Disclosures

All content presented on the Wetherby Asset Management (“Wetherby”) website is for informational purposes only and is from sources believed to be reliable. No warranty is either expressed or implied by its presentation.

This content is not, and should not be, considered a recommendation, offer, nor solicitation of an offer by Wetherby or its affiliates to buy, sell or hold any security or other financial product; nor is it an endorsement or affirmation of any specific investment strategy. Past performance is no guarantee of future results. Inherent in any investment is the potential for loss.

Wetherby manages portfolios according to each client’s specific investment needs. Therefore, each client’s portfolio has its unique set of circumstances and consequently, investment results. Wetherby’s outlook may change if new information is provided by the client or if there are material changes in the market or investment recommendations. While Wetherby intends to add value to our clients in non-investment related areas of tax and financial planning, we do not hold ourselves out to be practicing income tax professionals or estate planning attorneys; you should consult your tax advisor and/or estate planning attorney for any legal or accounting needs.

Information contained in third-party articles were prepared by independent outside parties and the accuracy of any such information may have changed subsequent to the publication of the article. Wetherby does not guarantee the accuracy or completeness of information in these articles and assumes no liability for damages resulting from or arising out of the use of such information.

Please note that some third-party articles have reported an inflated estimate which exceeded our actual assets under management at the point of publication. To clarify, Wetherby reached $4B in the fourth quarter of 2016. Also, please note that Deb Wetherby’s CPA license is currently inactive.

To the extent that our website contains information about specific companies, securities and/or investment strategies (including whether they are profitable or not) such information is provided as a means of illustrating a potential investment thesis at the time of the article’s publication and is not reflective of any or all securities held by clients nor the experience of any client; the holdings and performance of which may be materially different from any investments discussed. It should not be assumed that any information contained serves as the receipt of, or as a substitute for, personalized investment advice from Wetherby.

To the extent that a reader has any questions regarding the applicability of any specific data presented above to her/his individual situation, she/he is encouraged to consult with the professional advisor of her/his choosing. A copy of Wetherby’s current ADV2 discussing our advisory services, fees and other relevant information is available upon request.

Certifications

Please note that Wetherby’s status as both a Certified B Corporation® and a Certified San Francisco Green Business is indicative of our commitment to enhanced social, environmental and governance standards and is not intended to represent an indication of Wetherby’s investment capabilities or performance. For additional details regarding Certified B Corporations® please visit www.bcorporation.net; for additional details regarding San Francisco Green Business please visit www.sfenvironment.org/green-businesses.

Social Media

Social media content involving Wetherby and our affiliated people is intended solely for informational purposes and should not be considered as a recommendation, investment advice, nor an offer or solicitation of services. Links to third-party content are provided for convenience only, we cannot assure the accuracy or completeness of the information and no warranty is either expressed or implied by its presentation. Neither Wetherby nor our affiliated people are responsible for any third-party content, services, products or information. Please note that as registered investment advisory firm with the U.S. Securities and Exchange Commission, Wetherby and our affiliated people are restricted from using any form of testimonial relating to our investment advisory services. We appreciate your acknowledgements; however, our policy requires that we hide any recommendations or endorsements.

Accolades

Accolades noted were given based on specific criteria and methodologies defined by each respective entity administering the award/ranking. Additional details regarding criteria for each specific accolade may be available on each respective administering entity’s website. All accolades provided are for informational purposes only and no warranty is either expressed or implied by their presentation. Accolades presented may not be representative of actual or specific client experiences and should not be considered an endorsement. Wetherby acknowledges that our rating reflects an average of all, or sample of all, of an advisor’s or the firm’s clients and thus may not be representative of any single client’s experience. Wetherby’s receipt of accolades should not be considered a guarantee of future performance results. Wetherby does not pay a fee to participate in any of the rankings disclosed.

Working Mother Magazine: Top Wealth Advisor Moms (2018)

The Top Wealth Advisor Moms list is produced annually by Shook Research LLC and Working Mother Magazine. Shook Research’s ranking algorithm is based on qualitative measures derived from telephone and in-person interviews and surveys: service models, investing process, client retention, industry experience, review of compliance records, firm nominations, etc.; 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. From a total universe of 300,000 advisors, SHOOK evaluates 26,000 nominations of which approximately 20% were women and less than half at the time were mothers with children under the age of 18 and living at home (roughly 2,600). The top 300, roughly 11%, were included in the final 2018 Top Wealth Advisors Moms list. Rankings are based on the opinions of SHOOK Research LLC. Neither SHOOK nor Working Mother receives compensation from the advisors or their firms in exchange for placement on a ranking. For additional information and methodology, please visit: https://www.workingmother.com/sites/workingmother.com/files/attachments/2018/10/wm-topwealthadvisors2018.pdf.

