| 1. |
Will I retain control of my assets and where will they be held? |
| 2. |
What is the size of your firm and how many clients do you have? |
| 3. |
How often will we meet, and will a written summary of each meeting be prepared for me? |
| 4. |
Describe your typical client. |
| 5. |
What is your investment philosophy? |
| 6. |
What would my portfolio look like if you were managing it? |
| 7. |
How are you compensated for the service you provide? |
| 8. |
How are your fees calculated? |
| 9. |
How much can I expect to pay for your service? |
| 10. |
With whom will I be working? |
| 11. |
What kind of return should I expect on my investments? |
| 12. |
Would you refer me to an attorney, CPA, insurance, or real estate agent if I needed one? Would you receive any compensation for these referrals? |
| 13. |
How often will you review my portfolio? |
| 14. |
What kind of communication can I expect from you on an ongoing basis? |
| 15. |
May I review samples of materials you give your clients? |
| 16. |
What is the educational, professional background, and experience of the people with whom I will be working? |
| 17. |
Will you have discretion to act without my approval? |
| 18. |
What services beyond that of investment management will you provide to me? |
| 19. |
How will you coordinate your work with my attorney and accountant? |
| 20. |
| Do you offer advice on the following: |
| _____ |
Goal Setting |
| _____ |
Cash Management and Budgeting |
| _____ |
Tax Planning |
| _____ |
Investment Management |
| _____ |
Estate Planning |
| _____ |
Insurance Needs in the Area of Life, Disability, Long-Term Care, Health, Property/Casualty, Liability |
| _____ |
Education Funding |
| _____ |
Retirement Planning |
| _____ |
Alternative Investments |
| _____ |
Medicare Part “D” Prescription Drug Coverage Analysis |
|
| 21. |
What has been the portfolio performance of one of your clients who has a financial situation similar to mine? |
| 22. |
What sets you apart from your competitors? |