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Third Party Information

Financial Market Information; No Warranty: Our Third Party vendor makes available certain financial market data, quotes, news, research and opinions or other financial information. We do not guarantee or certify the accuracy, completeness, timeliness or correct sequencing of the Information made available through us, the Information Providers or any other third party transmitting the Information (the “Information Transmitters”).

All such Information is provided “as-is” and “as-available.” You agree that neither we nor any of the Information Providers or the Information Transmitters shall be liable in any way for the accuracy, completeness, timeliness or correct sequencing of the Information, or for any decision made or action taken by you relying upon the Information. You further agree that neither we nor any of the Information Providers or the Information Transmitters will be liable in any way for the interruption of any data, Information or other aspect of the Electronic Services. You understand that none of the Information (including Research Reports) available through the Electronic Services constitutes a recommendation or solicitation that you should purchase or sell any particular service.

Some Company News is provided from Third-Party Providers and is available on the Site through links to third-party sites. By clicking on any link, you will leave the Site. MAI employees may be quoted in the Third-Party Content; however, MAI has not been involved in the preparation, adoption or editing of the Content from Third-Party Providers and does not explicitly or implicitly endorse or approve such Content. The Third-Party Content is provided on an “As-Is” basis.

The Content is provided for informational and/or educational purposes and is not intended to provide tax, legal or investment advice and should not be construed as an offer to sell, a solicitation of an offer to buy, or a recommendation for any security by MAI. We are not endorsing any information in such material. Further MAI cannot guarantee its accuracy, timeliness, completeness or usefulness, and is not responsible or liable for any such content, including any advertising, products, or other materials on or available from third-party sites.

Additional information about awards and rankings:

In each case above, MAI responded to a survey from the sponsoring organization. In no case does MAI pay a fee to be considered for an award or to participate in rankings. These ratings should not be construed as an endorsement of the advisor or by any client nor are they representative of any one client’s evaluation. Further, MAI is not required to be a subscriber to Barron’s, Financial Times, Financial Advisor Magazine, Forbes, or any other group to be included in their rankings or awards.

Barron’s Top RIA Firms

On September 15, 2023, MAI Capital Management placed 27th out of 100 firms on Barron’s 2023 Top RIA Firms list (26th out of 100 in 2022, 31st out of 100 firms in 2021, 36th out of 100 firms in 2020, 26th out of 50 firms in 2019, and 39th in 2018). In order to be considered, applicants were required to complete a 160-question survey, based on information provided as of June 30, 2023, with the firm’s ADV informing the majority of responses. Firms were also required to meet a number of other specified requirements to be eligible for inclusion. Firms were ranked based on various qualitative and quantitative factors, including assets managed, the size and experience of teams, regulatory records of the advisors and firms, technology spending, staff diversity, organic and M&A growth, client segmentation as well as succession planning. The number of total RIAs surveyed was not available at time of publication. MAI paid $20,000 in 2023 to use the Barron’s logo in advertising ($20,000 in 2022, $15,000 in 2021, $15,000 in 2020, $15,000 in 2019, and $10,500 in 2018). https://www.barrons.com/advisor/report/top-financial-advisors/ria.

Financial Advisor Magazine RIA Ranking

On July 14, 2023, MAI ranked 30th out of 521 firms listed on Financial Advisor Magazine’s 2023 RIA Ranking (38 out of 534 in 2022, 42nd out of 607 firms in 2021, 45th out of 715 firms in 2020, 59th out of 683 in 2019, and 64th out of 707 in 2018). FA’s RIA survey is a ranking based on assets under management at year end of independent RIA firms that file their own ADV with the SEC. MAI does not pay a fee to be considered for an award or to participate in rankings; however, MAI pays $1,925 for marketing usage of the Financial Advisor Magazine RIA Ranking logo. MAI does not pay a fee to be considered for an award or to participate in rankings; however, MAI pays $1,925 for marketing usage of the Financial Advisor Magazine RIA Ranking logo. 

