IMPORTANT CLIENT INFORMATION

The compliance documents below provide disclosures related to clients’ relationships with us, including information on conflicts of interests, compensation and fees, and other investment-related details. If you prefer to receive a paper copy of the disclosure documents, please contact your Beacon Pointe advisor or our Compliance Department at (949) 718-1600 or email: info-compliance@beaconpointe.com. We encourage you to read the contents of the compliance documents and contact your advisor if you have any questions.

Compliance Documents:

• Privacy Notice 
• Form CRS (Client Relationship Summary)
• Form ADV, Part 2A Brochure
• Wrap Fee Program Brochure
• Form ADV, Part 2B Brochure Supplement (please reference below)
• Beacon Pointe Multi-Alternative Fund Class I (BPMAX) Client Disclosure

IMPORTANT AWARDS & RANKINGS DISCLOSURES

AZ Big Media:

‘Ranking Arizona’ The Best of Arizona Business – Independent Investment Advisors (2022-2026) – 2022 ranked #5, 2023 ranked #7, 2024 ranked #3, 2025 ranked #4, 2026 ranked #2. Third-party awards, rankings, and recognitions are no guarantee of future investment success. Nominations for Ranking Arizona Best of Business can be provided by any user. Rankings are based on the number of online votes from participating voters from August two years prior to publication to July the year prior. Voters were allowed to vote multiple times (up to once per hour), provided an email address for verification, and were comprised of both Beacon Pointe employees and the general public. Beacon Pointe Advisors did not pay to participate in any award or survey. Beacon Pointe provides links for your convenience to other providers’ websites. Beacon Pointe is not responsible for errors or omissions in the material on third-party websites and does not necessarily approve or endorse the information provided. These ratings should not be construed as an endorsement of the advisor by any client or prospective client.

AdvisorHub:

50 RIA Firms to Watch in 2026 (Large-Sized) – Beacon Pointe ranked #17. Firms included in this ranking were segmented into two categories: large firms, with more than $20 billion in assets, and mid‑sized firms with fewer. AdvisorHub considered the top 225 firms for this ranking and focused on two core metrics: firm scale and multi-year growth. Data was sourced by FINTRX from public filings ending 12/31/2024. They also evaluated the type of assets a firm manages and, critically, the balance of employees to assets. The ranking places more emphasis on growth than scale. This growth includes multi-year changes in both assets and headcount. To offset the natural advantages newer firms may enjoy, they also considered growth in the past year. Participation in this ranking is free, and AdvisorHub receives no compensation from the firms included. For more information, please click here.

Advisors to Watch – 200 RIAs to Watch (2023) LeEric Daye ranked #76. Participation is open to all firms and advisors. Nominees are required to have a minimum of seven years’ experience, a $100m minimum AUM, and a clean regulatory record. Using data on assets, households, and production, AdvisorHub ranks advisors in three categories: scale, growth, and professionalism. Participation in this ranking is free, and AdvisorHub receives no compensation from the participating advisors.

Advisors to Watch – 200 RIAs to Watch (2024) – Karen Reifel ranked #14. Participation is open to all firms and advisors. Nominees are required to have a minimum of seven years’ experience, a $150m minimum AUM, and a clean regulatory record. Advisors were ranked on the 1) size and makeup of their practice; 2) year-over-year growth; 3) and professionalism.  Participation in this ranking is free, and AdvisorHub receives no compensation from the participating advisors.

Advisors to Watch – 250 RIAs to Watch (2025) –Gregory Taylor ranked #46. Participation is open to all firms and advisors. Nominees are required to have a minimum of seven years’ experience, a $150m minimum AUM, two years at their current firm, and a clean regulatory record (two or fewer complaints and no significant judgments). Using data on assets, households, and production, AdvisorHub ranks advisors in three categories: scale, growth, and professionalism. Participation in this ranking is free, and AdvisorHub receives no compensation from the participating advisors.

Advisors to Watch – 50 Women RIAs to Watch (2026) – Bo Lee ranked #19. This accolade was compiled by AdvisorHub based on 1) size and makeup of practices; 2) year-over-year growth; and 3) professionalism. AdvisorHub identified advisors from across the country who are growing their businesses and delivering high-quality service to clients. Participation is open to all firms and advisors. Nominees are required to have a minimum of seven years’ experience, a $150m minimum AUM, and a clean regulatory record. Award consideration was based on data provided by nominees, including year‑over‑year information, prior to each award year.  Participation in this ranking is free, and AdvisorHub receives no compensation from the participating advisors.

Advisors to Watch – 250 RIAs to Watch (2026) – Bo Lee ranked #109 and TJ Hoffman ranked #122. This accolade was compiled by AdvisorHub based on 1) size and makeup of practices; 2) year-over-year growth; and 3) professionalism. AdvisorHub identified advisors from across the country who are growing their businesses and delivering high-quality service to clients. Participation is open to all firms and advisors. Nominees are required to have a minimum of seven years’ experience, a $150m minimum AUM, and a clean regulatory record. Award consideration was based on data provided by nominees, including year‑over‑year information for the period reviewed prior to the 2026 award year.  Participation in this ranking is free, and AdvisorHub receives no compensation from the participating advisors.

