Disclosure

Disclosures

Venture Visionary Partners, LLC (“VVP”) is registered as an investment adviser with the Securities and Exchange Commission (SEC), and only transacts business in states where it is properly notice filed, or is excluded or exempted from such requirements. SEC registration does not constitute an endorsement of the firm by the Commission nor does it indicate that the adviser has attained a particular level of skill or ability.  Information on this website is directed toward U.S. residents only.

This website is a publication of VVP  Information presented is believed to be factual and up-to-date, but we do not guarantee its accuracy and it should not be regarded as a complete analysis of the subjects discussed. All expressions of opinion reflect the judgment of the authors as of the date of publication and are subject to change. 

Information on this website does not involve the rendering of personalized investment advice, but is limited to the dissemination of general information on products and services. A professional adviser should be consulted before implementing any of the options presented.

Information on this website is not an offer to buy or sell, or a solicitation of any offer to buy or sell the securities mentioned herein. 

Hyperlinks on this website are provided as a convenience and we disclaim any responsibility for information, services or products found on websites linked hereto.

Images and photographs are included for the sole purpose of visually enhancing the website, and should not be construed as an endorsement or testimonial from any of the persons in the image or photograph.

VVP is not engaged in the practice of law or accounting. Always discuss specific legal or tax issues with your attorney or accountant.

Third-party recognition from rating services or publications are no guarantee of future investment success. Working with a highly-rated adviser does not ensure that a client or prospective client will experience a higher level of performance. These ratings should not be construed as an endorsement of the adviser by any client nor are they representative of any one client’s evaluation. Generally, recognition is based on information prepared and submitted by the adviser. A more thorough disclosure of the criteria used in making these rankings is available by contacting the adviser.

For information pertaining to the registration status of the Firm, please contact the United States Securities and Exchange Commission on their website at www.adviserinfo.sec.gov. A copy of the Firm’s current disclosure statement discussing its business operations, services, and fees is available from the Firm upon written request. 

Securities offered through Purshe Kaplan Sterling Investments, Member FINRA/SIPC. Headquartered at 80 State Street, Albany, NY 12207. Purshe Kaplan Sterling Investments and the Firm are not affiliated companies. Investments through PKS or the Firm are: NOT FDIC INSURED, NOT BANK GUARANTEED, MAY LOSE VALUE, INCLUDING LOSS OF PRINCIPAL, NOT INSURED BY ANY STATE OR FEDERAL AGENCY.

Important Disclosures about Third Party Rankings:  Venture Visionary Partners, LLC is registered as an investment adviser with the SEC and only transacts business in states where it is properly registered, or is excluded or exempted from registration requirements. SEC registration does not constitute an endorsement of the firm by the Commission nor does it indicate that the adviser has attained a particular level of skill or ability.

Third-party rankings and recognition from rating services or publications are no guarantee of future investment success. Working with a highly-rated adviser does not ensure that a client or prospective client will experience a higher level of performance. These ratings should not be construed as an endorsement of the adviser by any client nor are they representative of any one client’s evaluation. Investment performance is not an explicit criterion, because clients’ investment goals differ.

Please Note: Discretionary and Non-Discretionary AUM can also be found on Form ADV. Limitations: No ranking or recognition should be construed as a current or past endorsement of VVP or any of its advisers by any of its clients. Neither rankings and/or recognition by unaffiliated rating services, publications, or other organizations, nor the achievement of any designation or certification, should be construed by a client or prospective client as a guarantee that he/she will experience a certain level of results if VVP is engaged, or continues to be engaged, to provide investment advisory services. Recognitions published by magazines, and others, generally base their selections exclusively on information prepared and/or submitted by applicants. If you would like more information about an award or topic, please contact VVP at 419.464.7401 

 

The SHOOK Process

SHOOK scours the financial services industry for nominations. SHOOK accepts advisors who meet pre-determined minimum thresholds and acceptable compliance records. As of this date, SHOOK has received nearly 36,535 nominations—advisors who meet SHOOK’s thresholds. 21,116 of these nominees have taken an online survey. Unlike other advisor rankings, SHOOK is not a “robo-ranker”—numbers such as production and assets don’t tell the whole story, especially when much of the data is self-reported. SHOOK Research creates rankings of role models—firms that are leading the way in offering best practices and providing a high-quality experience for clients. A focus on both quantitative and qualitative factors, including telephone and in-person meetings, is imperative. SHOOK Research is the only ranking firm that interviews firms and advisors via telephone and in person at the firm’s location.