B Lab: B Corp Best for the World Changemakers (2018)

The B Corp Best for the World Changemakers list is published by the nonprofit B Lab and determined by the verified score on the B Impact Assessment of Certified B Corporations as of June 1, 2018. The B Impact Assessment (BIA) is a free online tool designed to comprehensively measure the positive impact that businesses generate for their communities, customers, workers and environment. Only Certified B Corporations in good standing with a Reviewed Version 4 or 5 B Impact Assessment (including both phone and document reviews by B Lab Staff with scores transparent online) are eligible for inclusion. The Changemakers list honors Certified B Corps with the most verified improvements on questions across all impact areas in the B Impact Assessment over time. The algorithm used to calculate the Changemakers list assesses positive change made on individual questions. Efforts are made to to exclude what is termed “standards-based change,” such as changes in score resulting from a company moving to a different track or version of the assessment. This leaves behind only genuine improvements a company has made, and honorees on the Best For The World: Changemakers list represent the top 20th percentile on this measure. Of the approximately 2,500 companies that were considered, 203 were honored representing approximately 8%. Please note that while Wetherby does not pay a fee to participate in the B Corp Best for the World rankings, we do pay fees to B Lab to maintain our B Corp certification. For additional information and methodology, please visit: https://bthechange.com/how-a-company-can-be-best-for-the-world-d4b22526afa3.

Financial Times 300 Top Registered Investment Advisers (2018)

The Financial Times 300 Top Registered Investment Advisers is an independent list produced annually by the Financial Times (FT). Based on regulatory filings with the U.S. Securities and Exchange Committee as of December 31, 2017, the FT invited over 2,000 registered investment advisory (RIA) companies with $300 million or more in assets under management (AUM) to complete an application for consideration for the list. 760 RIA companies applied and 300 made the final list (roughly 39%). The FT evaluates applications in context of the FT’s own research into a firm’s practices, including firm data from regulatory filings. The resulting list reflects 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. For additional information and methodology, please visit: https://www.ft.com/content/a31e1e08-4d54-11e8-97e4-13afc22d86d4.

B Lab: B Corp Best for the World for Customers (2018)

The B Corp Best for the World For Customers list is published by the nonprofit B Lab and determined by the verified score of the Customer portion of the B Impact Assessment of Certified B Corporations as of December 31, 2017. Only Certified B Corporations with a Reviewed Version 3 or 4 B Impact Assessment (including both phone and document reviews by B Lab Staff with scores transparent online) are eligible for inclusion on the Best for the World list. Honorees featured on Best for Customers lists scored in the top 10th percentile of all Certified B Corporations in the Customer section of the assessment. The Customer portion of the B Impact Assessment measures the impact a company has on its customers by focusing on whether a company sells products or services that promote public benefit and if those products/services are targeted toward serving underserved populations. The section also measures whether a company’s product or service is designed to solve a social or environmental issue (improving health, preserving environment, creating economic opportunity for individuals or communities, promoting the arts/sciences, or increasing the flow of capital to purpose-driven enterprises). Of the approximately 2,400 companies that were considered, 221 were honored representing approximately 10%. Please note that while Wetherby does not pay a fee to participate in the B Corp Best for the World rankings, we do pay fees to B Lab to maintain our B Corp certification. For additional information and methodology, please visit: https://bthechange.com/2018-best-for-the-world-customers-honorees-d57cfc118267.

B Lab: B Corp Best for the World for Workers (2018)

The B Corp Best for the World For Workers list is produced by the nonprofit B Lab and determined by the verified score of the Workers portion of the B Impact Assessment of Certified B Corporations as of December 31, 2017. Only Certified B Corporations with a Reviewed Version 3 or 4 B Impact Assessment (including both phone and document reviews by B Lab Staff with scores transparent online) are eligible for inclusion on the Best for the World list. Honorees featured on Best for Workers lists scored in the top 10th percentile of all Certified B Corporations in the Workers section of the assessment. The Workers section of the B Impact Assessment assesses the company’s relationship with its workforce. It measures how the company treats its workers through compensation, benefits, training and ownership opportunities provided to workers. The category also focuses on the overall work environment within the company by assessing management/worker communication, job flexibility, corporate culture, and worker health and safety practices. Of the approximately 2,400 companies that were considered, 185 were honored representing approximately 10%. Please note that while Wetherby does not pay a fee to participate in the B Corp Best for the World rankings, we do pay fees to B Lab to maintain our B Corp certification. For additional information and methodology, please visit: https://bthechange.com/2018-best-for-the-world-workers-honorees-e285649d2514.