Barron’s:

“Largest Female-Led RIA in the United States” (2021-2024). This ranking is based on a quantitative analysis performed internally using Barron’s Top 100 RIA Firms (2021-2024). “Female-Led” denotes the position of Chief Executive Officer held by a female. Methodology: Beacon Pointe extracted advisory firms with female representation in executive leadership for each year (2021-2024) and included based on the following criteria: Title, AUM, and number of clients. 2021: A total of 32 firms comprised female representation in executive leadership. The number of females in leadership positions was 40. 2022: A total of 30 firms comprised female representation in executive leadership. The number of females in leadership positions was 40. 2023: A total of 21 firms comprised female representation in executive leadership. The number of females in leadership positions was 39. 2024: A total of 29 firms comprise female representation in executive leadership. The number of females in leadership positions is 67.

Top 100 RIA Firms (2018-2025) – 2018 ranked #36, 2019 ranked #20, 2020 ranked #30, 2021 ranked #21, 2022 ranked #16, 2023 ranked #15, 2024 ranked #7, 2025 ranked #7. The ranking is based on assets managed by the firms, technology spending, staff diversity, succession planning, and other metrics. Barron’s measures the growth of advisors’ practices and their client retention while also considering 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 their compliance records. The number of firms included in the rankings was: 40 (2018), 50 (2019), and 100 (2020-2025). Beacon Pointe paid no applicable fees to participate in the ranking process.

Top 100 Institutional Consulting Teams (2023-2026) – 2023 ranked #64, 2024 ranked #66, 2025 ranked #69, and 2026 ranked #65. Advisors who wish to be ranked complete a comprehensive questionnaire about their practice. Barron’s verifies that data with the advisors’ firms and with regulatory databases and then applies their rankings formula to the data to generate a ranking. The formula features three major categories of calculations: 1) assets, 2) revenue, and 3) quality of practice. In each of those categories, Barron’s does multiple sub-calculations. Beacon Pointe paid no applicable fees to participate in the ranking process.

Top 100 Women Financial Advisors (2016-2018) – Shannon Eusey, ranked #2 in 2016, #6 in 2017 and 2018. Advisors who wish to be ranked complete a comprehensive questionnaire about their practice. Barron’s verifies that data with the advisors’ firms and with regulatory databases and then applies their rankings formula to the data to generate a ranking. The formula features three major categories of calculations: 1) assets, 2) revenue, and 3) quality of practice. In each of those categories, Barron’s does multiple sub-calculations. Beacon Pointe paid no applicable fees to participate in the ranking process.

Top 1,200 Financial Advisors (2017-2018) – Shannon Eusey, ranked #18 in California in 2017 and #19 in 2018. Rankings are organized by state and based on data provided by over 4,000 U.S. 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.

Top 100 Independent Wealth Advisors (2014-2017) – Shannon Eusey ranked #20 2014, #13 2015, and #21 in 2017. The ranking is based on the volume of assets overseen by the advisors and their teams, revenues generated for the firms, and the quality of the advisors’ practices. Beacon Pointe paid no applicable fees to participate in the ranking process.

Citywire:

50 Growers Across America (2022-2023, 2025) – ranked #1 in California 2023, ranked in the top 3 in California 2025. Citywire uses historical Form ADV data compiled by Discovery Data (2022–2023) and FINTRX (2025), which is run through a layer of screens. They exclude RIAs that don’t include financial planning as one of their core services, as well as firms affiliated with broker-dealers and banks (firms whose advisors may be dually registered with a broker-dealer but maintain their own RIA entity are in bounds). Firms must manage over $100 million in assets and not primarily function as back-end service providers. Citywire calculates a “growth score” using percentage growth in AUM and employee headcount over a three-year period. Beacon Pointe did not pay for inclusion or ranking for this award.

Charles Schwab:

IMPACT Trailblazer Award Winner (2014). Trailblazer IMPACT Award™ criteria: Firms must use Charles Schwab & Co., Inc. (“Schwab”) as a custodian and must have been in business for at least five years, have at least $25 million in assets under management, and be registered with the SEC.  Schwab and an industry panel review general business metrics and essays submitted by the firms in making selections for the awards. The Trailblazer IMPACT Award recognizes an independent investment advisory firm for unique efforts to advance the industry, such as serving a new client segment, creating a new business model, offering education to the community, developing new talent, or advocating for the industry.