Financial Advisor Magazine Top 50 Fastest-Growing Firms

On July 14, 2023, MAI ranked 42nd out of 50 firms on Financial Advisor Magazine’s 50 Fastest Growing firms list (26th of out 50 in 2022, MAI did not place in 2021,and 24th out of 50 firms in 2020). The methodology above also applies to this list which is created by comparing firms’ year-end AUM to the previous year AUM based on the numbers reported on their survey. The number of total RIAs surveyed was not available at time of publication for either list.

To be eligible for the ranking, firms must be independent registered investment advisors and file their own ADV statement with the SEC and provide financial planning and related services to individual clients. Firms must have at least $500 million in assets under management as of December 31, 2022, to be included in the print edition of Financial Advisor magazine’s 2023 RIA survey. Firms with under $500 million will be included in FA‘s expanded 2023 online RIA survey. MAI does not pay a fee to be considered for an award or to participate in rankings; however, MAI pays $1,925 for marketing usage of the Financial Advisor Magazine RIA Ranking logo.

Forbes America’s Top RIA Firms

On October 10, 2023, MAI Capital Management, LLC (MAI) placed 83 out of 250 on the Forbes Top RIA Firms 2023 list. Data provided as of March 21, 2023. The Forbes ranking of America’s Top RIA Firms, developed by SHOOK Research, is based on an algorithm of qualitative criteria, mostly gained through telephone, virtual and in-person due diligence interviews, and quantitative data. The algorithm weighs factors like revenue trends, assets under management, compliance records, industry experience and those that encompass best practices and approach to working with clients. Portfolio performance is not a criterion due to varying client objectives and lack of audited data. Neither Forbes nor SHOOK receive a fee in exchange for rankings. MAI does not pay a fee to be considered for an award or to participate in rankings.

Forbes Best-In-State Wealth Advisors

On April 4 2023, Rick Buoncore ranked 8th out of 220 advisors listed in the state of Ohio, Albie MacDonald ranked 3rd out of 44 advisors listed in the Jacksonville, Florida Region, and Joan Malloy ranked 35th out of 79 advisors ranked in the St. Louis, Missouri Region. Information provided was based on data as of June 30, 2022. (In April 2022, Rick Buoncore ranked 8th out of 192 advisors listed in Ohio, Albie MacDonald ranked 5th out of 45 advisors listed in the Jacksonville, Florida Region, and Joan Malloy ranked 33rd out of 50 advisors in St. Louis, Missouri Region; In 2021, Rick Buoncore ranked 2nd out of 161 advisors listed in Ohio; In 2020, Rick Buoncore ranked 5th out of 131 advisors listed in Ohio; In 2019, Rick Buoncore ranked 4th out of 210 advisors listed in Ohio.) MAI does not pay a fee to be considered for an award or to participate in rankings.

Forbes’ Best-In-State, developed by SHOOK Research, is based on an algorithm of qualitative criteria and quantitative data. Considered advisors have a minimum of seven years of experience, and the algorithm weighs factors like revenue trends, assets under management, compliance records, industry experience and those that encompass best practices in their practices and approach to working with clients. Portfolio performance is not a criterion due to varying client objectives and lack of audited data.

Forbes Top Next-Gen Wealth Advisors

On September 21 2021, Andrew Meyer ranked 497th out of 500 advisors listed. Information provided was based on data as of March 31, 2021 with subsequent data updated per request from Forbes as of June 30, 2021. The Forbes Next-Gen Wealth Advisors rankings, developed by SHOOK Research, is based on an algorithm of qualitative criterion, mostly gained through telephone and in-person due diligence interviews, and quantitative data. Those advisors that are considered have a minimum of four years’ experience, and the algorithm weighs factors like revenue trends, assets under management, compliance records, industry experience and those that encompass the highest standards of best practices. Portfolio performance is not a criterion due to varying client objectives and lack of audited data. Neither Forbes nor SHOOK receive a fee in exchange for rankings. 3,389 individuals were considered for the Next-Gen ranking. For more information on the methodology for this ranking click here. MAI does not pay a fee to be considered for an award or to participate in rankings.

