Important Disclosure Information
This website (“Website”) is a publication of Bogart Wealth, LLC / Bogart Wealth™ (“Bogart”), which is an SEC registered investment adviser with a primary business location in McLean, Virginia. Registration as an investment adviser is not an endorsement by securities regulators and does not imply that Bogart has attained a certain level of skill, training, or ability. The Website is limited to the dissemination of general information pertaining to Bogart’s advisory services, together with access to additional investment-related information, publications, and links. Accordingly, the publication of the Website should not be construed by any client or prospective client as Bogart’s solicitation to effect, or attempt to effect transactions in securities, or the rendering of personalized investment advice over the Internet. Any subsequent, direct communication by Bogart with a prospective client shall be conducted by a representative that is either registered or qualifies for an exemption or exclusion from registration as applicable. For information pertaining to the registration status of Bogart, please visit www.adviserinfo.sec.gov or contact the SEC or the state securities regulators for those states in which Bogart maintains a notice filing. Each user of this Website (“User”) is encouraged to obtain a copy of Bogart’s current written disclosure statement discussing Bogart’s business operations, services, fees, and applicable conflicts of interest, which is available from Bogart upon request or by searching for Bogart at the following link: www.adviserinfo.sec.gov.
All materials contained in this Website are protected by United States copyright law and may not be reproduced, distributed, transmitted, displayed, published, or broadcast without the prior written permission of Bogart. Users may not alter or remove any trademark, copyright or other notice from copies of the content.
Except as prohibited by law, and as a condition precedent to accessing this Website, each User agrees to release and hold harmless Bogart, its members, managers, officers, directors, owners, employees, agents, and affiliates from any and all adverse consequences resulting from any actions or omissions that are independent of receiving personalized individual advice from Bogart. The preceding sentence shall not limit or waive any applicable User rights under federal or state law, including securities laws and fiduciary obligations that cannot be limited or waived.
Hyperlinks on this Website are provided as a convenience. Bogart does not make any representations or warranties as to the accuracy, timeliness, suitability, completeness, or relevance of any information prepared by any unaffiliated third party, whether linked to the Website or incorporated herein, and takes no responsibility for the same. All such information is provided solely for convenience, educational, and informational purposes only, and all Users are guided accordingly.
To the extent that any User accesses any economic calculator or similar interactive device contained within or linked to the Website, the User acknowledges and understands that the information resulting from the use of any such calculator/device, is not, and should not be construed, in any manner whatsoever, as the receipt of, or a substitute for, personalized individual advice from Bogart, or from any other investment professional.
Past performance is not indicative of future results. Different types of investments involve varying degrees of risk, and there can be no assurance that the future performance of any specific investment or investment strategy (including those undertaken or recommended by Bogart), will be profitable or equal any historical performance level(s). All investment strategies have the potential for profit or loss. Investment strategies such as asset allocation, diversification, or rebalancing do not assure or guarantee better performance and cannot eliminate the risk of investment losses. There are no guarantees that a portfolio employing these or any other strategy will outperform a portfolio that does not engage in such strategies. Any target referenced on this Website is not a prediction or projection of actual investment results and there can be no assurance that any target will be achieved. Changes in investment strategies, contributions or withdrawals may materially alter the performance of an individual’s portfolio. Historical performance results for investment indexes and/or categories generally do not reflect the deduction of transaction and/or custodial charges, or the deduction of an investment-management fee, which would decrease historical performance results. Economic factors, market conditions, and investment strategies will affect the performance of any portfolio and there are no assurances that it will match or outperform any particular benchmark. Projections, forecasts and estimates referenced on the Website are not purely historical in nature and are therefore necessarily speculative and subject to material variation.
The Tax Team is a team of accountants and tax professionals associated with the accounting firm of Troy O’Callaghan CPA. Employees of Troy O’Callaghan CPA render accounting and tax services for Bogart Wealth pursuant to a written agreement. Troy O’Callaghan CPA and Bogart Wealth are not affiliated in any other way and are not under common control. Bogart Wealth reserves the right to change its Tax Team at any time and without notice. No client of Bogart Wealth is required to use Troy O’Callaghan CPA for accounting or tax services, but if Bogart Wealth provides you with or agrees to provide you with accounting or tax services, you will receive services from Troy O’Callaghan CPA.
