Important Disclosures

CV Advisors is a registered investment adviser. Registration of an investment adviser does not imply that CV Advisors or any of our principals or employees possesses a particular level of skill or training. For additional information about us including fees and services, please see our Form ADV Parts1A, 2A, and 3 (Form CRS) disclosures, which are available on the SEC’s Investment Adviser Public Disclosure website (https://www.adviserinfo.sec.gov/Firm/164817). The information contained herein should not be construed by any client or prospective client as an offer to buy or sell or a solicitation to buy or sell any security or service, nor should it be construed as the rendering of personalized investment advice for compensation. Investments are not insured, are not guaranteed, and may lose value. No representation is made that the objectives or goals of any investment strategy will be met or that an investment or strategy will be profitable or will not incur any losses. Past performance is no guarantee of future results. This information is subject to change without notice, and has no regard to the specific investment objectives, financial situation, and/or needs of any person, family, or institution. Investments discussed are not suitable for all investors. This material is not directed to or intended for use by any person residing or located in any jurisdiction where (i) the distribution of such information is contrary to the laws of such jurisdiction; or (ii) such distribution is prohibited without first obtaining the necessary licenses or authorizations of that jurisdiction.

About Us – Data as of November 30, 2023

Assets under management – As of November 30, 2023, CV Advisors’ estimated Regulatory Assets Under Management totaled approximately $9,290,377,022.

Client relationships – Does not include the 14 affiliated private pooled investment vehicles for which CV Advisors LLC sponsors and manages.

Publication Rankings and Methodologies – CV Advisors is not affiliated with or related to any financial publication. The firm does not pay, directly or indirectly, to be included in any ranking. As described below, the following publications have either invited CV Advisors to complete their survey for consideration or they have used publicly available data to arrive at their published rankings. CV Advisors has no reason to believe any recognition or ranking has been designed or prepared to produce any predetermined result. Nothing herein should be construed by a client or prospective client as a guarantee that the client will experience a certain level of result if CV Advisors is engaged, or continues to be engaged, to provide investment advisory services, and no ranking or recognition should be construed as an endorsement of CV Advisors.

Barron’s Top 100 RIA Firms (2023, 2022, 2021, & 2020) Barron’s Top 50 RIA Firms (2019), Barron’s Top 40 RIA Firms (2018), Barron’s Top 30 RIA Firms (2017), Barron’s Top 20 Independent Advisory Firms (2016) – Advisors who wish to be ranked fill out a multi-question survey about their practice. Barron’s verifies this data, based largely on the 12-month period ending each June 30, with the advisors’ firms, and with regulatory databases. They apply a rankings formula to the data to generate a ranking, which is published each September. The formula features three major categories of calculations: (1) Assets (2) Revenue (3) Quality of practice. In each of those categories, Barron’s does multiple sub-calculations. Barron’s measures the growth of advisors’ practices and their client retention. They also consider a wide range of qualitative factors, including the advisors’ experience, their advanced degrees and industry designations, the size, shape, and diversity of their teams, their charitable and philanthropic work and, of course, their compliance records.

Financial Advisor (FA) Magazine’s RIA Survey & Ranking (Asset Category: $1 Billion and Over 2023, 2022, 2021, 2020, 2019, 2018, & 2017) – 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. FA’s RIA ranking orders firms from largest to smallest, based on AUM reported to FA Magazine by firms that voluntarily complete and submit FA's survey by their deadline. 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 to be included in the next print edition of Financial Advisor magazine’s RIA survey, published each July/August.

InvestmentNews Top Fee-Only RIAs (2023 & 2022) – InvestmentNews qualifies firms headquartered in the United States based on data reported on Form ADV to the Securities and Exchange Commission. To qualify, advisers must be fee-only, based in the United States, have filed their latest ADV within 12 months of the publication date, have total AUM of at least $100M, be independent from any broker-dealer, and meet several other criteria. Firms are then ranked by total assets under management.

InvestmentNews Top Regional Fee-Only RIAs (2023) – InvestmentNews qualifies firms headquartered in the United States based on data reported on Form ADV to the Securities and Exchange Commission. To qualify, advisers must be fee-only, based in the United States, have filed their latest ADV on or after August 1, 2022, have total AUM of at least $100M, be independent from any broker-dealer, and meet several other criteria. Firms are then ranked by total assets under management.