D Magazine:

D Magazine asks every Certified Financial Planner in the Dallas-Fort Worth chapter of the Financial Planning Association to cast an online ballot. They are asked to name peers, both inside and outside their firms, whom they consider to be the most skilled and experienced financial planners in the industry. Outside-firm nominees are weighted more heavily than internal ones. Financial Planners must meet the following criteria: Be a Certified Financial Planner in good standing, be a member of the Financial Planning Association, and currently practice within D Magazine’s geographic boundaries. Votes are tallied and sorted by D Magazine’s editorial staff. Self-nominations are not permitted for consideration. The remaining votes are vetted by an anonymous panel of esteemed Certified Financial Planners. The panel changes periodically to ensure consideration is impartial. There is no nomination/application fee to be chosen for inclusion in this list. Recognition was awarded in specific years indicated and does not imply ongoing or current ranking. This award is not indicative of future performance and may not be representative of the experience of all clients. Beacon Pointe and/or its advisers have paid fees in certain years to D Magazine for advertising or enhanced profile features; however, such payments were not a factor in the determination of award recipients.

Dallas Business Journal:

Largest Wealth Management Firms in North Texas (2026): Beacon Pointe ranked #5 based on local AUM in 2025. To be eligible for this list, the firm must be independently owned and have a location within one of the following counties: Collin, Cooke, Dallas, Denton, Ellis, Grayson, Johnson, Kaufman, Parker, Rockwall, Tarrant and Wise. The Dallas Business Journal cannot independently verify information provided by individual firms. In the case of ties, companies are listed alphabetically. Beacon Pointe paid no applicable fees to participate in the ranking process.

Wealth Management Firms in North Texas (2025): Beacon Pointe ranked #5 based on local AUM in 2024. To be eligible for this list, the firm must be independently owned and have a location within one of the following counties: Collin, Cooke, Dallas, Denton, Ellis, Grayson, Johnson, Kaufman, Parker, Rockwall, Tarrant and Wise. The Dallas Business Journal cannot independently verify information provided by individual firms. In the case of ties, companies are listed alphabetically. Beacon Pointe paid no applicable fees to participate in the ranking process.

Dallas-Fort Worth Metro Area Wealth Management Firms (2023): The Dallas Business Journal surveyed wealth management firms beginning August 1, 2023. The surveys were sent via email to companies who opted-in to the Business Journal’s surveys and met eligibility requirements. To be eligible for this list, the firm must be independently-owned and have a location within one of the following counties: Collin, Dallas, Denton, and Tarrant. Out of the 116 eligible firms surveyed, 26 responded. Published in 2023, the Dallas Business Journal’s list reflects data provided by surveyed firms beginning August 1, 2023.  The Dallas Business Journal cannot independently verify information provided by individual companies. In case of ties, companies are listed alphabetically. Beacon Pointe paid no applicable fees to participate in the ranking process.

FA Magazine:

RIA Discretionary & Non-Discretionary AUM Ranking (2022-2026) – 2022 ranked #21, 2023 ranked #19, 2024 ranked #18, 2025 ranked #18, and 2026 ranked #14. Beacon Pointe Advisors was included in Financial Advisor Magazine’s RIA Ranking, which lists independent registered investment advisory firms based on year-end assets under management (AUM). Beacon Pointe ranked among the top RIAs, including both discretionary and non-discretionary assets. This annual ranking is based on self-reported data submitted to FA Magazine and reflects total assets under management as of December 31, 2021, 2022, 2023, 2024, and 2025. Beacon Pointe paid no applicable fees to participate in the ranking process.

Top 50 Fastest Growing RIAs (2020, 2022, 2024 and 2026) – 2020 ranked #12, 2022 ranked #6, 2024 ranked #40, and 2026 ranked #11.  FA’s RIA survey is a ranking based on discretionary and non-discretionary assets under management at year-end, percentage of growth in assets over the previous year, assets per client, percentage of growth in assets per client, and percentage change in number of clients. 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 12/31 the previous year to be included in the print edition of Financial Advisor Magazine’s annual RIA survey. Beacon Pointe paid no applicable fees to participate in the ranking process.

Top RIA Firms in America – (2014-2021) – Category $1billion+ in AUM. 2014 ranked #26, 2015 ranked #27, 2016 ranked #26, 2017 ranked #31, 2018 ranked #49, 2019 ranked #45, 2020 ranked #33, and 2021 ranked #33.  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 by firms that voluntarily complete and submit FA’s survey by the deadline. Beacon Pointe paid no applicable fees to participate in the ranking process.

Financial Times:

Top 300 RIAs (2014-2016, 2020) – Research produced independently by Ignites Research, a division of Money-Media, Inc., on behalf of the Financial Times (FT), RIA firms applied for consideration, having met a minimum set of criteria. The FT 300 is based on data gathered from RIA firms, regulatory disclosures, and the FT’s research. The listing reflected each practice’s performance in six primary areas: assets under management, asset growth, compliance record, years in existence, credentials and online accessibility. Over 750 qualified firms applied for the award, 300 of which were selected (40%). This award does not evaluate the quality of services provided to clients and is not indicative of the practice’s future performance. Neither the RIA firms nor their employees pay a fee to The Financial Times in exchange for inclusion in the FT 300.

