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Get Started
What We Ask
Contact

Advisor Questionnaire

Advisor Questionnaire

Important Privacy Information: The information and answers you provide on the AdvisorFit questionnaire are emailed directly to the prospect who has expressed an interest in your services. Your completed questionnaire is never displayed online or retained by AdvisorFit. Once the completed questionnaire is emailed to the prospective client, we delete your data.

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Prospect Email, Hidden Field
Name*
First Last
Company Name*
Website Address*
Email Address*
Address
Street Address Address Line 2 City State ZIP Code

Professional Background
Are you a representative of or associated with:*
- Registered Investment Advisor (RIA)
- Investment Advisor Representative (IAR)
- Registered Representative of a Broker Dealer (BD) firm
- Licensed insurance agent/broker
- None of the above
Check all that apply
Which of the following designations do you have:*
- Certified Financial Planner™ (CFP®)
- Chartered Financial Analyst (CFA)
- Certified Investment Management Analyst (CIMA)
- Certified Public Accountant (CPA)
- Personal Financial Specialist (PFS)
- Enrolled Agent (EA)
- Chartered Life Underwriter (CLU)
- Chartered Financial Consultant (ChFC)
- Other
Check all that apply
Please specify other designation
What is the highest education degree you have earned?*
Major*
Specify Master's degree*
Specify Doctorate degree*

Professional Experience
How many years have you been in the investment advisory business?*
How long have you been a financial planner?*
In which areas will you provide advice and service:*
- Financial planning
- Investment management
- Tax planning
- Estate planning
- Cash-flow planning
- Retirement planning
- Insurance planning
- Asset protection
Which three areas do you feel you are most qualified in: (Select up to three options)*
- Alternative or private investments
- Cash flow/budgets/credit issues
- Charitable giving - trusts & foundations
- College/Education planning
- Company sponsored retirement plan advice
- Comprehensive personal financial planning
- Divorce planning
- Estate & generational planning issues
- Financial psychology/coaching
- Insurance-related issues, including annuities
- Investment management
- Real estate investments
- Sudden wealth planning
- Retirement planning & distribution rules
- Socially responsible investments
- Tax planning
- Other
Please explain
Provide an explanation of your expertise in these areas*
Are you a fiduciary to your clients at all times?*
- Yes
- No
What distinguishes you from other financial advisors?*
What investment or planning advice you provided a client are you most proud of?*
What is a good description of your typical ideal client? What characteristics does the client have?*
Do you provide a written agreement that details the services that will be provided, as well as the fees, in advance of an engagement?*
- Yes
- No

Firm Information
If you work for a large firm, answer these "Firm" questions as they apply to you individually or your group within the larger firm.
How many people are there in your firm?*
- 1-2
- 3-10
- 10-25
- 25+
Will I be working directly with you or are there other advisors and/or support staff I will be working with as well?*
- Just Me
- Me and Others
Please include their credentials and certifications*
We suggest entering a website address where the prospective client can read about the other people in your firm
How much does your firm have in assets under management?*
Do you have minimums for assets, account size, or annual fees paid?*
- Yes
- No
Please explain
Do you or a related party have an ownership or financial interest in the entity that houses my account?*
- Yes
- No
In which of the following do you or the firm you work for have ownership and/or a financial interest:*
- Broker Dealer
- Custodian
- Clearing Agent
- None of the above
Will I receive account statements on my accounts from an independent third-party custodian that is in no way associated, controlled, managed, or owned by you, a related party, or the firm you work for?*
- Yes
- No

Compensation
What are the sources of your compensation:*
- Fees directly from clients (e.g., flat fees, hourly fees, asset under management fee)
- Commissions from investments (e.g., 12-(b)(1) fees, loads, finder’s fees, placement fees, etc.)
- Commissions from insurance products (e.g., life insurance, annuities)
- Referrals fees
- Bonuses, rewards, prizes from your firm for sales goals
Do you recommend funds with front or back-end loads?*
- Yes
- No
Do you charge separately for your financial planning service and your portfolio management service?*
- Yes
- No
How much do you charge for a typical financial plan?*
For a typical client with $1 million of investable assets, approximately how much would you charge?*
If applicable, please provide a current fee schedule for your services

Investment Management & Financial Planning
Which types of investments do you typically recommend:*
- Individual stocks
- Individual bonds
- Mutual funds / ETFs
- Annuities
- REITs
- Limited partnerships
- Options
- Futures
What investment style or methodology do you typically employ?*
How do you choose and evaluate investments?*
What are your sources of information on performance and risk?*
Do you have a preference for active or passive management?*
Will you provide investment advice on all of my assets even if you don’t manage them directly (e.g. 401k)?*
- Yes
- No
Will you provide consolidated reporting on these assets as well?*
- Yes
- No
Do you advise on insurance matters, taxes, retirement planning, etc.? Do you help implement (e.g., buy insurance, prepare tax returns)? Please explain the extent of your financial planning advice and implementation.*

Regulatory/Criminal Background
Are you currently charged with or have you ever been convicted of a felony?*
- Yes
- No
Please Explain
Have you ever been fined, censured, or suspended from any regulatory body?*
- Yes
- No
Please Explain
Have you ever had a professional license suspended or revoked?*
- Yes
- No
Please Explain
Have you, or any organization over which you have exercised control, ever been the subject of a governmental agency or self-regulatory inquiry or investigation (other than a routine audit)?*
- Yes
- No
Please Explain
Have you ever been terminated for cause or permitted to resign in lieu of discipline when the cause of the termination or resignation involved allegations relating to compliance, honesty or ethical considerations?*
- Yes
- No
Please Explain
Have you ever been or are you currently the subject of a written complaint that led to an investigation by an employer or other entity?*
- Yes
- No
Please Explain
Have you, or an organization in which you had material participation, ever filed a petition for bankruptcy?*
- Yes
- No
Please Explain
Are you currently charged with or have you been convicted of a misdemeanor (other than minor traffic violations) within the last five years?*
- Yes
- No
Please Explain
Relationship Management
How frequently would we meet or speak on the phone?*
On average, how quickly do you return phone calls and emails?*
How many clients do you have?*
Final Thoughts
Please tell us anything else you think I should know about working with you.*
By checking the box, I understand and agree with the Terms and Conditions*
- Yes
Click here to read the Terms and Conditions in a new window.

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