Financial Planning’s RIA Leaders Top 20 Firms by AUM (2023) – FP's data partner for the RIA Leaders feature, COMPLY, produced the rankings by applying the several criteria to firms' required SEC Form ADV filings in July 2023. To qualify firms must have no affiliations with a broker-dealer and must be non-commission-based to be considered for the RIA Leaders ranking. In addition, at least 50% of the firm’s clients must be individuals or high-net-worth individuals, and at least one of those clients must receive financial planning services.

Financial Planning’s RIA Leaders Top 150 Fee-Only RIA Firms (2022) – The survey was prepared in partnership with RIA in a Box, a compliance software and consulting firm. RIA in a Box first gathered data from Form ADV filings via the SEC’s Investment Adviser Public Disclosure database and then further refined the list by determining which firms provide financial planning to their clients. The resulting 150 firms met proprietary criteria designed by Financial Planning magazine.

SmartAsset Top 50 Fastest-Growing Financial Advisors (2022) – SmartAsset’s methodology begins by identifying all firms that are registered with the U.S. Securities & Exchange Commission (SEC) and headquartered in the U.S. To qualify firms must have had at least $500 million in assets under management as of March 2022 and offered financial planning services. Firms were eliminated if they had disclosures on their Form ADV or took part in mergers and acquisitions during the timeframe considered. With those criteria, the firms are then ranked across the following four metrics: one- & three-year % change in number of client accounts and one- & three-year % change in assets under management. Each firm’s average ranking is used to determine a final score. The firm with the best average ranking received a score of 100. The firm with the lowest average ranking received a score of 0.

RIA Channel Top 100 Wealth Managers (2021 & 2020) – The Top 100 Wealth Managers ranking by RIA Database (RIADatabase.com) was produced using quantitative and qualitative measures. Firms were ranked, from largest to smallest, based on total assets under management as reported on their form ADV Part I as of September 30, 2021, and June 30, 2020, respectively. RIA firms were included in the ranking based on several criteria that qualified them as wealth management firms. Included RIA firms predominantly serve individual clients including family offices, high net worth or non-high net worth individuals. Pure asset managers, hedge funds, institutional firms and broker/dealers were excluded from this ranking. Firms with regulatory or criminal ADV disclosures were also excluded.

Financial Times FT 300: Top US Registered Investment Advisers (2017 &2015) – Financial Times examines the database of RIAs registered with the US Securities and Exchange Commission and selects those that reported to the SEC that they had $300m or more in assets under management (AUM). The Financial Times’ methodology is quantifiable and objective. The RIAs have no subjective input. The FT invites qualifying RIAs to complete a lengthy application, to which FT adds their own research into each RIA practice, including data from regulatory filings. The formula the FT uses to grade advisers is based on six broad factors and calculates a numeric score for each adviser. Areas of consideration include adviser AUM, asset growth, the company’s age, industry certifications of key employees, SEC compliance record and online accessibility. Firms are then ranked alphabetically by state.

Forbes Top 100 Wealth Managers (2015) and Top 50 Wealth Managers (2014) - RIA Database works closely with the staff at Forbes to identify what they believe to be the most relevant “true wealth management” criteria for ranking consideration. The Forbes Top Wealth Manager Ranking is based on total assets under management as of March 31 (end of year data). RIAs were included if their primary business was wealth management services primarily to high net worth individuals. RIAs were excluded if they own and/or manage a mutual fund, hedge fund or broker/dealer. Hybrid RIAs (broker/dealer affiliates) are included, however Forbes has removed all firms that manage a mutual fund or a hedge fund even if it was not a dominant part of their RIA business. Broker/dealers, turnkey asset managers (TAMPs), and ETF strategists were also excluded. Firms with regulatory, civil or criminal disclosures were excluded from the list. Firms are then ranked by assets under management from largest to smallest.

Third-Party Websites

Third-party news, articles and links are being provided as a convenience and for informational purposes only. They do not constitute an endorsement or an approval by CV Advisors of any of the products, services or opinions of the corporation or organization, or individual(s) involved. CV Advisors bears no responsibility for the accuracy, legality, or content of the external site or for that of any subsequent links. Contact the external site owner for answers to questions regarding its content.