Compliance and Regulatory
AJ Wealth is registered as an investment adviser with the Securities and Exchange Commission (“SEC”). AJ Wealth provides asset management and related services for clients nationally. AJ Wealth will file and maintain all applicable licenses as required by the state securities boards and/or the Securities and Exchange Commission ("SEC"), as applicable. AJ Wealth renders individualized responses to persons in a particular state only after complying with the state's regulatory requirements, or pursuant to an applicable state exemption or exclusion.
This web site is intended to provide general information about AJ Wealth . It is not intended to offer investment advice. Information regarding investment products and services are provided solely to read about our investment philosophy, our strategies and to be able to contact us for further information.
Market data, articles and other content on this web site are based on generally-available information and are believed to be reliable. AJ Wealth does not guarantee the accuracy of the information contained in this web site. The information is of a general nature and should not be construed as investment advice.
AJ Wealth will provide all prospective clients with a copy of our current Form ADV, Part 2 ("Brochure") prior to commencing an Advisory relationship. Existing clients will receive a copy on an annual basis. However, at anytime, you can view our current Form ADV, Part 2 on our web site. In addition, you can Contact Us to request a hardcopy.
If you have any questions regarding Compliance and Regulatory information, please Contact Us.
The “Top 50 Fastest-Growing Financial Advisor Firms – 2021 Edition” is an independent report compiled and produced by Smartassest (March 2021). Smartasset is a financial technology company providing personal finance advice on the web, offering free and personalized tools to empower people to make smart personal finance decisions around homebuying, investing, retirement, taxes and more. To identify the 50 fastest-growing financial advisor firms nationwide, SmartAsset analyzed SEC data for RIAs across four metrics: one- and three-year percent change in number of client accounts and one- and three-year percent change in AUM. The full report can be found here. 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 Smartasset in exchange for inclusion in the Smartasset rankings.
The 2020 Financial Times 300 Top Registered Investment Advisers is an independent listing produced annually by the Financial Times (July 2020). The Financial Times is a Japanese-owned, English-language international daily newspaper headquartered in London, with a special emphasis on business and economic news. 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. 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.
The “2020 TOP 50 FASTEST GROWING RIA FIRMS” is a list compiled and published by Financial Advisor Magazine (August 2020). Financial Advisor Magazine is a monthly financial services magazine which delivers market information for financial advisors. Its articles focus on strategies and management advice for advisors of affluent clients. Its targeted readership includes financial planners, investment advisors, and broker-dealers. To be eligible for the Top 50 Fastest Growing RIA Firms 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 $400 million in assets under management as of December 31, 2019. Corporate RIA firms, investment advisor representatives (IARs) and hybrids are not eligible for this survey. 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 Financial Advisor Magazine for inclusion.