Condor Capital Management

Awards & Accolades


NJBIZ Best Places to Work NJ 2016 1


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For 2016, Condor Capital Wealth Management ranked among the 20 best small-to-medium companies to work for in the state of New Jersey, making it five years on this prestigious list. NJBIZ is New Jersey’s only weekly business journal covering the entire state with the goal of providing useful and important information for the benefit of New Jersey’s customers, employees, and communities as a whole. Every year, NJBIZ selects 100 companies to receive the coveted designation of “Best Place to Work in NJ.” Winners are selected based on employee information, surveys, and company specific data such as policies, practices, and demographics. The recipients are then divided between large and small/medium sized companies to complete the process and earn a spot on the list of Best Places to Work in NJ.

2017 Five Star Wealth Manager 2


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Condor Capital’s founder and president, Ken Schapiro, was recognized for the sixth time as a 2017 Five Star Wealth Manager. The Five Star Professional award program, managed by fivestarprofessional.com, conducts market-specific research throughout the U.S. and Canada to select reputable, specialized, and honest service professionals. After careful consideration, awards are presented to top wealth managers, real estate agents, mortgage professionals, home/auto insurance professionals, and dentists in more than 45 markets across the above-listed regions. Five Star Professional also offers public exposure to award winners by offering no-cost listings within city and regional magazines in order to receive the recognition they deserve.

2016 Top RIAs by Financial Advisor Magazine 3


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Reaching 108,000 qualified readers each month, Financial Advisor magazine delivers essential market information and strategies that advisors need to succeed in the complex area of wealth management. Every year the publication conducts a survey to determine the best registered investment advisors (RIAs) in the country based on information submitted by individual firms. Companies are ranked based on the total of their discretionary and nondiscretionary assets, percentage growth in total assets, and percentage growth in assets per client.

2016 Best Financial Advisers for Dentists 4


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Published by Advanstar Communications, this listing is a source of information concerning individual financial advisers for use by dentists and the public. Based on criteria such as qualifications, good standing with the SEC and FINRA, fee arrangements, and minimum portfolio amounts, winners are selected and released to subscribers of the Dental Products Report service.

2016 Medical Economics Best Financial Advisers for Doctors 5


Medical Economics

For six consecutive years, Condor Capital Wealth Management has appeared in Medical Economics! Published by Advanstar Communications, this listing is a source of information concerning individual financial advisers for use by physicians, heath care professionals, and the public. Based on criteria such as qualifications, good standing with the SEC and FINRA, fee arrangements, and minimum portfolio amounts, winners are selected and released to subscribers of the Medical Economics publication.

2015 Financial Times Top 300 Financial Advisers 6


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Financial Times, one of the largest financial news publications in the world, publishes a yearly list of the top 300 registered investment advisers (RIAs) in the United States. The goal of the Financial Times 300 is to select reputable advisers registered with the SEC who manage more than $300 million in assets. Selection criteria are centered on the mindset of affluent and wealthy investors who tend to be readers of the Financial Times. After an RIA is initially considered by Financial Times, they are sent a lengthy application that is then submitted and evaluated along with independent research from regulatory filings and outside data. Overall, firms are assessed based on their assets under management, years of existence, compliance record, and certification, among other criteria. In all, an elite group of advisers is selected as the FT top 300 RIAs in the country.

Recognized on InvestmentNews RIA Rankings 7


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InvestmentNews is a weekly publication for financial advisers covering the entire financial services industry. Each year the publication compiles and ranks the top fee only RIAs in the country. To be considered, firms must first meet certain standards based on AUM, classifications, and various other criteria. Firms who qualify are then listed and ranked on the InvestmentNews website.

NJBIZ Best Places to Work NJ 1

To be eligible for consideration, companies must meet the following criteria: Be a for-profit or not-for-profit business or government entity, Be a publicly or privately held business, Have a facility in the state of New Jersey, Have a minimum of 15 employees working in the state of New Jersey, and Must be in business a minimum of 1 year. Best Companies Group conducts a simple yet thorough company assessment. The assessment is a two-part process designed to gather detailed data about each participating company. In part one, the employer completes a questionnaire and in part two, employees of the company complete an employee survey. The collected information from the two instruments will be combined to produce a detailed set of data enabling the analysts to determine the strengths and opportunities of the participating companies. The workplaces are ranked based on this data and then the Employee Feedback Reports are returned to each participating company.