Basic Requirements

  • Minimum of 7 years as an advisor for 1 partner/principal
  • Fully operational as a practice for a minimum of 1 year
  • Must incorporate a fiduciary model
  • Completion of online survey
  • Over 50% of business must be with individuals
  • Acceptable compliance record

Quantitative Metrics

  • Revenues
  • Assets under management—and quality of those assets
  • Client-related data, such as retention rates
  • Portfolio performance is not a factor; audited returns among advisors are rare, and differing client objectives provide varying returns

Qualitative Metrics

  • Telephone, virtual and in-person meetings with firms (if an in-person meeting cannot be accomplished, exceptions are considered in which the interview will occur after a ranking has been published).
  • Compliance records. Some “dings” can be overlooked (e.g., firm or product failure beyond the scope of an advisor’s due diligence; the older a ding, the less we look). Since there are many gray areas, the SHOOK team is willing to listen to a firm that is willing to stand behind the advisor with written support.
  • Firms that provide a full client experience: Service model; investing process; fee structure; breadth of services (e.g., liabilities and other wealth management services)
  • Credentials (years of service can serve as proxy)
  • Use of team and team dynamics
  • Community involvement
  • Discussions with management, peers, competing peers

U4/Compliance Issues

The following conditions will be considered in order to lessen weightings infractions:

  • Infractions that are denied or closed with no action
  • Complaint arose from a product, service or advice initiated by a previous advisor or another member or former member of team
  • Length of time since complaint
  • Complaints related to product failure not related to investment advice (some limited partnerships, adjusted-rate securities, etc.)
  • Complaints that have been settled (must be proven) to appease a client who remained with the advisor for at least one year following settlement date
  • Complaints that are proven to be meritless
  • Actions taken as a result of administrative error or failure by firm

Once an advisor’s compliance rating falls into a tenable category, the following conditions must be met:

  • An advisor’s rating must be among SHOOK’s highest qualitative measures including in-person interview
  • Letters of recommendation

Ranking Algorithm

The algorithm is designed to fairly compare the business practices of a large group of firms based on quantitative and qualitative elements. Data are weighted to ensure priorities are given to dynamics such as preferred “best practices,” business models, recent business activity, etc. Each variable is graded and represents a certain value for each measured component. These data are fed into an algorithm that measures thousands of firms against each other.

SHOOK Disclosures

SHOOK is completely independent and objective and does not receive compensation from the advisors, Firms, the media, or any other source in exchange for placement on a ranking. SHOOK is funded through conferences, publications and research partners. Since every investor has unique needs, investors must carefully choose the right advisor for their own situation and perform their own due diligence. SHOOK’s research and rankings provide opinions for how to choose the right financial advisor and not indicative of future performance or representative of any one client’s experience. Portfolio performance is not a criterion due to varying client objectives and lack of audited data. Remember, past performance is not an indication of future results.

 

Forbes 2022 America’s Top RIA FIRMS:

Disclosure: Venture Visionary Partners reported $3.3B regulatory Assets Under Management and provided consulting advice on an additional $1.0B Assets Under Advisement as of 12/31/2021.

Forbes’ list was compiled by SHOOK Research, which uses quantitative and qualitative data, including interviews, to rank member firms. Data as of 12/31/21. Per SHOOK Research, America’s Top Registered Investment Advisor Firms ranking is based on in-person, virtual and telephone due diligence meetings and a ranking algorithm that includes: a measure of 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. SHOOK received 36,535 nominations of which 21,116 of these nominees were invited to take a survey and 100 firms were selected for the Top 100 ranking.  Neither Venture Visionary Partners nor its employees pay a fee to Forbes/SHOOK in exchange for inclusion in the ranking of Forbes/SHOOK America’s Top Registered Investment Advisor Firms ranking.

SHOOK Research Methodology:   https://www.forbes.com/sites/rjshook/2022/10/25/methodology-americas-top-ria-firms-2022/?sh=72c699f517d9

Research Summary (as of October 2022)

  • 36,535 nominations received, based on thresholds
  • 21,116 invited to complete online survey
  • 15,342 telephone interviews
  • 3,250 in-person interviews at advisors’ location
  • 1,357 virtual interviews

*Approximately 20% represent independent advisors.

