View All Questions and Graphs
From this page, users can access every question and any graph pertaining to any question which has been answered.
To view graphs, press on the view graphs buttons below which pertain to the questions that interest you.
To review your answers or return to any questions which you skipped, click on the appropriate question below.
Business Background & Industry Position
Business Tenure
Question # 1
We want to understand how your career and business has evolved. What year were you born? What year did your firm become an RIA? What year did you start or join your current business? And what year did you start using your current custodian?
Birth Year
Started or Joined Current Business
Firm Became an RIA
Started Using Current Custodian
Licenses & Designations
Question # 2
Which of the following licenses or designations do you hold? Please check all that apply. If you hold none of these licenses and designations, please check None.
Designations
Accredited Asset Management Specialist (AAMS)
Accredited Estate Planner (AEP)
Certified Divorce Planner (CDP)
Certified Employee Benefit Specialist (CEBS)
Certified Estate Advisor (CEA)
Certified Financial Planner (CFP)
Certified Fund Specialist (CFS)
Certified in Long-Term Care (CLTC)
Certified IRA Services Professional (CISP)
Certified Public Accountant (CPA)
Certified Public Accountant/PFS (CPA/PFS)
Certified Retirement Specialists (CRS)
Certified Senior Advisor (CSA)
Certified Trust and Financial Advisor (CTFA)
Chartered Financial Analyst (CFA)
Chartered Financial Consultant (ChFC)
Chartered Investment Management Analyst (CIMA)
Chartered Investment Management Consultant (CIMC)
Chartered Life Underwriter (CLU)
Chartered Mutual Fund Counselor (CMFC)
Chartered Retirement Plans Specialist (CRPS)
Enrolled Agent (EA)
Estate Planning Law Specialist (EPLS)
Real Estate Broker
Registered Employee Benefits Consultant (REBC)
Registered Financial Consultant (RFC)
SEC RIA License (Firm Designation)
State Insurance Licenses
State RIA License (Firm Designation)
Other Designation
Advanced Degrees
JD
LLM
MBA
MS Taxation
PhD
Other Degree
NASD Licenses
Series 2
Series 3
Series 4
Series 6
Series 7
Series 8
Series 22
Series 24
Series 26
Series 27
Series 53
Series 62
Series 63
Series 65
Series 66
Other License
None
Prior Occupation
Question # 3
What was your occupation immediately prior to becoming a fee-only financial advisor? Please mark only one.
Banking/Trust Officer
Corporate CFO/Treasurer
CPA/Tax Professional
Engineer
Entrepreneur/Small Business Owner
Financial Planner (Captive)
Independent Rep (Accepting Commissions)
Institutional Sales & Trading
Insurance Agent (Captive)
Insurance Agent (Independent)
Investment Banking
Investment Research Analysis
Law
Military
Mutual Funds/Annuities Company
Non-Financial Sales
Pension Consultant/Administrator
Professor/Teacher
Real Estate Agent
Retail Sales Manager
Stockbroker (Captive)
Student/College
Other
Conferences Attended
Question # 4
We want to understand what conferences you attend and find valuable. Please rate each of the conferences that you attend on a scale of 1-10 (10 = highest) based on the value they add to your business. If you attend none of these conferences, please check None.
Advent
AICPA
AICPA/PFS
AIMR
Centerpiece (PTI)
Envestnet PMC
Fidelity Institutional
Financial Advisor Magazine
First Trust/Datalynx
FPA
Gear-Up Tax Seminars
IMA
IMCA (include former ICIMC)
IRS
Lockwood University
Million Dollar Roundtable
Morningstar
NAEA
NAIFA (Formerly ACLU)
NAPFA
NATP
NCPE
NSTP
NTSAA
SAAFTI
Schwab Explore
Schwab Impact
SFP (Formerly CLUA)
State CPA Societies
TD Waterhouse
Broker/Dealer Annual Sales/Education Conferences
Broker/Dealer Top Producers Trips
Broker/Dealer Regional Forums
Mutual Fund Company Due Diligence Trips
Other
None
Publications Read & Web Sites Visited
Question # 5
We want to understand which publications or web sites you read or visit and enjoy. Please rate each you read or visit on a scale of 1-10 (10 = highest) based on the extent to which they help you with your business. If you read none of these publications or visit none of these web sites, please check None.
Publications
Accounting Technology
Accounting Today
Asset Manager
Barron's
Bloomberg Wealth Manager
Business Week
CCH Tax Letter
CPA Journal, The
CSEA Journal
Economist, The
Financial Advisor
Financial Analysts Journal
Financial Planning
Financial Times
Forbes
Fortune
Individual Investor
Inside Information
Investment Advisor
Investment News
Investors Business Daily
Journal of Accountancy
Journal of Financial Planning
Journal of Portfolio Management
Kiplinger's
Money
Mutual Funds Magazine
National EA Journal
NATP Journal
New York Times
On Wall Street
Pension & Investments
Practical Accountant
Registered Representative
Research
Rukeyser's Journals
Senior Consultant
Smart Money
Stocks & Commodities
Tax Hotline News
Technology Investor
Ticker
Today's CPA
Wall Street Journal
Wall Street Transcript
Worth
Broker/Dealer Magazine or Newsletter
Other Publication
Use No Publication
Web Sites
AOL
Bloomberg
CBS MarketWatch & Big Charts
CNBC
CNNFN
Fidelity Investments
Financial Planning Magazine
FPA
Investors Business Daily
Investment Advisor Magazine
Lipper
Microsoft Money Central
Morningstar Advisor
Motley Fool
Quicken
Schwab Institutional
Smart Money
The Street.Com
Wall Street Journal
Yahoo Finance!
Independent Broker/Dealer Web Site
Mutual Fund Company Web Site
Other Web Site
Use No Web Site
Clients & Marketing Strategies
Client Segments Served
Question # 6
Below is the list of market segments that financial advisors commonly focus upon. Please indicate the percentage of your clients which have come from each segment. Please be certain that the percentages add to 100%.
Sub-Moderate Net Worth Households (Less than $100,000 of Investable Assets)
%
Moderate Net Worth Households ($100,000-$1 Million of Investable Assets)
%
High Net Worth Households ($1-$5 Million of Investable Assets)
%
Ultra Affluent Households ($5 Million+ of Investable Assets)
%
Defined Contribution Plans (e.g., 401K Plans)
%
Other Institutional Accounts (DB Plans, etc.)
%
Other Clients
%
Total Number of Clients
%
Sources of Clients' Assets
Question # 7
What do you think is the most common source of new money your prospects and clients invest with you? Please allocate the source of the money clients invest with you. Please be sure the percentages add to 100%.
New Money
Bonus Payments at Work
%
Court Settlements
%
Divorce Settlements
%
Inheritances
%
Insurance Settlement Proceeds
%
IPOs
%
Periodic Investments From Earnings
%
Retirement Plan Rollovers
%
Sales of Businesses
%
Sales of Properties
%
Stock Options
%
Other New Money
%
Existing Money
Moved From Bank
%
Moved From Discount Broker or Mutual Fund Company Direct
%
Moved From Other Fee-Only Financial Advisor
%
Moved From Full-Service Broker
%
Moved From Independent Rep
%
Other Existing Money
%
Total
%
Marketing Methods
Question # 8
We want to understand which marketing methods are most effective in your practice. Please allocate the source of your new clients' assets. Please be sure that the percentages add to 100%.