401 Top Retirement Plan Advisers by State – (2020) – Michele Sarna, CA (2020).The Financial Times 401 Top Retirement Advisors is an independent listing produced annually by Ignites Research, a division of Money-Media, Inc., on behalf of the Financial Times (October 2020). The FT 401 is based on data gathered from advisors, regulatory disclosures, and the FT’s research. The listing reflects each advisor’s status in six primary areas: DC plan assets under advisement (AUA), DC AUA growth rate, specialization in DC plans, years of experience, advanced industry credentials and compliance record. A total of 855 advisors applied for the award, of which 401 were selected (47%). This award is not indicative of the advisor’s future performance. Neither the advisors nor their parent firms pay a fee to the Financial Times in exchange for inclusion in the FT 401.

Five Star Professional:

Five Star Wealth Management (2012, 2014-2024) – Chad Broberg (2012, 2014-2024). In order to receive the Five Star Wealth Manager award from Five Star Professional (“FSP”), a wealth manager must satisfy 10 objective eligibility and evaluation criteria that are associated with wealth managers who provide quality services to their clients. Factors taken into account include assets under management and client retention rate. Candidates also undergo a thorough regulatory and complaint review. FSP does not evaluate quality of services provided to clients. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. 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. For more information, click here.

Forbes:

America’s Top RIA Firms (2023-2025) – 2023 ranked #5, 2024 ranked #9, and 2025 ranked #6. The Forbes ranking of America’s Top RIA Firms was developed by SHOOK Research. RIA Firm refers to those that are registered directly through the SEC as a registered investment advisor, those that file their Form ADV within a corporate umbrella, or recognized practice groups associated with such a firm under a corporate umbrella. Rankings are based on in-person, virtual, and telephone due diligence meetings and a ranking algorithm that includes: a measure of each firm’s best practices, client retention, industry experience, review of compliance records, firm nominations; and quantitative criteria, including: 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. Neither Forbes nor SHOOK Research receive compensation in exchange for placement on the ranking. Beacon Pointe paid to receive expanded profile features for 2023-2025’s rankings.

America’s Top Women Wealth Advisors Best-In-State (2023, 2024-2025) – Carrie Gallaway (2023, 2025), Eileen O’Connor (2024-2025), Jen Dawson (2024-2025), Julie Johnson (2024-2025), and Vanessa Burnett (2025). The Forbes ranking of America’s Top Women Wealth Advisors Best-In-State, developed by SHOOK Research, is based on an algorithm of: qualitative data, learned through surveys and interviews (in-person, telephone and virtual), so we can evaluate best practices, service and investing models, compliance records, etc.; as well as quantitative data, like revenue trends and assets under management. All advisors have a minimum of seven years’ experience. Portfolio performance is not a criteria due to varying client objectives and lack of audited data. Neither Forbes nor SHOOK receive a fee in exchange for rankings.

America’s Top Women Wealth Advisors Best-In-State (2026) – Carrie Gallaway, Vanessa Burnett, Sherri Stephens, Eileen O’Connor, Jen Dawson, Monica Munoz, and Julie Johnson – Forbes’ rankings were compiled by SHOOK Research, which uses quantitative data (as of 6/30/25) and interviews candidates nominated by their firms. It 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. The ranking features more than 2,800 women across the country with proven track records, collectively managing nearly $4 trillion in assets.  All advisors have a minimum of seven years’ experience. 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.

Best-In-State Wealth Advisors (2020, 2023, 2024, 2025, 2026) – Rocky Daigle (2020), Alan Alderfer (2024-2026), Carrie Gallaway (2025-2026), Samuel Mitchell (2024-2026), Sherri Stephens (2026), Vanessa Burnet (2026), Julie Johnson (2026), Chris Wheaton (2026), Jen Dawson (2024-2026), and Eileen O’Connor (2024-2026). The Forbes ranking of Best-In-State Wealth Advisors, developed by SHOOK Research, is based on an algorithm of qualitative criteria gained through telephone, virtual, and in-person due diligence interviews and quantitative data from the years prior to the award. To be considered, advisors must have a minimum of seven years of experience, and the algorithm weights factors like revenue trends, assets under management, compliance records, industry experience, and those that encompass best practices in their approach to working with clients. Investment performance is not a criterion because client objectives and risk tolerances vary, and advisors rarely have audited performance reports. Neither Forbes nor SHOOK receives a fee in exchange for rankings.

100 Fastest Growing RIAs Top (2013, 2016) – Top 12 – Forbes/RIA Channel annual ranking features wealth management firms by growth in assets. To be considered for the rankings, firms must be a registered investment adviser (RIA) with the SEC, provide wealth management services and serve individual clients as a primary focus.

Top 100 Wealth Managers (2015) – Data for the Top Wealth Managers list is compiled by our partners at RIA Database. Candidate firms qualify based on both quantitative and qualitative criteria. This year we expanded the list to 100 firms and ranked them by assets under management for year-end 2014, reported as of March 31, 2015. Members of the list must have managed at least 50% of their assets on behalf of retail clients, cannot run a broker-dealer (they can be affiliated with one), cannot be a bank (trust companies are permitted), and must be performing wealth management services. Firms cannot have any regulatory, civil or criminal disclosures The list looks beyond exclusively fee-only advisors because the RIA industry is evolving to incorporate more hybrid models as more reps break away from broker-dealers but carry along old business that includes some commission-based work.

