Disclosure Information

Disclosure Information

Talis Advisory Services, LLC (Talis) is an SEC registered investment advisor located in Plano, Texas. Talis and its representatives are in compliance with the current registration and notice filing requirements imposed upon SEC registered investment advisors by those states within which the firm maintains clients.

Talis may only transact business in those states in which it is notice filed or in which it qualifies for an exemption or exclusion from notice filing requirements. Website content is limited to the dissemination of general information regarding investment advisory services to United States residents residing in states where providing such information is not prohibited by applicable law. Accordingly, the publication of website content should not be construed by any consumer and/or prospective client as a solicitation to effect or attempt to effect transactions in securities or the rendering of personalized investment advice for compensation over the Internet. Users should consult with appropriate advisors before making investment decisions.

Any subsequent direct communication by Talis 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 in which the prospective client resides. For information pertaining to the registration status of Talis, please contact the United States Securities and Exchange Commission on their website at http://www.adviserinfo.sec.gov/. A copy of Talis' current Form ADV Part II is available upon request. A copy of our business continuity statement is available upon request or may be accessed here.

Per the disclosures in our Form ADV, certain Talis representatives may be licensed to sell insurance products through Talis Financial Services, LLC.  Please refer to Form ADV for more information. Talis Financial Services, LLC and its representatives are not licensed to sell insurance products in every state and its representatives may only transact insurance business in those states in which they are licensed.  Website content is limited to the dissemination of general information regarding insurance products to United States residents residing in states where providing such information is not prohibited by applicable law.  Accordingly, the publication of website content should not be construed by any consumer and/or prospective client as a solicitation to effect or attempt to effect the sale of insurance products. Nothing contained herein constitutes a policy, binder or agreement to provide coverage. Users should consult with appropriate advisors before making insurance decisions.

Award Summary and Research Methodology

2015 CNBC Top 100 Fee-Only Wealth Management Firms

The CNBC Digital editorial team, along with Meridian-IQ, created the following ranking methodology for its Top 100 Fee-Only Wealth Management Firms rankings. Scores for each measure listed below were weighted according to a proprietary formula to arrive at a final total rank:

  • Assets under management.
  • Having staff with professional designations, such as a CFP or CFA.
  • Working with third-party professionals, such as attorneys or CPAs.
  • Average account size.
  • Growth of assets.
  • Years in business.
  • Number of advisory clients.
  • Providing advice on insurance solutions.

Firms with greater AUM totals were given a higher ranking in the case of numerical ties of the above formula. The Meridian/AdviceIQ team then applied the formula to the Meridian-IQ database of all RIAs to create the list. The final step to create the Top 100 Fee-Only Wealth Management Firms list for CNBC.com was to apply the AdviceIQ Regulatory Compliance Review process to the master list and eliminate any firm that failed the RCR process.

The RCR process is a due-diligence process whereby each advisory firm was compared with the RCR database of all regulatory actions from all four primary regulators: SEC, FINRA, state regulators and state insurance commissioners. In order to pass the RCR process, an advisory firm cannot have any complaints, actions or disclosures from any of the above regulators.

2018 D Magazine

Best Financial Planners:

D Magazine asked every Certified Financial Planner in the Dallas‐Fort Worth chapter of the Financial Planning Association to cast an online ballot. They were asked to name peers, both inside and outside their firms, whom they considered to be the most skilled and experienced financial planners in the industry. Outside‐firm votes counted more than inside‐firm votes. Self‐nominations were tossed out. A panel of esteemed local financial planners reviewed the list. Only CFPs made the list. 750 votes were cast, and a total of 235 individuals were nominated. Of these, 91 were selected.

Top Wealth Managers:

We asked every wealth management firm and team in the Dallas‐Fort Worth chapter of the Financial Planning Association, Chartered Financial Analyst Institute, and the Investments and Wealth Institute to tell us about their practices. The final list was selected based on these criteria: top firms or teams must have total assets under management for individual clients of at least $100 million; average assets under management per client of at least $1 million; a 95 percent client retention rate over the last two years; and no current disciplinary action. Additionally, all firms (or teams, should the team be applying as an entity separate from its parent company) must have been in existence for at least five years as of the application deadline (June 13, 2018). They must also hold themselves out as fiduciaries for their clients and provide them with a written disclosure. A panel of esteemed local wealth managers reviewed the final list. All numbers are current as of the application deadline. Out of the 44 that applied, 24 firms and teams were selected.

2018 Texas Monthly Five Star Wealth Manager

Five Star Professional conducts market-specific research to identify outstanding service professionals. Founded in 2003, the Five Star award program is the largest and most widely published award program in North America, covering more than 45 major markets. Professionals recognized as award winners are published by Five Star Professional and its partners. Award winners cannot pay a fee to be included in the research or the final list of award recipients.

The Five Star Wealth Manager award program was presented and discussed with the SEC Staff in Washington, D.C., in June 2011. The SEC Staff verbally advised Five Star Professional that the program does not constitute a client testimonial because (a) clients do not participate in the nomination and pre-qualification process and (b) the use of consumer survey feedback in the regulatory history/consumer complaint process is insignificant in the overall award selection process.

To view the complete program description:

http://fivestarprofessional.com/ref/research/WM_10192016.pdf

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