1.When working with a broker-dealer, how important is each of the following factors to you? (Please rate on a scale of 1 to 5, where 1 = Not important and 5 = Extremely important.)

1 (not important)

2

3

4

5 (extremely important)

Transparent economics and competitive payouts

1 (not important)

2

3

4

5 (extremely important)

Operational and compliance support that works

1 (not important)

2

3

4

5 (extremely important)

Flexibility and autonomy

1 (not important)

2

3

4

5 (extremely important)

Integrated, easy-to-use technology

1 (not important)

2

3

4

5 (extremely important)

Transition and growth support

1 (not important)

2

3

4

5 (extremely important)

Access to products – open platform and investment choice

1 (not important)

2

3

4

5 (extremely important)