1. Survey Information

After providing your contact info (we do need to know who you are and where you are),continue with the questionnaire. This is the info we need to begin your Two Year Marketing Plan.

* 1. Please provide the following information.

* 2. Who is your broker/dealer? (IF RIA, just enter RIA.)

* 3. Gross Revenue

* 4. Current Assets Under Management (AUM)

* 5. Total # of HH (Households, not Accounts)

* 6. Total new assets last 12 months, all sources.

* 7. What effect do you expect the market to have on your portfolios in the next 12 months? Please express your estimate as something like: +10% or -15%.

* 8. How many new assets have you brought in from new clients in the last 12 months?

* 9. How many new client relationships have you opened from some source OTHER THAN referrals?

* 10. How many new client relationships have you opened in the last 12 months?

* 11. Revenue from fees

* 12. Average fee charged (Enter your answer as 1.5% or whatever)

* 13. Revenue from trails

* 14. Average bps from trails (Something like 25 bps)

* 15. What percentage of new assets brought in from today forward should be fee-based? (40%, 20%, etc.)

* 16. What average commission percent will you charge on commission-based assets? (4%, 5%, etc.)

Thank you very much.  We will contact you shortly.

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