Forbes Best-in-State Wealth Management Team (2023, 2024)
Forbes Top Wealth Management Team (2022, 2023)
Jeffrey R. Germain, CIMC®
Private Wealth Financial Advisor
Managing Director – Investments
| Forbes Best-in-State Wealth Management Team (2023, 2024) Forbes Top Wealth Management Team (2022, 2023) Forbes Best-in-State Wealth Advisors (2020 - 2024) Barron’s Top 1,200 State By State Advisors (2019-2022) Five Star Wealth Manager by Five Star Professional (2016-2023) |
Vincent DiCarlo, CFP®, ChFC®, CEPA, CDFA®
Private Wealth Financial Advisor
Senior Vice President – Investments
| Forbes Best-in-State Wealth Management Team (2023, 2024) Forbes Top Wealth Management Team (2022, 2023) Forbes Best-in-State Wealth Advisor (2020, 2023, 2024) Forbes Next Gen Best-in-State Wealth Advisor (2022) |
Kelly K Wong
Private Wealth Financial Advisor
Managing Director – Investments
| Forbes Best-in-State Wealth Management Team (2023, 2024) Forbes Top Wealth Management Team (2022, 2023) Forbes Best-in-State Top Women Wealth Advisor (2024) |
Award Disclosures
2024 Forbes Best-in-State Wealth Management Teams: Awarded January 2024; Data compiled by SHOOK Research LLC based on the time period from 3/31/22-3/31/23. 2023 Forbes Best-in-State Wealth Management Teams: Awarded January 2023; Data compiled by SHOOK Research LLC based on the time period from 3/31/21-3/31/22. 2023 Forbes Top Wealth Management Teams: Awarded November 2023; Data compiled by SHOOK Research LLC based on the time period from 3/31/22-3/31/23. 2022 Forbes Top Wealth Management Teams: Awarded November 2022; Data compiled by SHOOK Research LLC based on the time period from 3/31/21-3/31/22. (Source: Forbes.com) The Forbes Best-in-State Wealth Management Teams and Forbes Top Wealth Management Teams rating algorithm is based on the previous year’s industry experience, interviews, compliance records, assets under management, revenue and other criteria by SHOOK Research, LLC. Investment performance is not a criterion. Self-completed survey was used for rating. This rating is not related to the quality of the investment advice and based solely on the disclosed criteria.
2024 Forbes Best-In-State Wealth Advisors: Awarded April 2024; Data compiled by SHOOK Research LLC based on the time period from 6/30/22 - 6/30/23. 2023 Forbes Best-In-State Wealth Advisors: Awarded April 2023; Data compiled by SHOOK Research LLC based on the time period from 6/30/21 - 6/30/22. 2022 Forbes Best-In-State Wealth Advisors: Awarded April 2022; Data compiled by SHOOK Research LLC based on the time period from 6/30/20 - 6/30/21. 2021 Forbes Best-In-State Wealth Advisors: Awarded February 2021; Data compiled by SHOOK Research LLC based on the time period from 6/30/19 - 6/30/2020. 2020 Forbes Best-In-State Wealth Advisors: Awarded January 2020; Data compiled by SHOOK Research LLC based on the time period from 6/30/18 - 6/30/19. (Source: Forbes.com) The Forbes Best-in-State Wealth Advisors rating algorithm is based on the previous year’s industry experience, interviews, compliance records, assets under management, revenue and other criteria by SHOOK Research, LLC. Investment performance is not a criterion. Self-completed survey was used for rating. This rating is not related to the quality of the investment advice and based solely on the disclosed criteria.
2022 Barron’s Top 1,200 State By State Advisors: Awarded March 2022; Data Compiled by Barron's based on the time period from Oct. 2020 - Sept 2021. 2021 Barron’s Top 1,200 State By State Advisors: Awarded March 2021; Data Compiled by Barron's based on the time period from Oct. 2019 - Sept 2020. 2020 Barron’s Top 1,200 State By State Advisors: Awarded March 2021; Data Compiled by Barron's based on the time period from Oct. 2018- Sept 2019. 2019 Barron’s Top 1,200 State By State Advisors: Awarded March 2019; Data Compiled by Barron's based on the time period from Oct. 2017 - Sept 2018. (Source: Barrons.com) The Barron’s Top 1,200 State By State Advisors ratings are based on the previous year’s assets under management, revenue generated for the advisors’ firms, and the quality of the advisors’ practices. Investment performance isn’t an explicit factor because clients have varied goals and risk tolerances. Self-completed questionnaire was used for rating. This rating is not related to the quality of the investment advice and based solely on the disclosed criteria.