InvestmentNews:

Hot List – Shannon Eusey (2025) – InvestmentNews undertook a months-long survey process, inviting wealth professionals across the country to name the most exceptional leaders in the business. From hundreds of nominations, the final list represents the best of the best, having made real positive contributions to the industry over the past 12 months. InvestmentNews recognized Shannon Eusey as a professional who has demonstrated exceptional leadership, innovation, and impact in America’s wealth management industry. There are no fees for nominations, and Beacon Pointe did not pay a fee for inclusion in the InvestmentNews Hot List.

RIA Firm of the Year, Finalist (2025) – Beacon Pointe Advisors was recognized as an awardee in the 2025 InvestmentNews Awards, which honors outstanding advisory firms with more than 100 staff members. Award recipients are selected through a combination of self-nominations and third-party input from peers, partners, and clients. The judging panel evaluates firms based on their employee value proposition—including business development, marketing, education, training, and philanthropy—along with client service, relationship management, innovative business strategies, use of technology, and overall industry reputation. No fees were required for consideration.

Top Independent High-Net-Worth Advisors (2025) – InvestmentNews recognized Beacon Pointe as a top performer based on excellent service to its high-net-worth clients. The selection process for this recognition is merit-based and relies solely on objective, independently sourced data. Criteria include: (1) SEC filings submitted between January 1, 2024, and December 31, 2024, with the most recent filing used if multiple were submitted; (2) a minimum of $100 million in regulatory assets under management (AUM); (3) independent ownership status as determined by Discovery Data’s methodology; (4) registration exclusively as a Registered Investment Adviser (RIA), with no dual registration as a broker-dealer; (5) no affiliation with a broker-dealer; and (6) a client base consisting of at least 100 households, including individuals and high-net-worth clients. There is no nomination/application fee for this list by InvestmentNews, nor are any fees solicited or accepted in exchange for consideration.

Fastest Growing in America (2024) – Top RIA Firms Net Gained (2023) – Using its Advisors on the Move database, InvestmentNews identified firms that attracted the newest advisors in 2023. To qualify as a move in their database, an advisor had to move from one firm to another within 60 days. National and channel winners are on the net, meaning the number by which new recruits exceeded advisors lost to other firms. Regional winners focused half or more of their recruiting in a particular region during the year and led among those firms in adding new advisors. There is no nomination/application fee for this list by InvestmentNews, nor are any fees solicited or accepted in exchange for consideration.

Women to Watch – Eileen O’Connor (2016 Winner) – InvestmentNews recognized Beacon Pointe’s Eileen O’Connor as one of 20 female advisers and executives elevating the financial advice industry in 2016. Honorees were evaluated by the following criteria: the female adviser’s leadership, willingness to share experiences with others, service to the industry, and lasting impact on industry. InvestmentNews accepts nominations of professionals from all sides of the financial advisory industry, including registered investment advisers, registered representatives, financial planners, brokers, insurance agents, certified public accountants, bank trust officers, firm executives and those working for industry organizations. There is no nomination/application fee for this list by InvestmentNews, nor are any fees solicited or accepted in exchange for consideration.

Women to Watch: Executive Excellence – Shannon Eusey (2020 Winner, 2025 Finalist) – InvestmentNews recognized Beacon Pointe’s Shannon Eusey as one of the 10 industry executives who are elevating the financial advice industry in 2025 and one of the 23 female financial advisers and industry executives elevating the financial advice industry in 2020. Honorees in 2025 were judged by the following criteria: The female executive’s vision, leadership, engagement of workforce, commitment to the wealth management industry and their industry reputation, commitment to corporate values (e.g. ESG, innovation, customer care, knowledge and education), corporate growth, achievements, recognition and performance, and championship of other female professionals within their organization and the industry as a whole. The ‘Women to Watch’ honorees in 2020 were chosen by an InvestmentNews selection committee who went through hundreds of nominations to identify female leaders in the industry who have not only made a name for themselves in financial services but are also dedicated to their communities. InvestmentNews accepts nominations of professionals from all sides of the financial advisory industry, including registered investment advisers, registered representatives, financial planners, brokers, insurance agents, certified public accountants, bank trust officers, firm executives and those working for industry organizations. Nominations must be centered around measurable results for clients; one’s firm or employer; the industry; and industry-relevant community service. There are no fees for nominations.

Women to Watch Finalist: Financial Literacy Champion – Merriweather Mulé (2025) – InvestmentNews recognized Beacon Pointe’s Merriweather Mulé as one of the 10 professionals in the industry who has demonstrated leadership and commitment to bettering the lives of individuals and families by promoting financial literacy and actively working to educate members of their community. Honorees should be involved in a financial literacy initiative (including but not limited to classroom training, workshops, mobile app) that engages their audience and inspires them to take positive action towards their own financial well-being. This individual commits their time, financial support, and/or resources to improving the lives of others through educating adults, seniors, or children. To be eligible, honorees must be active and involved in an initiative starting January 1, 2024 onwards.

