Award Disclosures

Important Disclosures Regarding 2019 Toledo Club Feature Article (Cleves Delp)

Advisory services provided by TFO-TDC, LLC. This Article was written by a third party and is being provided for informational purposes only, does not constitute investment advice and does not necessarily represent the opinions of TFO-TDC, LLC. Nothing in this Article should be interpreted as implying the performance of any client accounts, or securities recommendations. TFO-TDC, LLC does not provide any guarantee, express or implied, that the information presented is accurate or timely, and does not contain inadvertent technical or factual inaccuracies. TDC Companies, Inc. and/or TFO-TDC, LLC paid for a year of advertising in the Toledo Club Topics magazine and Cleves Delp has a Toledo Club membership. Recognitions should not be considered an endorsement of the adviser or employee by a company or client nor are they representative of any one client’s experience.

 

Important Disclosures Regarding A Best Place to Work for Financial Advisers By Investment News
Source: Best Places to Work for Financial Advisers, InvestmentNews, April 1, 2019.

Third party rankings and recognition from ratings services are no guarantee of future investment success. Working with a highly rated adviser does not ensure that a client will experience a higher level of performance or results. Ratings and recognitions should not be considered an endorsement of the adviser by a company or client nor are they representative of any one client’s experience.

TDC Investment Advisory did not pay a fee to Investment News  in exchange for the rating.
The evaluations for the InvestmentNews list are based purely on employer and employee voluntary survey answers.

The InvestmentNews Best Places to Work for Financial Advisers project highlights employers of the financial advice industry. These firms, ranging from small practices with fewer than 20 people to large companies with hundreds were voluntarily surveyed. The inaugural list of 75 top firms was created by Best Companies Group through online employee and employer surveys. The collected information is combined to determine the strengths of each of the firms that voluntarily participate in the program and each workplace is ranked on this data. The 75 organizations that made the cut scored the highest all around when evaluating their internal human resource practices and policies and employees were surveyed. The assessment focuses on a number of key areas, including the quality of leadership, pay and benefit practices and work-life balance issues. InvestmentNews also looked at how firms valued diversity and inclusion among their ranks.

Learn more at http://InvestmentNews.com/Bestplaces
COPYRIGHT © 2019 INVESTMENTNEWSLLC. ALL RIGHTS RESERVED.

InvestmentNews eligibility requirements:

Be a registered investment adviser (RIA) or affiliated with (but not an employee of) an independent broker-dealer (IBD) or be a hybrid/dually-registered firm affiliated with an IBD and doing business through an RIA. Note: Firms should directly provide financial advice to households or organizations. Be in business for a minimum of one year. Have a minimum of 15 full-time employees.

 

Disclosures Regarding Barron’s 2019 Top Financial Advisor Ranking By State (Cleves Delp)

Cleves Delp, TDC Investment Advisory firm Principal, was recently named to Barron’s 2019 List of Top Financial Advisors by State, ranking #26 in Ohio. Factors considered by Barron’s for its rankings included, but were not limited to, assets under management, revenue produced by the firm, regulatory record, quality of practice, and philanthropic work.

The full article and list of Ohio advisors can be viewed by clicking on the following links provided below:

Barron’s 2019 Top Advisor Rankings By State: [https://www.barrons.com/report/top-financial-advisors/1000/2019]

Source: Barron’s “Top 1,200 Advisors,” March 11, 2019, as identified by Barron’s magazine, using quantitative and qualitative criteria and selected from a pool of over 4,000 nominations. Advisors in the Top 1,200 Financial Advisors list have a minimum of seven years of financial services experience. The ranking includes advisors registered with either the SEC or FINRA or both. Barron’s selection considers three major categories of data: assets, revenue and quality of practice. Quantitative factors include assets under management, which may vary by state. Qualitative factors include, but are not limited to, compliance record and philanthropic work. Investment performance is not a criterion. The rating may not be representative of any one client’s experience and is not indicative of the financial advisor’s future performance. Data submitted to Barron’s was as of September 30, 2018. Please note: TFO-TDC reported $2.1B of regulatory assets under management as of 12/31/18. Neither TDC Investment Advisory nor Mr. Delp paid a fee to Barron’s in exchange for the rating. Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights reserved.

Third party rankings and recognition from ratings services are no guarantee of future investment success. Working with a highly rated adviser does not ensure that a client will experience a higher level of performance or results.

Toledo Blade – Top Places to Work 2019 –  TDC Investment Advisory and our affiliates TDC Companies and TDC Life were honored to receive this award for 2019 as small companies in Northwest Ohio region.

Within the small business category, the Toledo Blade recognized 20 Northwest Ohio region companies and organizations with fewer than 74 employees as 2019 Top Workplaces, out of 72 total applicants. Other categories included midsize organizations (between 75 – 300 employees) and large organizations (with more than 300 employees). Any organization with 35 or more employees in the Northwest Ohio is eligible to participate in the program. For 2019, neither the firm nor any employees paid a fee to be considered for, or awarded, this honor. However, the firm received the same award for 2018 and our affiliate, TDC Companies, Inc., did pay to participate in the survey and distribute the awards. Top Workplaces recognized eligible companies based on a survey about the workplace that employees complete, which Energage, LLC distributed and analyzed. The evaluations for the list are based purely on employee opinions.

Please note:  Third-party awards and recognition are no guarantee of future investment success. Working with a top-rated or highly rated advisor does not ensure that a client or prospective client will experience a higher level of performance. Ratings should not be considered an endorsement of the advisor by a client nor are they representative of any one client’s experience.

If you would like more information about this award or topic, please contact, TDC Investment Advisory at 419.891.9999.

Disclosures Regarding Awards and Recognitions Granted to TDC Investment Advisory and Its Professionals

Awards and recognitions by unaffiliated rating services, companies, and/or publications should not be construed by a client or prospective client as a guarantee that he/she will experience a certain level of results if TFO-TDC, LLC (“TFO-TDC”) is engaged, or continues to be engaged, to provide investment advisory services; nor should they be construed as a current or past endorsement of TFO-TDC  or its representatives by any of its clients.

Rankings published by magazines and others are generally based exclusively on information prepared and/or submitted by the recognized adviser. Moreover, with regard to all performance information contained herein, directly or indirectly, if any, users should note that past results are not indicative of future results. Please see below for a more detailed description of the criteria used with respect to the awards and recognitions granted to TDC Investment Advisory and, as indicated below, its individual employees.

Disclosure: Award granted to TDC Companies, Inc. in 2018 “Outstanding Corporate Philanthropist by the Association of Fundraising Professionals Northwest Ohio Chapter.”

This award honors a corporation or its corporate foundation that demonstrates outstanding commitment through financial support and through encouragement and motivation of others to take leadership roles toward philanthropy and community involvement. TDC Companies, Inc. is an affiliated management company of TFO-TDC, LLC. Regarding the methodology and criteria for winning the award TDC Companies was nominated and did not pay to participate for this award. The Nomination Committee of the chapter reserves the right to select winners in all or some of the categories each year based on the nominations received.

Special Award Disclosure: http://20under40toledo.com/about-us

Please Note: Limitations: No ranking or recognition should be construed as a current or past endorsement of TFO-TDC, LLC 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 TFO-TDC, LLC 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.