2022 Forbes Top Next-Gen Wealth Advisors: Awarded August 2022; Data compiled by SHOOK Research LLC based on the time period from 3/31/21-3/31/22. (Source: Forbes.com) The Forbes Top Next-Gen Wealth Advisors rating algorithm is based on the previous year’s industry experience, interviews, compliance records, assets under management, revenue and other criteria by SHOOK Research, LLC. Investment performance is not a criterion. Self-completed survey was used for rating. This rating is not related to the quality of the investment advice and based solely on the disclosed criteria.
2024 Forbes Top Women Wealth Advisors Best-in-State: Awarded February 2024; Data compiled by SHOOK Research LLC based on the time period from 9/30/22 - 9/30/23. (Source. Forbes.com) The Forbes Top Women Wealth Advisors Best-in-State rating algorithm is based on the previous year’s industry experience, interviews, compliance records, assets under management, revenue and other criteria by SHOOK Research, LLC. Investment performance is not a criterion. Self-completed survey was used for rating. This rating is not related to the quality of the investment advice and based solely on the disclosed criteria.
The Five Star Wealth Manager award was issued on 12/01/2022 by Five Star Professional (FSP) for the time period 03/28/2022 through 9/23/2022. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. The award is based on 10 objective criteria. Eligibility criteria – required: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Actively licensed as a registered investment adviser or as a principal of a registered investment adviser firm for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by FSP, 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 settled or pending complaints filed against them and/or a total of five settled, pending, dismissed or denied complaints with any regulatory authority or FSP’s consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through FSP’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; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. 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. FSP does not evaluate quality of services provided to clients. The 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 clients’ 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 FSP 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 FSP in the future. 3,629 Los Angeles wealth managers were considered for the award; 155 (4% percent of candidates) were named 2023 Five Star Wealth Managers. Visit www.fivestarprofessional.com.
Award issued on 12/1/21 by Five Star Professional (FSP) for the time period 3/29/21 through 10/1/21. 3781 Los Angeles wealth managers were considered for the award; 150 (4% of candidates) were named Five Star Wealth Managers.
Award issued on 12/1/20 by Five Star Professional (FSP) for the time period 3/30/20 through 10/9/20. 3574 Los Angeles wealth managers were considered for the award; 158 (4% of candidates) were named Five Star Wealth Managers.
Award issued on 12/1/19 by Five Star Professional (FSP) for the time period 3/1/2019 through 10/25/19. 3527 Los Angeles wealth managers were considered for the award; 158 (4% of candidates) were named Five Star Wealth Managers.
Award issued on 12/1/18 by Five Star Professional (FSP) for the time period 3/26/18 through 10/16/18. 3528 Los Angeles wealth managers were considered for the award. 154] (4% of candidates) were named Five Star Wealth Managers.
Award issued on 12/1/17 by Five Star Professional (FSP) for the time period 3/23/17 through 10/13/17. 2708 Los Angeles wealth managers were considered for the award; 154 (4% of candidates) were named Five Star Wealth Managers.
Award issued on 11/1/16 by Five Star Professional (FSP) for the time period 2/25/16 through 10/24/16. 2351 Los Angeles wealth managers were considered for the award; 2351 (12% of candidates) were named Five Star Wealth Managers.
Award issued on 11/1/15 by Five Star Professional (FSP) for the time period 5/22/15 through 10/16/15. 2374 Los Angeles wealth managers were considered for the award; 298 (13% of candidates) were named Five Star Wealth Managers
2024 Forbes Best-In-State Wealth Advisors: Awarded April 2024; Data compiled by SHOOK Research LLC based on the time period from 6/30/22 - 6/30/23. 2023 Forbes Best-In-State Wealth Advisors: Awarded April 2023; Data compiled by SHOOK Research LLC based on the time period from 6/30/21 - 6/30/22. 2022 Forbes Best-In-State Wealth Advisors: Awarded April 2022; Data compiled by SHOOK Research LLC based on the time period from 6/30/20 - 6/30/21. 2021 Forbes Best-In-State Wealth Advisors: Awarded February 2021; Data compiled by SHOOK Research LLC based on the time period from 6/30/19 - 6/30/2020. 2020 Forbes Best-In-State Wealth Advisors: Awarded January 2020; Data compiled by SHOOK Research LLC based on the time period from 6/30/18 - 6/30/19. (Source: Forbes.com) The Forbes Best-in-State Wealth Advisors rating algorithm is based on the previous year’s industry experience, interviews, compliance records, assets under management, revenue and other criteria by SHOOK Research, LLC. Investment performance is not a criterion. Self-completed survey was used for rating. This rating is not related to the quality of the investment advice and based solely on the disclosed criteria.