40 Under 40 Financial Advisors (2017, 2019, 2021) – Karen Sarten (2017), Brandt Kuhn (2019), Kate Pettee (2021) – Each year InvestmentNews’ editorial team reviews 1000 nominations to create a list of 40 outstanding financial advisers, or industry professionals supporting advisers, who are 39 or younger. Honorees are judged on their accomplishments, contribution to the industry, leadership, and promise. There are no fees for nominations.

MarketsGroup:

Elite Private Wealth CIOs – Michael Dow (2026). Markets Group’s editorial team evaluated independent RIAs across North America and recognized CIOs based on their leadership, dedication, contributions to the private wealth industry, and the lasting impact they continue to have in shaping the future of wealth management. No compensation was paid for consideration of this ranking.

National Association of Plan Advisors (NAPA):

NAPA Top DC Advisor Multi-Office Firms (2024-2026) – This accolade was compiled by the National Association of Plan Advisors (NAPA) and is based on self-reported defined contribution (DC) assets under advisement (AUA) as of December 31, 2025, (2026), as of December 31, 2024 (2025), and as of December 31, 2023 (2024), for the organizations that submitted data. Firms listed had to have more than one office/physical location to be included and had to have more than $1 billion in DC assets under advisement. NAPA collected nominations for this year’s list from January 15, 2026, to February 17, 2026. The lists represent more than $2 trillion in assets under advisement for each year. Please note: The accolade is based on the previous calendar year’s data. The title has been updated to reflect the year in which it was released, even though it is still based on last year’s data. Hence, you will not find a list titled “2023” in the archives. No fee is charged to participate.

NAPA Top DC Advisor Teams (2021-2023) – Established in 2017, nominees had to be individual advisor team/offices with a defined contribution book of business, in a single physical location. To be considered, firms had to submit responses to an application form, including information about their practices, notably their defined contribution (DC) assets under advisement.  The list is created and conducted by the National Association of Plan Advisors (“NAPA”), an affiliate organization of the American Retirement Association, a non-profit association.  Ranked by assets under advisement, all teams are in a single physical location and based on self-reported assets as of 12/31 the previous year. No fee is charged to participate.

Newsweek:

America’s Top Financial Advisory Firms 2026 – Plant-A Insights Group and Newsweek have partnered to identify America’s Top Financial Advisory Firms 2026. Over 16,000 SEC-registered financial advisory firms were analyzed to find the top 1,000 firms. Rankings were based on factors such as asset performance, client performance, adviser expertise and client ratio, breadth of service offerings, and conflicts of interest. Additionally, firms included in this ranking must meet the following criteria: more than $20 million in assets under management, at least three wealth advisers, a minimum of five individual clients, and at least two years of SEC registration. Beacon Pointe did not pay for inclusion or ranking for this award. For more information, please click here.

OC Register:

Best of Orange County – Wealth Adviser (2024-2025) – 2024 ranked #3, 2025 ranked #3. The Orange County Register’s award recipients are selected by readers of The OC Register. Readers voted for their favorite places and experiences in Orange County. To be eligible, voters must have cast at least 10 votes in 10 different categories and submitted only one ballot per day. Readers voted online at ocregister.com/voteocbest. Beacon Pointe Advisors did not pay to participate in any award or survey.

Top Places to Work in OC (2014) A Top Workplaces award is a seal of success given by completing an employee survey. You can submit surveys for your own firm or another firm. There is no application fee, nor are any fees solicited or accepted. Award winners are recognized in a special edition of the partner publication and receive an online profile on TopWorkplaces.com.

Orange County Business Journal:

OC50 Special Report – Shannon Eusey (2025) The Orange County Business Journal’s OC50 list highlights 50 executives at Orange County’s fastest-growing businesses. To be included on this list, the individual must be a CEO, founder, president, or other top executive of a major organization based in or significantly impacting Orange County. OC50 focuses on individuals who are driving innovation, growth, and positive change in the region as well as those who are making a significant impact on Orange County’s business community. Final selections are made by the OCBJ editorial team based on nominations, research, and internal deliberation. There is no nomination/application fee to be chosen for inclusion in this report.

OC50 Special Report: Most Prominent Businesswomen in Orange County – Shannon Eusey (2026) The Orange County Business Journal’s OC50 Special Report recognizes 50 women leaders who have demonstrated significant influence within Orange County’s business community. Honorees are senior‑level executives, founders, entrepreneurs, and other key decision makers whose leadership, professional achievements, and community involvement have had a meaningful impact on their organizations and the region. Selections are based on editorial research, third‑party nominations, and independent evaluation by the Orange County Business Journal’s editorial team. Considerations may include scope of responsibility, career accomplishments, organizational influence, and contributions to Orange County’s business and civic landscape. Final selections are determined solely by the OCBJ editorial staff through internal review and deliberation. There is no fee to apply or be considered for inclusion in this special report.