Any index performance data appearing or referenced on the Website has been compiled by the respective copyright holders, trademark holders, or publication/distribution right owners of each index for comparison purposes only. Bogart makes no warranty, express or implied, for any decision taken by any party in reliance upon such indices. Investors cannot invest directly in an index.
Certain portions of the Website (e.g. newsletters, articles, videos, audio files, commentaries, indexes, etc.) may contain a discussion of, and/or provide access to Bogart’s (and those of other investment and non-investment professionals) positions and/or recommendations as of a specific prior date. Due to various factors, including changing market conditions, such discussion may no longer be reflective of current position(s) and/or recommendation(s). While information presented is believed to be factual and up-to-date, Bogart does not guarantee its accuracy and it should not be regarded as a complete analysis of the subjects discussed. All expressions of opinion reflect the judgment of the authors as of the date of publication and are subject to change. No User should assume that any such discussion serves as the receipt of, or a substitute for, personalized advice from Bogart or from any other investment professional. Bogart is neither a law firm nor accounting firm. Any tax and estate planning information provided is general in nature, which is provided for informational purposes only, and should not be construed as legal or tax advice. Users, clients, and prospective clients should consult an attorney or tax professional regarding their specific legal or tax situation. Users should not use any Website content as the sole basis for any investment decisions. Rather, a professional advisor should be consulted and/or independent due diligence should be conducted before implementing any of the options referenced in the Website content.
Photos and images on this Website are not past or present clients of Bogart. These photos should not be construed as an endorsement of Bogart or its representatives by any client.
Certified Financial Planner Board of Standards Inc. owns the certification marks CFP®, Certified Financial Planner™ and federally registered CFP (with flame design) in the U.S., which it awards to individuals who successfully complete CFP Board’s initial and ongoing certification requirements.
With respect to references on this Website or in other Bogart publications to “The Financial Times 300 Top Registered Investment Advisers,” which is provided to the best of Bogart’s knowledge: “FT” and “Financial Times” are trademarks of The Financial Times Ltd. (“FT”). The Financial Times “300 Top Registered Investment Advisers” is an independent listing (“The FT 300”) produced annually. FT is not affiliated with Bogart. The FT 300 is presented as “an elite group,” not a competitive ranking of one to 300. Bogart applied for consideration, and the result was independently granted. The results are not based upon information or opinions of participating advisers’ clients. Therefore, inclusion on The FT 300 is not representative of participating RIAs’ clients’ experiences. Applicants are graded on six factors: assets under management (“AUM”); AUM growth rate; years in existence; advanced industry credentials of the firm’s advisers; online accessibility; and compliance records. By considering the “SEC compliance record,” eligibility to appear on The FT 300, FT seeks to ensure that a participating RIA has an established and significant history and record free from regulatory sanctions. The FT caps the number of companies from any one state. The cap is roughly based on the distribution of millionaires across the United States. The FT 300 is based on data gathered from RIAs, regulatory disclosures, FT’s research, and/or research conducted on FT’s behalf by “Ignites Distribution Research,” a subsidiary of FT that provides business intelligence on the asset management industry. As of 2018: the FT 300 represents RIAs with an “average” practice experience of over 22 years and managing $4 billion in assets; and the FT 300 Top RIAs hail from 38 states and Washington, D.C. FT indicates that the methodology used to evaluate inclusion on The FT 300 is quantifiable and objective, and that the participating RIAs had no subjective input in the analysis. FT does not include RIAs on The FT 300 if the ratings are not statistically valid with respect to any RIA; and there are no facts that would call into question the validity of the inclusion on The FT 300 or the appropriateness of Bogart’s advertising the same. Neither the participating RIAs nor their employees pay a fee to FT in exchange for inclusion in The FT 300. However, Bogart may pay a fee to FT, an affiliate, or an unaffiliated third party in exchange for plaques or article reprints commemorating the designation. While Bogart would pay this fee after receiving the designation and not as a condition precedent to receiving it, the fact that Bogart pays any fee with respect to its receipt of the designation should be considered if such designation is a factor in a client or prospective client’s evaluation of whether to initially to engage or continue to engage Bogart for investment advisory services. Inclusion on The FT 300 is not indicative of Bogart’s future performance, or any future performance pertaining to its clients’ investments; should not be construed by a client or prospective client as a guarantee that they will experience a certain level of results if Bogart is engaged, or continues to be engaged to provide investment advisory services; and should not be construed as a current or past endorsement of Bogart by any of its clients. Other information about The FT 300 list is available here: https://www.ft.com/content/a07f2b38-4d54-11e8-97e4-13afc22d86d4.