InvestmentNews: Women to Watch (2017)

The 20 Women to Watch awardees are selected by a panel of eight InvestmentNews editors and staff. The judges evaluate nominees’ based on: 1) demonstrated success and leadership in the financial advice industry, 2) proven ability or power to effect change in the industry, 3) an exhibited willingness to share her expertise with others in the field, including by serving as a mentor or role model to other female professionals in the industry and speaking at industry events and 4) has given back to her community through such activities as sitting on boards, volunteering and donating time to help investors. Of the 210 nominations received, 20 individuals made the final list, or approximately 9.5%. For additional information and methodology, please visit: http://www.investmentnews.com/section/women-to-watch/2017.

Forbes: America’s Top Wealth Advisors (2017)

The Forbes ranking of America’s Top Wealth Advisors, developed by SHOOK™ Research, considers advisors with seven years of experience, over 50% of their revenue generated from serving individuals, an acceptable compliance record and who have completed an online survey. The ranking is determined based on quality of practice, including: telephone and in-person interviews, client retention, industry experience, review of compliance records, firm nominations; and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not part of the criteria because client objectives and risk tolerances vary, and advisors rarely have audited performance reports. This ranking surveyed 4,504 advisors, of which 5.5% successfully ranked for this publication. For additional information and methodology, please visit: https://www.forbes.com/sites/rjshook/2017/09/26/americas-top-wealth-advisors-methodology/#16d737504e13.

Working Mother Magazine: Top Wealth Adviser Moms (2017)

The Working Mother Top Wealth Advisor Moms accolade was developed by SHOOK™ Research. The ranking considered wealth advisors who are mothers with children living at home and under the age of 18. The ranking algorithm is based on qualitative measures derived from telephone and in-person interviews and surveys: service models, investing process, client retention, industry experience, review of compliance records, firm nominations, etc.; 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. Rankings are based on the opinions of SHOOK Research, LLC. 4,486 advisors submitted an online survey for consideration in this ranking, of which 200, or approximately 4%, ultimately placed on the ranking list. For additional information and methodology, please visit: https://www.workingmother.com/top-wealth-adviser-moms-2017.

B Lab: Best for the World – Customers & Best for the World – Workers (2017)

The Best for the World Lists are determined based on the verified B Impact Assessment Scores of Certified B Corporations as of December 31, 2016. Only Certified B Corporations with a Reviewed Version 3 or 4 B Impact Assessment (including both phone and document reviews by B Lab Staff with scores transparent online) are eligible for inclusion on the Best for the World list. Honorees featured on Best for Workers and Best for Customers lists scored in the top 10th percentile of all Certified B Corporations in the respective impact area. The Workers list considers such criteria as employee benefits, ownership and engagement programs; the Customers list considered criteria such as services that help customers and the environment. Of the approximately 2,100 companies that were considered, 846 were honored representing approximately 40%. Please note that while Wetherby does not pay a fee to participate in the B Corp Best for the World rankings, we do pay fees to B Lab to maintain our B Corp certification. For additional information and methodology, please visit: http://www.bthechange.com.

Forbes: America’s Top Next-Gen Advisors (2017)

SHOOK™ Research considered advisors born in 1980 or later with a minimum 4 years relevant experience. Advisors have built their own practices and lead their teams; joined teams and are viewed as future leadership; or a combination of both. Ranking algorithm is based on qualitative measures derived from telephone and in-person interviews and surveys: service models, investing process, client retention, industry experience, review of compliance records, firm nominations, etc.; and quantitative criteria, such as assets under management and revenue generated for their firms. All data is as of March 31, 2017. Investment performance is not a criteria because client objectives and risk tolerances vary, and advisors rarely have audited performance reports. Rankings are based on the opinions of SHOOK Research, LLC. The America’s Top Next-Gen Advisors ranking considered 2,356 individuals of which 500, or approximately 21%, ranked in the final list. For additional information and methodology, please visit: https://www.forbes.com/sites/rjshook/2017/07/25/methodology-forbes-top-500-top-next-generation-wealth-advisors/#563bfe736716.

The Financial Times: 300 Top Registered Investment Advisers (2017)

The Financial Times 300 Top Registered Investment Advisers is an independent listing produced annually by the Financial Times (FT). The FT 300 is based on data gathered from RIA firms, regulatory disclosures and the FT’s research as of December 31, 2016. The FT invited qualifying RIA companies to complete a lengthy application and considered these applications in context of the FT’s own research into a firm’s practices, including firm data from regulatory filings. The resulting 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. 710 RIA companies applied and 300 made the final list (roughly 42%). For additional information and methodology, please visit: https://www.ft.com/content/1ad3a626-2c30-11e7-bc4b-5528796fe35c.