OC500 Directory of Influence (2017-2021, 2024-2025) – Finance Category – Shannon Eusey – Individuals were chosen by the OCBJ editorial team and publisher based on their newsworthy achievements, recognition at prominent OCBJ events, and lasting influence within the business landscape. There is no nomination/application fee to be chosen for inclusion in this directory.

OCBJ Excellence in Entrepreneurship (2023) – Shannon Eusey, CEO.  The Orange County Business Journal recognizes individuals who have established successful business ventures.  Individuals are either nominated or can self-nominate. Nominees must consent to participate in the awards program. All sections of the nomination form must be completed for completion by OCBJ’s Selection Committee.

OCBJ 100 Fastest Growing Companies (2021) – The Orange County Business Journal divides the list into three categories: large companies reporting more than $100 million in annual sales; midsize companies with sales between $10 million to $100 million; and small companies with sales under $10 million. The companies on the midsize list reported the highest two-year growth, 70%, followed by the smallest companies list, 61%, and 55% among the biggest companies. Rankings are based on revenue growth reported between June 30, 2019, and June 30, 2021. Companies needed to post two-year growth of 15% or more to qualify for the list.

OCBJ Women in Business Award (2017) – Shannon Eusey – Shannon Eusey was one of the Top Five Honorees chosen out of a total of 200 nominees. The OCBJ judging panel chose honorees based on the following criteria: women who embody the entrepreneurial spirit, are thoughtful business leaders, and those who have made significant contributions to their organizations, professions, and the Orange County community. Participants are either nominated or can self-nominate.

PLANADVISER:

Top Retirement Plan Adviser (2022-2023) – Michele Sarna, Beacon Pointe Advisors (Palm Desert, CA). This designation recognizes the top retirement plan advisers in the industry based on quantitative measures. To be listed, advisers had to have a minimum requirement of 50 plan clients or retirement plan assets under advisement of $400 million or more. After meeting the minimum plan or asset count, advisers are highlighted if they have what was designated as a special focus in any particular plan type. This means, 150 or more 401(k) plan clients, or 10 or more 403(b), 457, nonqualified, DB, cash balance, SEP, SIMPLE or MEP/PEP plan clients.

The Post and Courier:

Charleston’s Choice Awards (2023-2025) Winner: Wealth Management – Merriweather Mulé (2023), Finalist: Financial Planner – Merriweather Mulé (2024), and Finalist: Investment Firm – Beacon Pointe Advisors (2025). Award Recipients and Finalists are selected by readers of The Post and Courier. Each year, The Post and Courier invites readers to vote for their favorite businesses, places, and activities across more than 350 categories. Voting is conducted online at PostandCourier.com/CharlestonsChoice, and each participant is permitted one vote per category during the designated voting period. Award recipients are determined solely by popular vote and do not reflect the opinion or endorsement of The Post and Courier, Beacon Pointe, or any regulatory authority. Recognition as a Charleston’s Choice recipient is not indicative of future performance or client experience. Beacon Pointe did not pay for inclusion or consideration in the voting process. For more information about the award methodology, please visit PostandCourier.com/CharlestonsChoice.

RIA Intel:

CEO of the Year (2023) – Shannon Eusey, CEO.  There are three types of nominations for the RIA Intel Awards: Nominations by peers, nominations by other industry participants, and self-nominations. Nominations for the same firm or individual in multiple categories are accepted. You can nominate yourself and/or your firm. You can nominate others in your firm or outside your firm. For more information. There is no nomination/application fee for the RIA Intel Awards, nor are any fees solicited or accepted in exchange for consideration as a finalist or winner.

RIA Growth Leader of the Year (2022) – Awards were chosen by RIA Intel’s editorial team.  There is no nomination/application fee for the RIA Intel Awards, nor are any fees solicited or accepted in exchange for consideration as a finalist or winner.

RIA of the Year (More than $1 Billion AUM) – Finalist (2023, 2024) – There are three types of nominations for the RIA Intel Awards: Nominations by peers, nominations by other industry participants, and self-nominations. Nominations for the same firm or individual in multiple categories are accepted. You can nominate yourself and/or your firm. You can nominate others in your firm or outside your firm. For more information. There is no nomination/application fee for the RIA Intel Awards, nor are any fees solicited or accepted in exchange for consideration as a finalist or winner.

USA TODAY:

Best Financial Advisory Firms List (2023-2026) – USA Today utilized Statista, an independent market research and data firm, to help develop the rankings. Rankings are based on survey data and assets under management (AUM) figures from the preceding calendar year. (2023-2024) – Statista considered more than 32,000 Registered Investment Adviser (RIA) firms. The top 500 firms include the most frequently recommended and best-rated by the survey participants. In addition to survey results, Statista also included metrics relating to assets under management over the short and longer term, and recommendations from clients and peers in its final analysis. (2025-2026) – Statista collected recommendations via an independent survey among over 30,000 individuals. Clients, industry experts and financial advisors working for an RIA firm could recommend the RIA firms they find commendable. Self-recommendations were not allowed. As in prior years, development of assets under management (AUM) was analyzed using publicly available data for the rating, including short‑term and multi‑year growth to reflect recent firm momentum. USA TODAY and Statista also included separate groupings based on the amount of assets RIAs oversee. Beacon Pointe Advisors did not pay to participate in any award or survey.