The Five Star Wealth Manager Award 2

The Five Star Wealth Manager Award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Active as a credentialed professional in the financial services industry for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by Five Star Professional, 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 customer complaints filed against them [settled or pending] with any regulatory authority or Five Star Professional’s consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional’s consumer complaint process; C. Individually contributed to a financial settlement of a customer complaints filed with a regulatory authority; D. Filed for personal bankruptcy; E. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients; 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. Wealth managers do not pay a fee to be considered or awarded. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The award methodology does not evaluate the quality of services provided and is not indicative of the winner’s future performance. 3,868 New Jersey wealth managers were considered for the award; 664 (18% of candidates) were named 2016 Five Star Wealth Managers.

Top RIAs by Financial Advisor Magazine 3

Financial Advisor Magazine, a national publication created exclusively for independent financial planners and registered investment advisors, featured this year’s list of Registered Investment Advisory (RIA) firms in their July 2016 issue. The listing was based on total assets under management as of year-end 2015.

The Best Financial Advisers for Dentists 4

The Dental Products Best Financial Advisers for Dentists listing is based on the following criteria: qualifications, good standing with the SEC and FINRA, fee arrangements, and minimum portfolio. Dental Products Best Financial Advisers for Dentists is a paid Listing advertising supplement, written and published by Advanstar Communications Inc as a source of information concerning individual financial advisers for use by physicians, heath care professionals, and the public. The listing is provided as a service to its subscribers, and the Dental Products Best Financial Advisers for Dentists Advertising Supplement does not contain sufficient information to verify the Advisers credentials but it does offer the public, physicians, hospitals, and managed care organization, and other care organizations general information pertaining to the listed advisers. Adviser data is self-reported by the Adviser. References to any specific adviser does not imply or constitute an endorsement, recommendation, or favoring of such Adviser by the Publisher or any of its affiliates.

The Medical Economics Best Financial Advisers for Doctors 5

The Medical Economics Best Financial Advisers for Doctors listing is based on the following criteria: qualifications, good standing with the SEC and FINRA, fee arrangements, and minimum portfolio. Medical Economics Best Financial Advisers is a paid Listing advertising supplement, written and published by Advanstar Communications Inc as a source of information concerning individual financial advisers for use by physicians, heath care professionals, and the public. The listing is provided as a service to its subscribers, and the Medical Economics Best Financial Advisers Advertising Supplement does not contain sufficient information to verify the Advisers credentials but it does offer the public, physicians, hospitals, and managed care organization, and other care organizations general information pertaining to the listed advisers. Adviser data is self-reported by the Adviser. References to any specific adviser does not imply or constitute an endorsement, recommendation, or favoring of such Adviser by the Publisher or any of its affiliates.

The Financial Times Top 300 Registered Investment Advisers 6

The 2015 Financial Times Top 300 Registered Investment Advisers is an independent listing produced by the Financial Times (June, 2015). The FT 300 is based on data gathered from RIA firms, regulatory disclosures, and the FT’s research. As identified by the FT, the listing reflected each practice’s performance in six primary areas, including assets under management, asset growth, compliance record, years in existence, credentials and accessibility. Neither the RIA firms nor their employees pay a fee to The Financial Times in exchange for inclusion in the FT 300.

InvestmentNews 7

InvestmentNews qualified firms headquartered in the United States based on data reported ADV to the Securities and Exchange Commission as of May 1. To qualify, firms must have met the following criteria: (1) Latest ADV filing date is either on or after Jan. 1, 2014. (2) Total AUM is at least $100M. (3) Does not have employees who are registered representatives of a broker-dealer. (4) Provided investment advisory services to clients during its most recently completed fiscal year. (5) No more than 50% of regulatory assets under management is attributable to pooled investment vehicles (other than investment companies). (6) No more than 25% of regulatory assets under management is attributable to pension and profit-sharing plans (but not the plan participants). (7) No more than 25% of regulatory assets under management is attributable to corporations or other businesses. (8) Does not receive commissions. (9) Provides financial planning services. (10) Is not actively engaged in business as a broker-dealer (registered or unregistered). (11) Is not actively engaged in business as a registered representative of a broker-dealer. (12) Has neither a related person who is a broker-dealer/municipal securities dealer/government securities broker or dealer (registered or unregistered) nor one who is an insurance company or agency.