. 309 advisors were considered for the award. 75 (24.3% of candidates) were recognized. This award is not indicative of the wealth manager's future performance. Your experience may vary. For more information, please visit: www.napa-net.org.

19. The 2019 NAPA Top Retirement Plan Advisors Under 40 list includes plan advisors who have built a solid practice—either alone or as part of a team—and are established leaders ready to take their defined contribution (DC) and 401(k) plans to the next level. Nominations were solicited by NAPA members. Nominees were asked to complete an application, and winners were chosen based on criteria that include current and new DC assets under management, DC plans for the past 12 and 24 months, and DC/defined benefit plan revenue. Overall, 512 advisors were considered, and 100 (19.5 percent of candidates) were recognized. For more information, please visit: www.napa-net.org. Votes were used to break ties, if applicable. The nominated advisor need not be a NAPA member. This award is not indicative of the wealth manager’s future performance. Your experience may vary.

20. The 2019 National Association of Plan Advisors (NAPA) Top DC Advisor Firms List is a compilation of advisor firms, or teams, solely ranked by DC (Defined Contribution) assets under advisement (AUA). Data was collected by a NAPA survey sent out to firms/teams and are self-reported as of December 31, 2019. All NAPA members who responded with over $100 million in AUA made the list. This year, 265 advisor firms/teams are listed. This recognition is not indicative of the future performance of the firm or its advisors. For more information, please visit: www.napa-net.org.

21. The 2017 NAPA Top DC Advisor Teams with AUA over $100 million list is a compilation of individual advisor firms, or teams, solely ranked by DC (Defined Contribution) assets under advisement. Firms were asked to complete an application and provide information concerning their DC business to NAPA. 325 qualified firms were considered of which 250 (77% of candidates) were recognized. This award is not indicative of the future performance of the team or its advisors. Your experience may vary. For more information, please visit www.napa-net.org.

22. The 2020 National Association of Plan Advisors (NAPA) Top DC Advisor Firms List is a compilation of advisor firms, or teams, solely ranked by DC (Defined Contribution) assets under advisement (AUA). Data was collected by a NAPA survey sent out to firms/teams and are self-reported as of December 31, 2020. All NAPA members who responded with over $100 million in AUA made the list. This year, 300 advisor firms/teams are listed. This recognition is not indicative of the future performance of the firm or its advisors. For more information, please visit: www.napa-net.org.

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