Investments and fund research Survey

Question Title

1. What is your role? (Required.)

Financial Adviser / Planner

Para Planner

Investment Research

Other (please specify)

Question Title

2. Does your firm give independent or restricted advice? (Required.)

Other - please state in box below

Independent

Restricted

Other (please specify)

Question Title

3. Are you directly authorised or in a network? (Required.)

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? (Required.)

National Adviser Firm

Regional Adviser Firm

Local

Not applicable

Other (please specify)

Question Title

5. How many advisers are there in your firm? (Required.)

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? (Required.)

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 ? (Required.)

We have developed a Centralised Investment Proposition

We construct our solution for each client selecting funds / solutions to meet client needs

Other (please specify)

Question Title

8. Which of these approaches do you mainly use? (Required.)

Model Portfolios

Individual adviser fund selection

DFMs

Internal portfolio construction and management

Multi Asset Funds

Other (please specify)

Question Title

9. For these different approaches to investments what trends do you see? (Required.)

	Use more	Use about the same	Use less	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
DFMs	DFMs Use more	DFMs Use about the same	DFMs Use less	DFMs 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
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
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

Any comments on trends?

Question Title

10. Which of these research services do you use most often? (Required.)

	Never use	Sometimes use	Use regularly	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
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
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
ARC	ARC Never use	ARC Sometimes use	ARC Use regularly	ARC 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
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

If you use other research services please state

Question Title

11. How often do you review your use of research companies? (Required.)

Once a year

Every six months

No set frequency - we review when we have cause to

Quarterly

Other (please specify)

Question Title

12. If you have an investment committee, is it? (Required.)

Not applicable

In house but with external expert resource

External - eg a DFM

100% own resource

Other (please specify)

Question Title

13. If you use external / third party solutions eg DFM - how important are the following? (Required.)

	Very important	Important	Unimportant	Very unimportant	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
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
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
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
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 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

If there are other service related factors please state

Question Title

14. Which of these risk assessment tools do you use? (Required.)

Morningstar

Finemetrica

EValue

Distribution Technology

In house - questionnaire tools

Other (please specify)

Question Title

15. How often do you review your use of risk assessment tools? (Required.)

Every six months

Once a year

Quarterly

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

Question Title

* 1. What is your role? (Required.)

Question Title

* 2. Does your firm give independent or restricted advice? (Required.)

Question Title

* 3. Are you directly authorised or in a network? (Required.)

Question Title

* 4. If Directly Authorised are you? (Required.)

Question Title

* 5. How many advisers are there in your firm? (Required.)

Question Title

* 6. Which of the following do you most agree with? (Required.)

Question Title

* 7. How would you describe your approach to investments ? (Required.)

Question Title

* 8. Which of these approaches do you mainly use? (Required.)

Question Title

* 9. For these different approaches to investments what trends do you see? (Required.)

Question Title

* 10. Which of these research services do you use most often? (Required.)

Question Title

* 11. How often do you review your use of research companies? (Required.)

Question Title

* 12. If you have an investment committee, is it? (Required.)

Question Title

* 13. If you use external / third party solutions eg DFM - how important are the following? (Required.)

Question Title

* 14. Which of these risk assessment tools do you use? (Required.)

Question Title

* 15. How often do you review your use of risk assessment tools? (Required.)

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 ?

1. What is your role? (Required.)

2. Does your firm give independent or restricted advice? (Required.)

3. Are you directly authorised or in a network? (Required.)

4. If Directly Authorised are you? (Required.)

5. How many advisers are there in your firm? (Required.)

6. Which of the following do you most agree with? (Required.)

7. How would you describe your approach to investments ? (Required.)

8. Which of these approaches do you mainly use? (Required.)

9. For these different approaches to investments what trends do you see? (Required.)

10. Which of these research services do you use most often? (Required.)

11. How often do you review your use of research companies? (Required.)

12. If you have an investment committee, is it? (Required.)

13. If you use external / third party solutions eg DFM - how important are the following? (Required.)

14. Which of these risk assessment tools do you use? (Required.)

15. How often do you review your use of risk assessment tools? (Required.)

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 ?