 

Forbes 2021, 2022, 2023 America’s Top 250 Wealth Advisor List:

Data provided by SHOOK® Research, LLC — 2023 data as of 6/30/22.  Forbes America’s Top Wealth Advisors and Best-in-State Wealth Advisors ranking was developed by SHOOK Research and is based on in-person, virtual, and telephone due diligence meetings to measure best practices, client retention, industry experience, credentials, review of compliance records, firm nominations; and quantitative criteria, such as: 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. SHOOK’s research and rankings provide opinions intended to help investors choose the right financial advisor and are not indicative of future performance or representative of any one client’s experience. Past performance is not an indication of future results. Neither Venture Visionary Partners nor its employees pay a fee to Forbes/SHOOK in exchange for inclusion in the ranking of Forbes/SHOOK America’s Top Wealth Advisors.  Full list here  Forbes America’s Top Wealth Advisors. For more information, please see www.SHOOKresearch.com.

 

Forbes 2023 America’s Top RIA FIRMS:

2023 – VVP #1 in OH and #18 in the country

Disclosure: Venture Visionary Partners reported $3.1B regulatory Assets Under Management and provided consulting advice on an additional $800M of Assets Under Advisement as of 12/31/2022.

Forbes’ list published 10/10/23 was compiled by SHOOK Research, which uses quantitative and qualitative data, including interviews, to rank member firms. Data as of 03/31/23. Per SHOOK Research, America’s Top Registered Investment Advisor Firms ranking is based on in-person, virtual and telephone due diligence meetings and a ranking algorithm that includes: a measure of 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. SHOOK received 42,643 nominations of which 23,100 of these nominees were invited to take a survey and 250 firms were selected for the Top RIA ranking.  Neither Venture Visionary Partners nor its employees pay a fee to Forbes/SHOOK in exchange for inclusion in the ranking of Forbes/SHOOK America’s Top Registered Investment Advisor Firms ranking.

SHOOK Research Methodology:  https://www.forbes.com/sites/rjshook/2023/10/10/methodology-americas-top-ria-firms-2023/?sh=647e687ee26d

Research Summary (as of October 2023)

  • 42,643 nominations received, based on thresholds
  • 23,100 invited to complete online survey
  • 18,417 telephone interviews
  • 4,281 in-person interviews at advisors’ location
  • 1,487 virtual interviews

*Approximately 20% represent independent advisors.

 

Forbes Best In State Wealth Advisors 2018, 2019, and 2023:

2023 – Craig Findley #2 in the state of OH

Data provided by SHOOK® Research, LLC — Data as of 6/30/22. Forbes America’s Top Wealth Advisors and Best-in-State Wealth Advisors ranking was developed by SHOOK Research and is based on in-person, virtual, and telephone due diligence meetings to measure best practices, client retention, industry experience, credentials, review of compliance records, firm nominations; and quantitative criteria, such as: 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. SHOOK’s research and rankings provide opinions intended to help investors choose the right financial advisor and are not indicative of future performance or representative of any one client’s experience. Past performance is not an indication of future results. Neither Venture Visionary Partners nor its employees pay a fee to Forbes/SHOOK in exchange for inclusion in the ranking. For more information, please see www.SHOOKresearch.com.

Forbes | Shook Methodology

 

2019 Financial Times 400 Disclosure:

The Financial Times 400 Top Financial Advisors is an independent listing produced by the Financial Times (March, 2019). The FT 400 is based on data gathered from firms and verified by broker-dealer home offices, regulatory disclosures, and the FT’s research. The listing reflects each advisor’s performance in six primary areas, including assets under management, asset growth, compliance record, experience, credentials and accessibility as identified by the FT. This award does not evaluate the quality of services provided to clients and is not indicative of the practice’s future performance. Neither Venture Visionary Partners nor its employees pay a fee to The Financial Times in exchange for inclusion in the FT 400.