2022 Barron’s Top 1,200 State By State Advisors: Awarded March 2022; Data Compiled by Barron's based on the time period from Oct. 2020 - Sept 2021. 2021 Barron’s Top 1,200 State By State Advisors: Awarded March 2021; Data Compiled by Barron's based on the time period from Oct. 2019 - Sept 2020. 2020 Barron’s Top 1,200 State By State Advisors: Awarded March 2021; Data Compiled by Barron's based on the time period from Oct. 2018- Sept 2019. 2019 Barron’s Top 1,200 State By State Advisors: Awarded March 2019; Data Compiled by Barron's based on the time period from Oct. 2017 - Sept 2018. (Source: Barrons.com) The Barron’s Top 1,200 State By State Advisors ratings are based on the previous year’s assets under management, revenue generated for the advisors’ firms, and the quality of the advisors’ practices. Investment performance isn’t an explicit factor because clients have varied goals and risk tolerances. Self-completed questionnaire was used for rating. This rating is not related to the quality of the investment advice and based solely on the disclosed criteria.
2022 Forbes Top Next-Gen Wealth Advisors: Awarded August 2022; Data compiled by SHOOK Research LLC based on the time period from 3/31/21-3/31/22. (Source: Forbes.com) The Forbes Top Next-Gen Wealth Advisors rating algorithm is based on the previous year’s industry experience, interviews, compliance records, assets under management, revenue and other criteria by SHOOK Research, LLC. Investment performance is not a criterion. Self-completed survey was used for rating. This rating is not related to the quality of the investment advice and based solely on the disclosed criteria.
2024 Forbes Top Women Wealth Advisors Best-in-State: Awarded February 2024; Data compiled by SHOOK Research LLC based on the time period from 9/30/22 - 9/30/23. (Source. Forbes.com) The Forbes Top Women Wealth Advisors Best-in-State rating algorithm is based on the previous year’s industry experience, interviews, compliance records, assets under management, revenue and other criteria by SHOOK Research, LLC. Investment performance is not a criterion. Self-completed survey was used for rating. This rating is not related to the quality of the investment advice and based solely on the disclosed criteria.
The Five Star Wealth Manager award was issued on 12/01/2022 by Five Star Professional (FSP) for the time period 03/28/2022 through 9/23/2022. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. The award is based on 10 objective criteria. Eligibility criteria – required: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Actively licensed as a registered investment adviser or as a principal of a registered investment adviser firm for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by FSP, 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 settled or pending complaints filed against them and/or a total of five settled, pending, dismissed or denied complaints with any regulatory authority or FSP’s consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through FSP’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; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. 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. FSP does not evaluate quality of services provided to clients. The 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 clients’ 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 FSP 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 FSP in the future. 3,629 Los Angeles wealth managers were considered for the award; 155 (4% percent of candidates) were named 2023 Five Star Wealth Managers. Visit www.fivestarprofessional.com.
Award issued on 12/1/21 by Five Star Professional (FSP) for the time period 3/29/21 through 10/1/21. 3781 Los Angeles wealth managers were considered for the award; 150 (4% of candidates) were named Five Star Wealth Managers.
Award issued on 12/1/20 by Five Star Professional (FSP) for the time period 3/30/20 through 10/9/20. 3574 Los Angeles wealth managers were considered for the award; 158 (4% of candidates) were named Five Star Wealth Managers.
Award issued on 12/1/19 by Five Star Professional (FSP) for the time period 3/1/2019 through 10/25/19. 3527 Los Angeles wealth managers were considered for the award; 158 (4% of candidates) were named Five Star Wealth Managers.
Award issued on 12/1/18 by Five Star Professional (FSP) for the time period 3/26/18 through 10/16/18. 3528 Los Angeles wealth managers were considered for the award. 154] (4% of candidates) were named Five Star Wealth Managers.
Award issued on 12/1/17 by Five Star Professional (FSP) for the time period 3/23/17 through 10/13/17. 2708 Los Angeles wealth managers were considered for the award; 154 (4% of candidates) were named Five Star Wealth Managers.
Award issued on 11/1/16 by Five Star Professional (FSP) for the time period 2/25/16 through 10/24/16. 2351 Los Angeles wealth managers were considered for the award; 2351 (12% of candidates) were named Five Star Wealth Managers.
Award issued on 11/1/15 by Five Star Professional (FSP) for the time period 5/22/15 through 10/16/15. 2374 Los Angeles wealth managers were considered for the award; 298 (13% of candidates) were named Five Star Wealth Managers