San Francisco Business Times: Top Wealth Management Firms in the Bay Area (2017)

To determine the Top Wealth Management Firms in the Bay Area, San Francisco Business Times sent surveys requesting the total current assets under management in a firm’s Bay Area offices for individual clients with separate or individually managed accounts, referring to individual clients only – not institutional, as of April 1, 2017. Surveys were sent to 127 companies, of which 45 companies submitted responses. The top 25, or 55% of wealth managers who applied, made the list. For additional information and methodology, please visit: http://bizj.us/1pebjh.

Forbes: America’s Top Women Advisors (2017)

The Forbes ranking of America’s Top Women Advisors, developed by SHOOK™ Research, is based on an algorithm of qualitative and quantitative data, rating wealth advisors with a minimum of seven years of experience and weighing factors like revenue trends, assets under management, compliance records, industry experience and best practices learned through telephone and in-person interviews. Portfolio performance is not a criteria due to varying client objectives and lack of audited data. This ranking received 13,174 nominations, 4,000 of which were invited to complete an online survey, 3,980 were interviewed by telephone and 716 interviewed in person. In total 200 advisors successfully ranked for this publication. For additional information and methodology, please visit: https://www.forbes.com/sites/rjshook/2017/02/28/the-forbes-ranking-of-americas-top-women-wealth-advisors-methodology/#6e06a84e285d.

Forbes: America’s Top Wealth Advisors (2016)

The Forbes ranking of America’s Top Wealth Advisors, developed by SHOOK™ Research, is determined based on quality of practice, including: telephone and in-person interviews, client retention, industry experience, review of compliance records, firm nominations; and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not part of the criteria because client objectives and risk tolerances vary, and advisors rarely have audited performance reports. This ranking surveyed 4,000 advisors, of which 5% successfully ranked for this publication. For additional information and methodology, please visit: http://www.forbes.com/sites/rjshook/2016/08/03/shook-research-methodology-forbes-top-wealth-advisors/#11f87d634485.

Bloomberg Markets: Top 50 Registered Investment Advisors (2015)

This ranking considered active U.S. RIAs that provide financial planning services based on the data they reported to the Securities and Exchange Commission as of June 1, 2015. This analysis used filings as of June 2, 2014, for year-over-year comparisons. The ranking excludes firms that operate as or are affiliated with broker-dealers, banks or thrifts; trust or insurance companies; or firms with employees who are registered representatives of broker-dealers. Also excluded were firms that take commissions, sell financial products, or operate as real estate agents, lawyers, insurance brokers or accountants. The ranking did not consider multifamily offices. All RIAs considered obtained more than 75% of their assets under management from high net worth individuals. Up to 25% of their AUM was from any of the following sources: investment and business development companies; pooled investment vehicles; pension and profit-sharing plans; charitable organizations, corporations, or other businesses; state or municipal government entities; other investment advisers; and/or investors that the RIAs described in the filings as “other.” 486 firms were considered for the 2014 Top 50 Registered Investment Advisors ranking, of which only 10.2% received placement. For additional information and methodology, please visit: https://www.resourceconsulting.com/wp-content/uploads/2015/02/2014-12-11_Bloomberg_Top_50_RIA.pdf.

Bloomberg Markets: Top 50 Registered Investment Advisors (2014)

This ranking considered U.S. RIAs that provide financial planning services based on the data reported to the Securities and Exchange Commission as of June 2, 2014. The analysis used filings as of June 3, 2013, for year-over-year comparisons. The ranking excludes firms that operate as or are affiliated with broker-dealers, banks or thrifts; trust or insurance companies; or firms with employees who are registered representatives of broker-dealers. Also excluded were firms that take commissions, sell financial products or operate as real estate agents, lawyers, insurance brokers or accountants. The ranking did not consider multifamily offices. All RIAs considered obtained more than 75% of their assets under management from high-net-worth individuals, with up to 25% of those assets from any of the following sources: investment and business development companies, pooled investment vehicles, pension and profit-sharing plans, charitable organizations, corporations or other businesses, state or municipal government entities, other investment advisers or investors that the RIAs described in their filings as “other.” 439 firms were considered for the 2014 Top 50 Registered Investment Advisors ranking, of which only 11.4% received placement. For additional information and methodology, please visit: http://assets.bwbx.io/images/iYRUVueGOIiA/v1/-1x-1.jpg.

The Financial Times: 300 Top Registered Investment Advisers (2014)

The Financial Times 300 Top Registered Investment Advisers is an independent listing produced annually by the Financial Times (FT). The FT 300 is based on data gathered from RIA firms, regulatory disclosures and the FT’s research as of December 31, 2013. The FT invited qualifying RIA companies to complete a lengthy application and considered these applications in context of the FT’s own research into a firm’s practices, including firm data from regulatory filings. The resulting 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. 630 RIA companies applied and 300 made the final list (roughly 48%). For additional information and methodology, please visit: http://im.ft-static.com/content/images/6c30552e-fb45-11e3-8959-00144feab7de.pdf.

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