Financial Times Methodology

 

Barron’s America’s Top 1200 Financial Advisors

Craig Findley named in 2009, 2010, 2011, 2012, 2014, 2015, 2016, 2017, 2018, 2019, and 2021, 2022, 2023

2023 – Craig Findley #5 in state of OH

The financial results used in the calculations are as of Sept. 30, 2022.  In total, 5,630 advisors completed the 2023 survey after meeting minimum size and quality requirements. Factors included in the rankings: assets under management, revenue produced for the firm, regulatory record, quality of practice and philanthropic work. Portfolio performance is not a criteria due to varying client objectives and lack of audited data. This award does not evaluate the quality of services provided to clients and is not indicative of the practice’s future performance. Neither Venture Visionary Partners nor its employees pay a fee to Barron’s in exchange for inclusion in the Barron’s America’s Top 1200 Financial Advisors.

Barron’s Methodology

 

Barron’s America’s Top 1200 Financial Advisors

Craig Findley named in 2009, 2010, 2011, 2012, 2014, 2015, 2016, 2017, 2018, 2019, and 2021, 2022, 2023

 

Advisor Hub 2023 Top 100 Registered Investment Advisors  to Watch

Craig Findley and Venture Visionary Partners named #7 in Top 100 RIAs to Watch

The 2023 AdvisorHub “Advisors to Watch” award was announced in June 2023. Data as of 12/31/2021 and 12/31/2022 was provided and considered for this award. The ranking recognizes advisors across the country for their quality of practice, professionalism, character and community involvement. Criteria considered included: assets under management, production/revenue, team size and more. Nominees are required to have a minimum of seven years experience, $100m minimum AUM, and a clean regulatory record. Using data on assets, households, and production, AdvisorHub ranks advisors on three categories: scale, growth, and professionalism. The financial advisor does not pay a fee to be considered for or to receive this award. This award does not evaluate the quality of services provided to clients. This is not indicative of this financial advisor’s future performance. See full list of rankings:  AdvisorHub Top 100 RIAs to Watch

 

Advisor Hub 2022 Top 50 Registered Investment Advisors To Watch

Craig Findley and Venture Visionary Partners named #1 in Top 50 RIAs to Watch

Rankings published September 2022, data as of 12/31/21 and 12/31/20. Criteria to be considered for ranking includes a minimum of 7 years experience, $100 mm in assets under management, and a clean regulatory record.  Advisors ranked on a 100-point scale in three categories: Scale is a function of assets, production and quality of service; Growth is year-over-year change in assets, clients and production; Professionalism includes regulatory record, community involvement and team makeup. Neither Venture Visionary Partners nor its employees pay a fee to Advisor Hub in exchange for inclusion in the ranking.

Advisor Hub Top 50 RIAs To Watch 2022Methodology

 

Retirement Plan Adviser of the Year 2022

John O’Brien named in 2022

Source 2022 PLANADVISER. Recognition is based on nominations by plan sponsors, recordkeepers, asset managers, advisers, product providers, among others and information submitted by nominees (self-nomination is prohibited).  The Finalists in the Plan Participant Service category highlight those advisers for their innovation and dedication in the service of retirement plan participants, with a particular focus on the efficient and effective delivery of individual-level advice and education according to PLANADVISER. It is also based on self-reported assets under advisement as of December 31, 2021. Neither Venture Visionary Partners nor its employees pay a fee to PLANADVISER in exchange for inclusion in the ranking of 2022 PLANADVISER Retirement Plan Adviser of the Year Award in the Plan Participant Service category. More Detail

 

2024 PLANADVISER Top Retirement Plan Advisers

John O’Brien named in 2022, 2023 and 2024

Source PLANADVISER 2024 Top Retirement Plan Advisers list released March 14, 2024. The 2024 PLANADVISER Top Retirement Plan Advisers recognition is based solely on self-reported quantitative data about an adviser’s practice. To be included in this year’s list, advisers had to have a minimum of 50 plan clients or retirement plan assets under advisement of $400 million or more, as of year-end 2023. After meeting the minimum plan or asset count, advisers are also highlighted if they meet the following criteria: 91% -100% of clients that are 401(k) plan sponsors, or 10 or more 403(b), 457, nonqualified, DB, cash balance, SEP, SIMPLE or MEP/PEP plan clients. As this recognition is based solely on quantitative figures, there is no judging or subjective measurement, and it is not indicative of any adviser’s future performance. Neither advisory firms nor their employees pay a fee in exchange for this recognition. The 2024 Top Retirement Plan Advisers list contains 263 advisers who according to PLANADVISER stand out for their service of all types of retirement plans. To view the full PLANADVISER list and more detail, click here.

