Award Disclosures
Five Star Wealth Manager
The Five Star Wealth Manager award is issued by Five Star Professional (FSP), a trade name of Crescendo Business Services, LLC, and announced each year in a special advertising section of Portland Monthly. The 2026 award was issued on May 1, 2026 for the time period July 17, 2025 through January 2, 2026. 2,089 Portland-area wealth managers were considered for the award; 96 (5% of candidates) were named 2026 Five Star Wealth Managers. A self-completed questionnaire was used for rating. This rating is not related to the quality of the investment advice and is based solely on the disclosed criteria. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. In some award years, a fee was paid to FSP for use of marketing materials and for a photo and profile in the magazine section. The award is based on 10 objective criteria. Eligibility criteria (required): 1. Credentialed as a registered investment adviser (RIA) or a registered investment adviser representative; 2. Actively licensed as an RIA 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. Criteria vary by award year. Research periods and the number of Portland-area wealth managers considered and named for each award year since 2012 are listed in FSP’s 2026 Five Star Wealth Manager Disclosure – Portland. Prior to 2012, the award was based on client satisfaction. The 2011 research was conducted from September through November 2010; surveys were sent to approximately one in four high-net-worth households and to financial services professionals in the Portland area, and client respondents evaluated wealth managers on nine criteria: customer service, integrity, knowledge/expertise, communication, value for fee charged, meeting client financial objectives, post-sale service, quality of recommendations, and overall satisfaction. Fewer than 7% of wealth managers in the area received the 2011 award. The overall score reflects an average of all respondents and may not be representative of any one client’s experience. FSP does not evaluate the 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 the 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. Visit fivestarprofessional.com.
Five Star Wealth Managers Under 40
The Five Star Wealth Managers Under 40 recognition was published by Five Star Professional (FSP), a trade name of Crescendo Business Services, LLC, in a special advertising section of the February/March 2021 issue of Fortune. It recognized 2020 Five Star Wealth Manager award winners who were under the age of 40 as of January 1, 2020. In order to consider a broad population of high-quality wealth managers, award candidates were identified by one of three sources: firm nomination, peer nomination, or prequalification based on industry standing. Self-nominations were not accepted. Award candidates were identified using internal and external research data. Award candidates who satisfied 10 objective eligibility and evaluation criteria were named 2020 Five Star Wealth Managers. Eligibility criteria (required): 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Actively employed as a credentialed professional in the financial services industry for a minimum of five years; 3. Favorable regulatory and complaint history review; 4. Fulfilled their firm review based on internal firm 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. Regulatory review: as defined by FSP, the wealth manager has not been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; individually contributed to a financial settlement of a customer complaint; or been convicted of a felony. Within the past 11 years, the wealth manager has not been terminated from a wealth management or financial services firm; filed for personal bankruptcy; or had more than a total of three settled or pending complaints filed against them (and no more than five total pending, dismissed or denied) with any regulatory authority. For the 2020 award, issued April 1, 2020 for the time period June 1, 2019 through February 7, 2020, 824 Portland-area wealth managers were considered and 85 were named Five Star Wealth Managers. Candidates do not pay a fee to be considered or placed on the final lists of Five Star Wealth Managers. In some award years, a fee was paid to FSP for use of marketing materials and for a photo and profile in the magazine section. The Five Star award is not indicative of a professional’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 professional on the Five Star Wealth Manager list should not be construed as an endorsement of the professional by Five Star Professional or Fortune. Working with a Five Star Wealth Manager or any professional is no guarantee as to future investment success, nor is there any guarantee that the selected professionals will be awarded this accomplishment by Five Star Professional in the future. Five Star Professional is not an advisory firm.
Forbes Top Women Wealth Advisors Best-In-State
The Forbes ranking of America’s Top Women Wealth Advisors and Best-In-State, developed by SHOOK Research (now known as Veritant), is based on an algorithm of qualitative data, learned through surveys and telephone, virtual and in-person due diligence interviews, and quantitative data. Qualitative factors include service models, investing models and compliance records; quantitative factors include revenue trends and assets under management. 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. Erica Nortman was ranked #29 in Oregon. Awarded February 2025; data compiled by SHOOK Research LLC based on the time period from September 30, 2023 to September 30, 2024. Neither Forbes nor SHOOK Research receives a fee in exchange for rankings. Advisors do not pay a fee to be considered or placed on Forbes Top Advisor rankings, which are independently determined by SHOOK Research, though an advisor may have paid for reprints or marketing materials. The ranking is not indicative of future performance.
Women’s Choice Award for Financial Advisors
The Women’s Choice Award® Financial Advisor program was created by WomenCertified Inc., the Voice of Women, in an effort to help women make smart financial choices. It recognizes financial advisors and firms who are committed to the women’s market and to serving women clients, and who qualify based on 17 objective criteria associated with providing quality service to women clients, such as credentials, experience and a favorable regulatory history, among other factors. Required criteria: the advisor is accepting new clients; has been actively employed as a licensed or credentialed professional in financial services for a minimum of three years; holds a qualifying credential (such as an investment advisory representative, FINRA-registered advisor, CPA, CFP® professional, PFS, or licensed attorney practicing in financial services); is in compliance with the regulatory requirements of the SEC, state securities regulators, and self-regulatory bodies; is in good standing with the standards of their affiliated firm; has a favorable regulatory and complaint history, affirmed by signed affidavit (no more than three customer complaints filed with any regulatory authority, no individual contributions to a financial settlement of a customer complaint, and no license suspension or revocation); has not been subject to a regulatory action resulting in a license suspension or revocation, or payment of a fine; has not been convicted of a felony; and has not filed for personal bankruptcy. Also considered: assets under management; the number of firms the advisor has been associated with in the past ten years; community service; client retention over a three-year period; number of clients served; education and professional designations; and educational programs and events provided for clients. WomenCertified also screens each advisor through FINRA, SEC and CFP Board checks where applicable, conducts a general background check, includes a client survey, and requires letters of validation from at least two senior executives at the advisor’s firm. Erica Nortman received the award in August 2019. As of October 2018, of the 463 advisors considered for the Women’s Choice Award, 108 were named Women’s Choice Award Financial Advisors/Firms. Financial advisors do not pay a fee to be considered or placed on the final list of Women’s Choice Award Financial Advisors, though a program fee may have been paid to cover the cost of marketing materials. The inclusion of a financial advisor within the Women’s Choice Award Financial Advisor network should not be construed as an endorsement of the financial advisor by WomenCertified Inc. or its partners and affiliates and is no guarantee as to future investment success.
LPL Financial recognition clubs
Capitol Family Office is an independent SEC Registered Investment Adviser and uses LPL Financial as one of its three custodians, along with Charles Schwab and Fidelity. LPL Financial’s Director’s Club, Patriot’s Club, Chairman’s Club, and Ascent Club are annual recognition levels for advisors who work with LPL. LPL Club levels are based on the prior calendar year’s production among LPL advisors (gross revenue and/or asset benchmarks); for example, 2026 Ascent Club membership was based on 2025 calendar year production. These designations are internal firm metrics and are not related to the quality of the investment advice provided, investment performance, or client satisfaction, and they are not indicative of future performance. No fee is paid to LPL Financial to be considered for or receive club membership.