What is your client profile?
Do clients have separate accounts or are assets co-mingled?
Who is the custodian of client assets?
Do you adhere to a fiduciary standard?
How is your firm regulated?
How is your firm compensated?
What type of investments do you own in your strategies?
What reporting do I receive?
How much paperwork is required?
How do the firm’s principals invest their money?
Who directs trades in the account?
Do you customize portfolios?
Do you buy individually-purchased securities or mutual funds?
Who answers the phone when I call?
With whom do clients meet and how often?
What credentials are held by your employees?
What is the Chartered Financial Analyst® (CFA®) designation?
What is the Certified Financial Planner™ (CFP®) designation?
What is the Certified Private Wealth Advisor® (CPWA®) designation?
Does your firm provide services other than investment management?
Does your firm have CPAs or attorneys on staff?
Does your firm sell insurance?