Forbes’ Top Financial Security Professionals

On July 26, 2023, Forbes ranked top insurance professionals across the industry and within each state on the annual list. The award was based on information provided between the time period of 12/31/2021 and 12/31/2022. In no case does MAI pay a fee to be considered for an award or to participate in rankings. Further, MAI is not required to be a subscriber to be included in their rankings or awards.

To be considered for the Forbes Top Financial Security Professional Ranking, the financial services professionals must be licensed to sell life insurance and annuities and be nominated by their current firm.  Applicants must meet the following methodology requirements: The Forbes Top Financial Security Professional Ranking, developed by SHOOK Research, is based on an algorithm of qualitative criterion, mostly gained through telephone and in-person due diligence interviews, and quantitative data. Those advisors that are considered have a minimum of seven years’ experience, and the algorithm weighs factors like revenue trends, assets under management, compliance records, industry experience and those that encompass the highest standards of best practices. Portfolio performance is not a criterion due to varying client objectives and lack of audited data. Neither Forbes nor SHOOK receive a fee in exchange for rankings. (Source: Forbes.com)

For more information on the ranking methodology, please visit this link.

Forbes America’s Top Wealth Advisors

On September 10 2019, Rick Buoncore ranked 140th out of 250 advisors listed and in 2018, he ranked 109th out of 250 advisors listed.  Information provided was based on data as of March 31, 2019 with subsequent data updated per request  from Forbes as of June 30, 2019. Based on an algorithm of qualitative criteria, mostly gained through telephone and in-person due diligence interviews, and quantitative data. Those advisors that are considered have a minimum of seven years experience, and the algorithm weighs factors like revenue trends, assets under management, compliance records, industry experience and those that encompass best practices in their practices and approach to working with clients. Portfolio performance is not a criterion due to varying client objectives and lack of audited data. MAI does not pay a fee to be considered for an award or to participate in rankings.

Barron’s Top Advisor by State

On March 18, 2021, John Palguta ranked 11th out of 30 advisors listed in Ohio. Information provided was based on data as of September 30, 2020.

In 2018, Rick Buoncore ranked 7th out of 30 advisors listed in Ohio. The rankings are based on data provided by around 4,000 of the nation’s most productive advisors. Factors included in the rankings: assets under management, revenue produced for the firm, regulatory record, quality of practice and philanthropic work. Investment performance isn’t an explicit component because not all advisors have audited results and because performance figures often are influenced more by clients’ risk tolerance than by an advisor’s investment-picking abilities. The rankings are meant as a starting point for clients looking for an advisor—a first-pass vetting that can help investors narrow a search. Every advisor will have his or her own approach to investing, financial planning and other services. Clients are encouraged to approach a search for an advisor the way they would a search for a doctor—interviewing multiple professionals and getting opinions from multiple third parties. The number of total advisors surveyed was not available at time of publication.

Barron’s Top 100 Independent Wealth Advisors

In 2017, Rick Buoncore ranked 68th out of 100 advisors listed (70th in 2016, 95th in 2015, and 97th in 2014). The ranking reflects the volume of assets overseen by the advisors and their teams, revenues generated for the firms and the quality of the advisors’ practices. The scoring system assigns a top score of 100 and rates the rest by comparing them to the winner. The number of total advisors surveyed was not available at time of publication.

Third-party rankings and recognitions are no guarantee of future investment success and do not ensure that a client or prospective client will experience a higher level of performance results. These rankings should not be construed as an endorsement of the advisor by any client nor are they representative of any one client’s evaluation.

Forbes Top Women Wealth Advisors Best-In-State

On February 8, 2024, Joan Malloy ranked 4th out of 26 advisors listed in Missouri (6th out of 21 advisors listed in Missouri in 2023).  Forbes ranking of Top Women Wealth Advisors Best-In-State, developed by SHOOK Research, is based on an algorithm of qualitative data, learned through surveys and interviews conducted by telephone, in-person and virtually to evaluate best practices, such as service models, investing models and compliance records as well as quantitative data, such as revenue trends and assets under management. MAI does not pay a fee to be considered for an award or to participate in rankings.

