Important Disclosure Information

CliftonLarsonAllen Wealth Advisors, LLC (“CLA Wealth Advisors”) is an SEC Registered Investment Advisor located in Minneapolis, Minnesota with offices in many other states. CLA Wealth Advisors and its representatives are in compliance with the current filing requirements imposed upon SEC Registered Investment Advisors by those states in which CLA Wealth Advisors has a place of business or maintains clients. CLA Wealth Advisors may only transact business in those states in which it is registered, or qualifies for an exemption or exclusion from registration requirements. CLA Wealth Advisors’ website is limited to the dissemination of general information pertaining to its advisory services, together with access to additional investment-related information, publications, and links. Accordingly, the publication of CLA Wealth Advisors’ website on the Internet should not be construed by any consumer and/or prospective client as CLA Wealth Advisors’ solicitation to effect, or attempt to effect transactions in securities, or the rendering of personalized investment advice for compensation, over the Internet. Any subsequent, direct communication by CLA Wealth Advisors with a prospective client shall be conducted by a representative who is either registered or qualifies for an exemption or exclusion from registration in the state where the prospective client resides. For information pertaining to the registration statuses of CLA Wealth Advisors please contact the SEC or the state securities regulators for those states in which CLA Wealth Advisors maintains a notice filing. A copy of CLA Wealth Advisors’ current Form ADV Part 2A (disclosure brochure) discussing CLA Wealth Advisors’ business operations, services, and fees is available on the SEC website at www.sec.gov or from CliftonLarsonAllen upon request. CLA Wealth Advisors 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 CLA Wealth Advisors website or incorporated herein, and takes no responsibility therefore. All such information is provided solely for convenience purposes only and all users thereof should be guided accordingly.

Please remember that 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 CLA Wealth Advisors), will be profitable or equal any historical performance level(s).

CLA Wealth Advisors is also registered with the SEC as a limited purpose broker-dealer. As a broker-dealer, CLA Wealth Advisors is a member of FINRA and SIPC. The broker-dealer offers limited types of securities, primarily shares of open-ended mutual funds and variable insurance contracts. Several representatives in the Minneapolis office are qualified to offer sell-side representations in Merger and Acquisition transactions. The Office of Supervisory Jurisdiction of CLA Wealth Advisors broker-dealer is located at 220 South Sixth Street, Suite 300, Minneapolis, MN 55402 (1-888-925-2926).

Securities may also be offered through a non-affiliated entity: ValMark Securities, Inc., a registered broker-dealer, member of FINRA/SIPC: 130 Springside Drive, Suite 300, Akron, OH 44333-2431 (1-800-765-5201). ValMark Securities, Inc. is a separate entity from all CliftonLarsonAllen companies.

Fixed rate annuities and other non-securities insurance products may be offered through CLA Wealth Advisors’ own insurance agency registered in Minnesota and several other states where it is authorized to conduct business.

Certain portions of CLA Wealth Advisors’ website (i.e. newsletters, articles, commentaries, etc.) may contain a discussion of, and/or provide access to, CLA Wealth Advisors’ (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). Moreover, no client or prospective client should assume that any such discussion serves as the receipt of, or a substitute for, personalized advice from CLA Wealth Advisors or from any other investment professional. CLA Wealth Advisors is neither an attorney nor an accountant, and no portion of the website content should be interpreted as legal, accounting, or tax advice.

To the extent that any client or prospective client utilizes any economic calculator or similar interactive device contained within or linked to CLA Wealth Advisors’ website, the client and/or prospective client 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 CLA Wealth Advisors, or from any other investment professional.

Each client and prospective client agrees, as a condition precedent to his/her/its access to CLA Wealth Advisors’ website, to release and hold harmless CLA Wealth Advisors, its officers, directors, owners, employees, and agents from any and all adverse consequences resulting from any of his/her/its actions and/or omissions, which are independent of his/her/its receipt of personalized individual advice from CLA Wealth Advisors.

CliftonLarsonAllen Wealth Advisors, LLC is registered with the U.S. Securities and Exchange Commission (“SEC”) and the Municipal Securities Rulemaking Board (“MSRB”). As such, CliftonLarsonAllen Wealth Advisors, LLC is subject to the regulations and rules on municipal securities activities established by the SEC and MSRB. The MSRB can be found online at www.msrb.org. On their website, investors have access to educational material about the municipal securities market, as well as an Investor Brochure that describes the protections that may be provided by the MSRB rules and how to file a complaint with an appropriate regulatory authority.

