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. Step 1 of 7 14% Prospect Email, Hidden Field Name* First Last Company Name*Website Address* Email Address* Address Street Address Address Line 2 City AlabamaAlaskaArizonaArkansasCaliforniaColoradoConnecticutDelawareDistrict of ColumbiaFloridaGeorgiaHawaiiIdahoIllinoisIndianaIowaKansasKentuckyLouisianaMaineMarylandMassachusettsMichiganMinnesotaMississippiMissouriMontanaNebraskaNevadaNew HampshireNew JerseyNew MexicoNew YorkNorth CarolinaNorth DakotaOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVermontVirginiaWashingtonWest VirginiaWisconsinWyomingArmed Forces AmericasArmed Forces EuropeArmed Forces Pacific State ZIP Code Professional BackgroundAre 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 applyWhich 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 applyPlease specify other designationWhat is the highest education degree you have earned?*High school diplomaAssociate’s degreeBachelor’s degreeMaster’s degreeDoctorate degreeMajor*Specify Master's degree*Specify Doctorate degree* Professional ExperienceHow many years have you been in the investment advisory business?*Less than 1 year1-5 years6-10 years11-15 years16-20 yearsGreater than 20 yearsHow long have you been a financial planner?*Less than 1 year1-5 years5-10 years10-20 yearsGreater than 20 yearsIn 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 explainProvide an explanation of your expertise in these areas*Are you a fiduciary to your clients at all times?*YesNoWhat 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?*YesNo Firm InformationIf 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?*1-23-1010-2525+Will I be working directly with you or are there other advisors and/or support staff I will be working with as well?*Just MeMe and OthersPlease 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?*Not applicable<$25 million$25 million - $50 million$50 million - $100 million$100 million - $1 billion>$1 billionDo you have minimums for assets, account size, or annual fees paid?*YesNoPlease explainDo you or a related party have an ownership or financial interest in the entity that houses my account?*YesNoIn 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?*YesNo CompensationWhat 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?*YesNoDo you charge separately for your financial planning service and your portfolio management service?*YesNoHow much do you charge for a typical financial plan?*No fee<$500$501 - $1,000$1,001 - $2,000$2,001 - $5,000>$5,000For a typical client with $1 million of investable assets, approximately how much would you charge?*1.25%+1% - 1.25%0.90% - 0.99%0.80% - 0.89%<0.80%If applicable, please provide a current fee schedule for your services Investment Management & Financial PlanningWhich 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)?*YesNoWill you provide consolidated reporting on these assets as well?*YesNoDo 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 BackgroundAre you currently charged with or have you ever been convicted of a felony?*YesNoPlease ExplainHave you ever been fined, censured, or suspended from any regulatory body?*YesNoPlease ExplainHave you ever had a professional license suspended or revoked?*YesNoPlease ExplainHave 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)?*YesNoPlease ExplainHave 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?*YesNoPlease ExplainHave you ever been or are you currently the subject of a written complaint that led to an investigation by an employer or other entity?*YesNoPlease ExplainHave you, or an organization in which you had material participation, ever filed a petition for bankruptcy?*YesNoPlease ExplainAre you currently charged with or have you been convicted of a misdemeanor (other than minor traffic violations) within the last five years?*YesNoPlease ExplainRelationship ManagementHow frequently would we meet or speak on the phone?*Once a quarterTwice a yearOnce a yearLess frequently than once a yearOn average, how quickly do you return phone calls and emails?*Less than 5 hours5-10 hours11-24 hours24 hours or moreHow many clients do you have?*Less than 2020-5051-100101-250250 or moreFinal ThoughtsPlease 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.
