This award was issued on 7/1/20 by Five Star Professional (FSP) for the time period 10/7/2019 through 04/24/2020. Fee paid for use of marketing materials. Self-completed questionnaire was used for rating. This rating is not related to the quality of the investment advice and based solely on the disclosed criteria. 4374 Dallas-area wealth managers were considered for the award; 335 (8% of candidates) were named 2020 Five Star Wealth Managers. The following prior year statistics use this format: YEAR: # Considered, # Winners, % of candidates, Issued Date, Research Period. 2019: 3899, 393, 10%, 7/1/19, 10/22/18 - 5/3/19; 2018: 3851, 338, 9%, 7/1/18, 10/24/17 - 5/21/18; 2017: 2730, 382, 14%, 7/1/17, 9/26/16 - 4/28/17; 2016: 2471, 678, 27%, 6/1/16, 11/30/15 - 5/18/16; 2015: 2862, 684, 24%, 7/1/15, 11/30/14 - 5/18/15; 2014: 5080, 621, 12%, 7/1/14, 11/30/13 - 5/18/14; 2013: 3834, 698, 18%, 7/1/13, 11/30/12 - 5/18/13; 2012: 2688, 654, 24%, 7/1/12, 11/30/11 - 5/18/12.
Holland Investment Management (HIM) is a fee-based, full-discretion Registered Investment Advisory firm established in 2004, which follows and studies the markets 24/7, 365 days a year. The firm was founded by Gary Holland after his graduation from the Wharton School of Finance, his work as an International Credit Analyst with Chase Manhattan Bank, and a decade of experience at Smith Barney (now Morgan Stanley).
On the private wealth management side of the business, HIM uses a Global Macro "Top Down" Investment Strategy to allocate client portfolio assets. HIM's goal is to diversify client portfolios using not just traditional asset classes such as stocks and bonds but also alternative asset classes which are less correlated to more traditional asset classes. Please visit our website www.hollandim.com, "Investment Strategy," for a more detailed description.
HIM is also a group retirement plan expert for over 16 years. HIM is the investment advisor on numerous plans covering more than 9,500 participants.
Our services include:
1. The establishment of employer sponsored participant directed plans.
2. Ongoing monitoring of employer sponsored participant directed plans.
3. Assistance in designing plan structure.
4. The recommendation and ongoing monitoring of a plan provider (record-keeper/custodian).
5. The recommendation and ongoing monitoring of a third-party administrator (TPA).
6. The establishment of an Investment Policy Statement or the recommendation and ongoing monitoring of a 3(21) or 3(38) Investment Advisor.
7. Ongoing monitoring and assistance with the selection of investment options for the IPS.
8. Assistance with education for plan participants.
If you desire any more information or an analysis of your plan, please call us at (817) 698-9800.
Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. The award is based on 10 objective criteria. Eligibility criteria-required: 1. Credentialed as a registered investment adviser (RIA) or a registered investment adviser representative; 2. Actively licensed as a RIA or as a principal of a registered investment adviser firm for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by FSP, the wealth manager has not; A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. Had more than a total of three settled or pending complaints filed against them and/or a total of five settled, pending, dismissed or denied complaints with any regulatory authority or FSP's consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through FSP's consumer complaint process; feedback may not be representative of any one client's experience; C. Individually contributed to a financial settlement of a customer complaint; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients. Evaluation criteria-considered: 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. FSP does not evaluate quality of services provided to clients. The award is not indicative of the wealth manager's future performance . Wealth Managers may or may not use discretion in their practice and therefore may not manage their clients' assets. The inclusion of a wealth manager on the Five Star Wealth Manager list should not be construed as an endorsement of the wealth manager by FSP or this publication. Working with a Five Star Wealth Manager or any wealth manager is no guarantee as to future investment success, nor is there any guarantee that the selected wealth managers will be awarded this accomplishment by FSP in the future. Visit www.fivestarprofessional.com.