With respect to references on this Website or in other Bogart publications to the 2018 “Forbes – Top Next-Gen Wealth Advisors,” which is provided to the best of Bogart’s knowledge: “Forbes” is a registered mark of Forbes LLC. Bogart is not affiliated with Forbes. Data for the Forbes “Top Next-Gen Wealth Advisors” is developed by “SHOOK Research,” which contacts entities in the financial services industry (such as: banks, brokerages, custodians, insurance companies, clearing houses and others) for nominations. SHOOK Research accepts Advisors who meet pre-determined minimum thresholds and acceptable compliance records. SHOOK Research accepted nominations on behalf of advisors born in 1980 or more recently from three types of practitioners: “Type 1” Advisors who have built and lead their own teams; “Type 2” Advisors who have joined teams of specialists, and are acting in an advisor-type role (planners, analysts, relationship managers, etc.); and “Type 3 Advisors,” who are hybrids of Type 1 and Type 2 Advisors.
Each advisor considered for the award was nominated by their respective firm, then vetted and ranked by SHOOK Research. Bogart applied for consideration, and the result was independently granted. The Forbes “Top Next-Gen Wealth Advisors” ranking is based on an algorithm of qualitative criteria and quantitative data. The qualitative due diligence examines best practices such as client service models, investing process, business types, leveraging a team and firm resources, experience levels, and credentials. The quantitative due diligence includes evaluation of factors such as assets under management, compliance records and industry experience. For Type 1 Advisors, SHOOK Research the numbers we evaluate represent his or her team, or contribution if partners exist; for Type 2 Advisors on teams, we examine the team numbers and project how the Advisor could potentially fit on the team in the future.
Portfolio performance is not a criterion due to varying client objectives and lack of audited data. The results are not based upon information or opinions of participating advisors’ clients. Therefore, inclusion on the list is not representative of clients’ experiences.
In developing its applicant pools for “Top Next-Gen Wealth Advisors,” SHOOK Research sets thresholds to limit nominations for consideration. As of July 2018, Forbes and SHOOK Research received 23,862 nominations (based on SHOOK Research thresholds), invited 6,988 candidates to complete the online survey, conducted 5,430 telephone interviews, and conducted 1,351 in-person interviews at the Advisor’s location. Forbes recognized a total of 1,000 wealth advisors in 2018 in which James Bogart was ranked #89.
Neither Forbes nor SHOOK Research receive a fee or require membership in exchange for rankings. Accordingly, neither Bogart, James Bogart, nor any other participating advisors paid a fee to be eligible for the “Top Next-Gen Wealth Advisors” rankings. However, Bogart may pay a fee in exchange for plaques, logo licensing, or article reprints commemorating the designation. While Bogart would pay this fee after receiving the designation and not as a condition precedent to receiving it, the fact that Bogart pays any fee with respect to its receipt of the designation should be considered if such designation is a factor in a client or prospective client’s evaluation of whether to initially to engage or continue to engage Bogart for investment advisory services. Based on its stated methodology, SHOOK Research does not name advisors if the ratings are not statistically valid; and there are no facts that would call into question the validity of the inclusion on the “Top Next-Gen Wealth Advisors” rankings or the appropriateness of Bogart advertising the same. By considering the compliance record, eligibility to appear on the rankings seeks to ensure that a participating advisor has an established and significant history and record free from regulatory sanctions. Bogart is unaware of any undisclosed facts that could potentially invalidate the appropriateness of the above ranking. By virtue of disclosing the ranking, Bogart is disclosing favorable ratings (to the extent that Mr. Bogart is ranked above other advisors) and unfavorable ratings (to the extent that Mr. Bogart is ranked below other advisors. The ranking may not be representative of any one client’s experience because of the way in which it is calculated. The ranking is absolutely not indicative of Bogart’s and its advisors’ future performance, or any future performance pertaining to its clients’ investments, nor should it be construed as a current or past endorsement by any of its clients. Additional information regarding the above ranking for 2018 is available at the following links: