Investments and fund research Question Title * 1. What is your role? Financial Adviser / Planner Para Planner Investment Research Other (please specify) Question Title * 2. Does your firm give independent or restricted advice? Independent Other - please state in box below Restricted Other (please specify) Question Title * 3. Are you directly authorised or in a network? Directly Authorised In a Network ( if so which one, please state in box below ) If you are in a Network please specify which one Question Title * 4. If Directly Authorised are you? National Adviser Firm Regional Adviser Firm Local Not applicable Other (please specify) Question Title * 5. How many advisers are there in your firm? 1-3 4-10 11- 20 21- 50 50- 100 More than 100 Question Title * 6. Which of the following do you most agree with? We are financial planners- investments is just one part of the client solution My clients' portfolios are the core of the service I offer Question Title * 7. How would you describe your approach to investments ? We construct our solution for each client selecting funds / solutions to meet client needs We have developed a Centralised Investment Proposition Other (please specify) Question Title * 8. Which of these approaches do you mainly use? Internal portfolio construction and management Individual adviser fund selection DFMs Model Portfolios Multi Asset Funds Other (please specify) Question Title * 9. For these different approaches to investments what trends do you see? Use more Use about the same Use less Not applicable - don't use this approach Individual adviser fund selection Individual adviser fund selection Use more Individual adviser fund selection Use about the same Individual adviser fund selection Use less Individual adviser fund selection Not applicable - don't use this approach Model Potfolios Model Potfolios Use more Model Potfolios Use about the same Model Potfolios Use less Model Potfolios Not applicable - don't use this approach Internal Portfolio Construction ( at firm level ) Internal Portfolio Construction ( at firm level ) Use more Internal Portfolio Construction ( at firm level ) Use about the same Internal Portfolio Construction ( at firm level ) Use less Internal Portfolio Construction ( at firm level ) Not applicable - don't use this approach Multi Asset Funds Multi Asset Funds Use more Multi Asset Funds Use about the same Multi Asset Funds Use less Multi Asset Funds Not applicable - don't use this approach DFMs DFMs Use more DFMs Use about the same DFMs Use less DFMs Not applicable - don't use this approach Any comments on trends? Question Title * 10. Which of these research services do you use most often? Never use Sometimes use Use regularly Use in all cases Distribution Technology - Dynamic Planner Distribution Technology - Dynamic Planner Never use Distribution Technology - Dynamic Planner Sometimes use Distribution Technology - Dynamic Planner Use regularly Distribution Technology - Dynamic Planner Use in all cases Morningstar / OBSR Morningstar / OBSR Never use Morningstar / OBSR Sometimes use Morningstar / OBSR Use regularly Morningstar / OBSR Use in all cases Defaqto Fund Ratings Defaqto Fund Ratings Never use Defaqto Fund Ratings Sometimes use Defaqto Fund Ratings Use regularly Defaqto Fund Ratings Use in all cases Rayner Spencer Mills RSMR Rayner Spencer Mills RSMR Never use Rayner Spencer Mills RSMR Sometimes use Rayner Spencer Mills RSMR Use regularly Rayner Spencer Mills RSMR Use in all cases Square Mile Research Square Mile Research Never use Square Mile Research Sometimes use Square Mile Research Use regularly Square Mile Research Use in all cases FE ( Trustnet ) FE ( Trustnet ) Never use FE ( Trustnet ) Sometimes use FE ( Trustnet ) Use regularly FE ( Trustnet ) Use in all cases ARC ARC Never use ARC Sometimes use ARC Use regularly ARC Use in all cases Russell Investment Research Russell Investment Research Never use Russell Investment Research Sometimes use Russell Investment Research Use regularly Russell Investment Research Use in all cases If you use other research services please state Question Title * 11. How often do you review your use of research companies? No set frequency - we review when we have cause to Quarterly Every six months Once a year Other (please specify) Question Title * 12. If you have an investment committee, is it? In house but with external expert resource 100% own resource External - eg a DFM Not applicable Other (please specify) Question Title * 13. If you use external / third party solutions eg DFM - how important are the following? Very important Important Unimportant Very unimportant Not applicable Access to a local office Access to a local office Very important Access to a local office Important Access to a local office Unimportant Access to a local office Very unimportant Access to a local office Not applicable Direct access to person making investment decisions Direct access to person making investment decisions Very important Direct access to person making investment decisions Important Direct access to person making investment decisions Unimportant Direct access to person making investment decisions Very unimportant Direct access to person making investment decisions Not applicable Availability of investment managers for client meetings Availability of investment managers for client meetings Very important Availability of investment managers for client meetings Important Availability of investment managers for client meetings Unimportant Availability of investment managers for client meetings Very unimportant Availability of investment managers for client meetings Not applicable Access via a platform Access via a platform Very important Access via a platform Important Access via a platform Unimportant Access via a platform Very unimportant Access via a platform Not applicable Availability of tailored/ bespoke portfolios Availability of tailored/ bespoke portfolios Very important Availability of tailored/ bespoke portfolios Important Availability of tailored/ bespoke portfolios Unimportant Availability of tailored/ bespoke portfolios Very unimportant Availability of tailored/ bespoke portfolios Not applicable Standardised model portfolios Standardised model portfolios Very important Standardised model portfolios Important Standardised model portfolios Unimportant Standardised model portfolios Very unimportant Standardised model portfolios Not applicable If there are other service related factors please state Question Title * 14. Which of these risk assessment tools do you use? FE Finemetrica Morningstar In house - questionnaire tools EValue Distribution Technology Other (please specify) Question Title * 15. How often do you review your use of risk assessment tools? Every six months Quarterly Once a year No set frequency - we review when we have cause to Other (please specify) Question Title * 16. So we can send you our summary report and enter you in our £100 Amazon Vouchers prize draw please can you let us have your name, company and email address ? Name and Company E Mail Next