 

NAPA Top DC Advisor Teams 2021, 2022, and 2024. 

VVP’s Team consisting of Paul Abendroth, John O’Brien, and Ryan Borucki named in 2021, 2022 and 2024. 

The list highlights the nation’s leading retirement plan advisor firms according to National Association of Plan Advisors (NAPA). The list focuses on teams, broadly defined as being in a single physical location, and having at least $100 million in Defined Contribution retirement assets under advisement. The 2023 list, released March 20, 2024, is based on self-reported assets under advisement as of December 31, 2023. Neither Venture Visionary Partners nor its employees pay a fee to NAPA in exchange for inclusion in the ranking of NAPA’s Top DC Advisor Teams. To view the full list of NAPA’s Top DC Advisor Teams and more detail, click here.

More Detail

Please remember that different types of investments involve varying degrees of risk, and there can be no assurance that the future performance of any specific investment or investment strategy (including those undertaken or recommended by Venture Visionary Partners), will be profitable or equal any historical performance level(s).

Each client and prospective client agrees, as a condition precedent to his/her/its access to Venture Visionary Partner’s web site, to release and hold harmless Venture Visionary Partners, its officers, directors, owners, employees and agents from any and all adverse consequences resulting from any of his/her/its actions and/or omissions which are independent of his/her/its receipt of personalized individual advice from Venture Visionary Partners.

 

Forbes’ 2024 Best-In-State Wealth Advisor:

Craig Findley has once again been recognized by Forbes Magazine as a 2024 Best-in-State Wealth Advisor. In 2024, Forbes ranked the top 164 advisors in the state of Ohio. Craig Findley of Venture Visionary Partners was ranked #1 in the state!

See full list: https://lnkd.in/ez9KSWuE
Neither VVP nor its employees paid a fee for placement on Forbes Best-In-State Wealth Advisors list.

Data provided by SHOOK® Research, LLC — Data as of 6/30/23 and list release 4/3/2024. Forbes America’s Top Wealth Advisors and Best- in-State Wealth Advisors ranking was developed by SHOOK Research and is based on in-person, virtual, and telephone due diligence meetings to measure best practices, client retention, industry experience, credentials, review of compliance records, firm nominations; and quantitative criteria, such as: 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. SHOOK’s research and rankings provide opinions intended to help investors choose the right financial advisor and are not indicative of future performance or representative of any one client’s experience. Past performance is not an indication of future results. For more information, please see www.SHOOKresearch.com.SHOOK is a registered trademark of SHOOK Research, LLC.

 

Forbes’ 2024 America’s Top Wealth Advisors

Craig was ranked on Forbes’ America’s Top Wealth Advisors list for the 4th year in a row. For 2024, Craig is ranked #51 overall and #2 in the state of Ohio.

Neither VVP nor its employees paid a fee for placement on Forbes America’s Top Wealth Advisors list.
Data provided by SHOOK® Research, LLC — Data as of 6/30/23 and list release 4/3/2024. Forbes America’s Top Wealth Advisors and Best- in-State Wealth Advisors ranking was developed by SHOOK Research and is based on in-person, virtual, and telephone due diligence meetings to measure best practices, client retention, industry experience, credentials, review of compliance records, firm nominations; and quantitative criteria, such as: 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. SHOOK’s research and rankings provide opinions intended to help investors choose the right financial advisor and are not indicative of future performance or representative of any one client’s experience. Past performance is not an indication of future results. For more information, please see www.SHOOKresearch.com.SHOOK is a registered trademark of SHOOK Research, LLC. Full list here: https://lnkd.in/dNCTWUA4

 

Professional Designations Defined

  • AIF®Accredited Investment Fiduciary
  • CEPA™ – Certified Plan Fiduciary Advisor
  • ChFC® –  Chartered Financial Consultant
  • CFA®Chartered Financial Analyst
  • CFP®Certified Financial Planner
  • CPFA® Certified Plan Fiduciary Advisor
  • CPWA®  – Certified Private Wealth Advisor
  • CRPC®   – Chartered Retirement Planning Counselor
  • CRPS®Chartered Retirement Plans Specialist
  • FPQP®  – Financial Paraplanner Qualified Professional
  • CDFA® – Certified Divorce Financial Analyst
  • RIPC®  Retirement Income Certified Professional