Washingtonian Magazine:

Top Wealth Adviser Hall of Fame (2023) – Eileen O’Connor – Washingtonian Magazine listed Beacon Pointe’s Eileen O’Connor in its 2023 Top Wealth Adviser Hall of Fame, recognizing her as a trusted adviser among local financial professionals. The Top Wealth Adviser Hall of Fame was composed of advisers who repeatedly appeared in Washingtonian’s Top Financial Advisers lists, which are published every 18 to 24 months. Honorees for the Top Financial Advisers lists were selected based on survey responses from hundreds of local financial professionals and consultations with industry experts and publications. There is no nomination/application fee for this list by Washingtonian Magazine, nor are any fees solicited or selected in exchange for consideration.

Wealth Management:

Wealth Management Top 100 RIAs (2015) – Wealth Management‘s “Top 100 RIAs of 2015” ranking was assembled using data from Meridian-IQ (in which Penton Media has a stake). Advisory firms are ranked by total assets under management. To land on the list, firms had to have a focus on financial and retirement planning for individual and high-net-worth clients. And institutional clients do not make up a substantial portion of their business. Finally, none of these firms are owned by a bank, broker/dealer or investment company.

Wealth Management Industry Awards (“The Wealthies”):

M&A Leader of the Year Finalist – Matt Cooper (2026)

Chief Executive Officer of the Year – Individual RIA Firm Leaders (2025)

Chief Marketing Officer of the Year Finalist – Allison Warner (2025)

Thought Leader of the Year Finalist (2020)

CEO & CMO of the Year Finalist (2022)

M&A Leader of the Year (2022)

The Wealth Management Industry Awards acknowledge and celebrate the companies, individuals and organizations who demonstrate outstanding achievement in support of financial advisor success. The program begins with an open nomination process for all categories, which extends from February to May of the award year. Firms submit business initiatives either introduced or enhanced during the previous 18 months. Submissions are reviewed in June by a panel of independent judges with required industry expertise, who consider innovation, scope and impact. From the pool of submissions, judges select finalists for each category. Each judge on the committee then ranks those finalists, with the weighted aggregate ranking determining the winner. Winners are announced in September. No financial compensation is paid for consideration in the award process. Judges’ decisions are made independent of any firm’s business relationships with Informa Plc. Judges recuse themselves from selecting finalists or winners for any category where a conflict exists.

Wealth Solutions Report (“WSR”):

M&A 5 – Top Wealth Management M&A Professionals – Shannon Eusey (2025). WSR selected a group of five industry-leading executives from both in-house and third-party roles who have demonstrated excellence and commitment to the industry, and lead by example in bringing deals together. Selection considers expertise in a wide range of M&A challenges such as strategic fit, valuation, streamlining cultures and operations, branding, legal issues, and funding arrangements. Beacon Pointe Advisors did not pay to participate in any award or survey.

Worth Magazine:

Top RIA Firms (2024-2025) – The Leading Advisor program uses a rigorous selection process to identify the best-registered investment advisors, including AUM of over $500 million, the predominance of high-net-worth clients, and unbiased advice independent from broker-dealers. These firms craft tailored strategies to manage wealth and focus on comprehensive financial planning rather than simple asset management. The rankings were developed in collaboration with Institutional Shareholder Services, a proxy advisory firm that helps investors comply with SEC rules for Form N-PX disclosure of proxy voting records. The Securities and Exchange Commission (SEC) requires companies to compile and present financial and business information, reports, and disclosures to provide transparency to investors and the public.  Leading Advisor assessments are based on the data that firms submit to the SEC in these disclosures. The public can review SEC filings through the commission’s online database, EDGAR. No fee is charged to participate.

Working Mother Magazine & SHOOK Research:

Top Wealth Advisor Moms (2020) – Working Mother Magazine & SHOOK Research’s Top Wealth Advisor Moms ranking awarded in 2020. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Working Mother Magazine (the publisher) during the period from 3/31/19 – 3/31/20. Beacon Pointe did not pay a fee to SHOOK Research LLC to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of 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. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC and this ranking may not be representative of any one client’s experience. This ranking is not indicative of the Wealth Advisor’s future performance.

50 Women Changing the World – Shannon Eusey (2020) – Shannon Eusey named one of 50 Women Changing the World in 2020 by Worth Magazine. For all the social and economic progress women have made in recent years, the battle for professional equality is far from over. But in fields ranging from finance to aeronautics to art history, they are pushing forward in exciting and important ways. You can submit nominations for yourself or another person. There is no nomination/application fee, nor are any fees solicited or accepted in exchange for consideration as a finalist or winner.