Information about awards and rankings

The CLA Wealth Advisors may, from time-to-time, respond to surveys from sponsoring organizations. In no case does CLA Wealth Advisors pay a fee to be considered for an award or to participate in rankings, including Financial Times and Accounting Today. CLA Wealth Advisors is not required to be a subscriber to such publications or any other group to be included in their rankings or awards.

Accounting Today’s “The Top 150 Firms by AUM” 2020 ranking was assembled using data from Audit Analytics. Submissions were received from over 150 firms. In most cases, firm names are those of the financial planning/advisory subsidiary, not the CPA Firm. Firms were ranked by their total assets under management (“AUM”). The AUM figures were for a variety of dates, but none earlier than year-end 2019. CliftonLarsonAllen Wealth Advisors did not pay a fee to participate in this ranking.

Financial Times “Top 300 RIA Firms” 2020 ranking was assembled using data from Ignites Distribution Research, its affiliate. Of the more than 2000 Registered Investment Advisory (RIA) firms that met a minimum set of eligibility criteria for the list, 760 RIA firms applied for consideration and 300 made the final list. Applicants were 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. There are no fees or other considerations required of RIAs that apply for the FT 300.

These publications and their research firms independently sets their ranking criteria and CLA Wealth Advisors has no influence on the criteria. Rankings and/or recognition by unaffiliated rating services and/or publications are not indicative of a firm’s future performance nor do they evaluate the quality of services provided to clients or guarantee that he/she will experience a certain level of results if CLA Wealth Advisors is engaged, or continues to be engaged, to provide investment advisory services, nor should they be construed as a current or past endorsement of CLA Wealth Advisors by any of its clients.

Tax disclaimers

CLA Wealth Advisors is wholly owned by CliftonLarsonAllen LLP (“CLA LLP”), one of the nation’s top 10 certified public accounting and consulting firms delivering tax, assurance, and advisory services. Certain informational publications and other information prepared by CLA LLP professionals may appear on CLA Wealth Advisors’ website. Any such information contained herein is for general information purposes, and is not intended, and should not be construed, as legal, accounting, investment or tax advice or opinion provided by CLA LLP to the reader. The reader is also cautioned that this material may not be applicable to, or suitable for, the reader’s specific circumstances or needs, and may require consideration of non-tax and other tax factors if any action is to be contemplated. The reader should contact his or her CLA LLP or other tax professional prior to taking any action based upon this information. CLA LLP assumes no obligation to inform the reader of any changes in tax laws or other factors that could affect the information contained herein.

Privacy policy

At CLA Wealth Advisors, we take your privacy very seriously. For more information about how we handle your non-public information that you provide to us, please review our Privacy Policy.

Internet security

As an additional service to you, CLA Wealth Advisors may facilitate access, via Internet, to your accounts at Charles Schwab & Co., other qualified custodians, or through eMoney (commonly and jointly referred to as the “products”). When you use the products, you are logging in to proprietary technology of each respective provider. CLA Wealth Advisors and its related companies are not affiliated with these providers. When you use the products, the privacy of your personal information is covered by terms of CLA Wealth Advisors’ Privacy Policy as described above, and by the privacy policies of each respective provider. You may obtain these privacy policies directly from the provider or from your CLA Wealth Advisor professional.

You are responsible for your own Internet connection, as well as your personal computer’s Internet security (firewalls, spyware, virus protection, etc.) when using the products. CLA Wealth Advisors cannot be responsible for any unauthorized access to your information if it occurs while you use the products from a computer outside of CLA Wealth Advisor’s network.

Business continuity/disaster recovery

In case of a major disruption of our normal business, we have prepared a plan to ensure that we continue to provide you with services. Please review our Business Continuity Plan.

If you have any questions, comments, concerns or wish to report a complaint against any of our professionals, please contact our Corporate Office at 866-733-2487. You can also write to us via email at CLAwealthadvisors@CLAconnect.com, or to the following address:

 

  • CliftonLarsonAllen Wealth Advisors
  • Attention: Chief Compliance Officer
  • 220 South Sixth Street, Suite 300
  • Minneapolis, MN 55402