Disclosures

Helen Stephens Group, LLC dba Aspen Wealth Management (“Aspen”) is an investment advisor registered with the Securities and Exchange Commission (“SEC”) under the Investment Advisers Act of 1940. Registration with the SEC does not imply a certain level of skill or expertise. Aspen and its representatives are in compliance with the current filing requirements imposed upon investment advisers by those states in which Aspen maintains clients. Aspen may only transact business in those states in which it is registered or qualifies for an exemption or exclusion from registration under applicable state requirements.  Aspen Wealth Management conducts business by appointment only. Investments involve risk, and any and all information or ideas should be discussed in detail with a qualified financial advisor and/or tax professional prior to implementation.

The standard information on Aspen’s website is for educational purposes only and should not be construed as, or used as a substitute for, financial, investment or other professional advice. Aspen’s website contains general information pertaining to its investment advisory services and should not be construed as a solicitation to effect, or attempt to effect, any transaction in any security or as a solicitation for the provision of personalized investment advice for compensation over the internet. The content is developed from sources believed to be providing accurate information. The information in this material is not intended as tax or legal advice. Please consult legal or tax professionals for specific information regarding your individual situation. The opinions expressed and material provided are for general information, and should not be considered a solicitation for the purchase or sale of any security.

Aspen’s website may contain a discussion of, and/or provide access to, Aspen’s opinions and/or recommendations as of a specific prior date. Due to various factors, including changing market conditions, such discussion may no longer be reflective of current opinions and/or recommendations. Aspen is neither an attorney nor an accountant, and no portion of the website, or the information contained within, should be interpreted as legal, accounting or tax advice.

The information contained in any third-party resource cited on Aspen’s website, including but not limited to other websites, articles, television or radio sources, is not owned or controlled by Aspen. Aspen assumes no responsibility for the content of third-party sites and does not guarantee the timeliness, accuracy, adequacy, completeness or reliability of any information that may be found in such resources and makes no warranties with respect to their use. References to any third-party resource are provided as a courtesy only and are not intended to be, and do not act as, an endorsement by Aspen of the third party or the third party’s content.

Past performance is not indicative of future results. No current or prospective client should assume that future performance of any specific investment or investment strategy made reference to directly or indirectly by Aspen in its website, or indirectly via a link to a third-party website, will be profitable or equal any corresponding indicated performance levels. Different types of investments involve varying degrees of risk, and there can be no assurance that any specific investment will either be suitable or profitable for a client or prospective client’s investment portfolio.

If you have questions regarding your financial situation, you should consult your financial planner or investment advisor. A copy of Aspen’s current Form ADV Part 2A discussing Aspen’s services, advisory operations, and fees is available upon request at no cost or at www.adviserinfo.sec.gov.

Trademarks

Certified Financial Planner Board of Standards Inc. owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER®, CFP® (with plaque design) and CFP® (with flame design) in the U.S., which it awards to individuals who successfully complete CFP Board’s initial and ongoing certification requirements.

CFA Institute owns the Chartered Financial Analyst (CFA®) credential, which it awards to charterholders who successfully complete all three levels of the CFA Program and ongoing certification requirements.

Exit Planning Institute owns the Certified Exit Planning Advisor (CEPA®) credential, which it awards to individuals who successfully complete its Certified Exit Planning Advisor Credentialing Program and ongoing certification requirements.

Awards and Rankings

Third-party rankings and recognition from rating services or publications are no guarantee of future investment success. Working with a highly rated advisor does not ensure that a client or prospective client will experience a higher level of performance or results. These ratings should not be construed as an endorsement of the advisor or by any client nor are they representative of any one client’s evaluation. Generally, ratings, rankings and recognition are based on information prepared and submitted by the advisor. Unless otherwise noted no fee was paid for consideration of any ranking or award.

A more thorough disclosure of the criteria or methodology used for various rankings can be found below.

USA Today’s Best Financial Advisory Firms in 2023 and 2024

USA TODAY partnered with market research firm Statista to evaluate 30,000 companies and rank the top 500 RIAs in the United States based on its proprietary methodology. The rankings were based on the growth of the companies’ assets under management (AUM) over the short and long term and the number of recommendations they received from clients and peers. USA TODAY and Statista also included separate groupings based on the amount of assets RIAs oversee so readers can compare firms in similar size classes.

Full methodology on the rankings can be found on Statista’s website: https://r.statista.com/en/licensing/americas-best-financial-advisory-firms-2024/award/

D Magazine Best of 2024  |  Best Financial Planners:

Methodology:

D Magazine asked every CFP 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 and self-nominations were tossed out. A panel of esteemed local financial planners reviewed the list. Only CFPs made the list.

Voting Criteria/Procedures:

a. Requirements for voters:

1. i. Ballots will be sent via email
2. ii. Voters are limited to a total of 5 votes, and no more than 2 votes can be for members of their own company
3. iii. No self-nominations are allowed
4. iv. Must be an active member of the FPA
5. v. Must have an office based within D Magazine’s geographic boundaries, which include Tarrant County

b. Requirements for winners:

1. i. Must be an active member of the FPA
2. ii. Must have an office based within D Magazine’s geographic boundaries, which include Tarrant County
3. iii. Must receive at least one vote to be eligible to win. Preference is given to nominees with at least two votes from outside their own firm.
4. iv. Must be in good standing. Brokerage checks and CFP checks will be conducted during the first round of fact check. Any issues identified will be investigated by D Magazine.
5. v. Must be accepting new clients at the time of the list’s publication
6. vi. Must have a minimum of 5 years’ experience as a financial planner
7. vii. Must currently lead client engagement

 

D Magazine Best of 2024  |  Top Wealth Managers (Entire Wealth Management Firm):

Methodology:

D Magazine 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 them 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 actions. Additionally, all firms (or teams, should the team by applying as an entity separate from its parent company) must have been in existence for at least five years as of the application deadline. 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.

Voting Criteria/Procedures:

a. Requirements for winners:

1. i. Ballots will be sent via email
2. ii. No self-nominations are allowed
3. iii. Must have average assets under management per client of at least $1 million
4. iv. Must have a 95% client retention rate over the last two years.
5. v. No current disciplinary actions
6. vi. Must have an office based within D Magazine’s geographic boundaries, which include Tarrant County

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. If you have been in existence for less than 5 years, please provide a history of your entity.