To compile their ranking SmartAsset first gathered all U.S. Securities and Exchange Commission (SEC)-registered firms in Cincinnati. They then eliminated any firms from the list that did not have clean disciplinary records, did not manage individual accounts or did not have financial planners on staff. They then sorted the remaining firms according to assets under management (AUM). The firms on the list are ranked from the highest AUM to lowest. The ranking may not be representative of any one client’s experience as it reflects a sample of client experiences. The award is also not indicative of future performance and there is not guarantee of future investment success.