All advisors have a minimum of seven years’ experience, minimum 1 year at current firm, with the exceptions of acquisitions, advisors must be recommended and nominated by their firm and complete an online survey. Portfolio performance is not a criterion due to varying client objectives and lack of audited data. Neither Forbes nor SHOOK receive a fee in exchange for rankings.  For more information on the methodology visit https://www.forbes.com/sites/rjshook/2024/02/08/methodology-americas-top-women-wealth-advisors-2024/?sh=238ecf9c4502.

Crain’s Investment Advisers List

On May 15, 2023, MAI was named 3rd on the Crain’s Investment Advisers List. The lists are open to registered investment advisers that manage regulatory assets from offices in Northeast Ohio. This list of RIAs excludes companies that invest most of the assets they locally manage directly into stocks and bonds; those RIAs appear on the money managers list. AUM stands for “assets under management.” ADV assets represents total regulatory assets under management as of December 31, 2022. Data is from the companies. MAI does not pay a fee to be considered for an award or to participate in rankings.

Investopedia 100 Top Financial Advisors of 2023

On July 11, 2023, Joe McLean ranked on the Investopedia 100 Top Financial Advisors of 2023 list. The information provided was based on data as of the applicated deadline of May 1, 2023. Investopedia 100 Top Financial Advisors of 2023 honors independent US-based financial advisors who have demonstrated top-of-the-industry skills in the following critical areas: reach, commitment to financial literacy, and community support. Investopedia checked each advisor CRD number for validity and each application for accuracy and quality. Final scores were tabulated according to weights designated for each of the criteria above. Investopedia receives no compensation from placing advisors on the list, nor does an advisor’s appearance on the list constitute an individual endorsement by Investopedia of such advisor. MAI does not pay a fee to be considered for an award or to participate in rankings.

Smart Business Medical Mutual Pillar Award 2023

MAI Capital was recognized as an Honoree of 2023 Smart Business, Medical Mutual Pillar Award for Community Service on 12/7/23. Information as of time period not provided. Nominees must have a physical location in the 14-county region of Northeast Ohio (Ashland, Ashtabula, Cuyahoga, Erie, Geauga, Huron, Lake, Lorain, Medina, Portage, Stark, Summit, Tuscarawas and Wayne) to be eligible for an award. The Award seeks to publicize the importance of community service issues, such as philanthropy and volunteerism, share creative ideas about how companies have a positive impact in their communities, and honor companies and individuals who go beyond the minimum expectation of community service. In no case does MAI pay a fee to be considered for an award or to participate in rankings. Further, MAI is not required to be a subscriber to any other group to be included in their rankings or awards. Learn more about the award here: http://www.smartbusinessemag.com/articles/2023-medical-mutual-pillar-award-for-community-service

View additional information in MAI’s Form ADV filings with the U.S. Securities and Exchange Commission:
https://adviserinfo.sec.gov/firm/summary/109807

2023 Weatherhead 100 Titan List

On December 14, 2023, MAI placed 4th out of 18 firms in the Titan category. To be considered for the 2023 Weatherhead 100 list, applicants were required to complete a 6-question survey that included subcategories and covered a 12-month period of net sales from 2018 – 2022, with the firm’s ADV informing the majority of responses. Other application requirements included: 2018 net sales at least $100,000, company headquarters required to be in one of the following Ohio counties: Ashland, Ashtabula, Cuyahoga, Erie, Geauga, Huron, Lake, Lorain, Mahoning, Medina, Portage, Richland, Stark, Summit, Trumbull or Wayne County, not a franchise or subsidiary of another company between 2018 – 2022, and must be a for-profit organization. $2500.00 was spent in 2023 for a table at the awards ceremony. To learn more about the Weatherhead 100, please visit: https://case.edu/weatherhead/corporate-partners/weatherhead-100/award-application

View additional information in MAI’s Form ADV filings with the U.S. Securities and Exchange Commission:
https://adviserinfo.sec.gov/firm/summary/109807