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Hello & Happy New Year,

My best to you and your family as we begin 2014! May it be a year of good health and happiness for you.

If there is one thing I'm truly grateful for, its the opportunity to serve you as your financial planning and asset management advisor. I continuously strive to improve my financial practice and this year, I wanted to provide a formalized opportunity for clients to share their feedback and opinions.

Your feedback is absolutely critical in knowing where service can be improved upon. If you could please take 8 to 10 minutes to complete this survey, it would be greatly appreciated.

Your participation in this survey is voluntary and your responses are strictly anonymous and confidential. Data from this survey will be reported only in the aggregate.

Thank you very much for your time and support. Please start with the survey now by clicking on the Continue button below. If you have any questions at all, please contact me directly at 314-884-2812.

All the best,

James
 
 
 
How would you classify your personal Investment IQ? That is, how personally knowledgeable are you when it comes to managing the investment allocation within your personal accounts?
 
“I know very little about investing and investments.”
 
“I know a bit about investing, but only enough to have a limited discussion about it.”
 
“I have an average level of understanding investing and my investments.”
 
“I have an above average level of understanding about investing and my investments.”
 
“I consider myself a very knowledgeable investor.”
 
 
 
If asked, how would you classify your personal Financial Planning IQ? That is, how personally knowledgeable are you when it comes to account types, tax planning, cash flow, retirement strategy, financial modeling, etc.?
 
“I know very little about financial planning.”
 
“I know a bit about financial planning, but only enough to have a limited discussion about it.”
 
“I have an average level of understanding in financial planning.”
 
“I have an above average level of understanding about financial planning.”
 
“I consider myself very knowledgeable in financial planning.”
 
 
To what extent are the following statements important to you when you think about your relationship with your Financial Advisor?

Please use a 5-point scale where 1 is not at all important and 5 is critically important.
Not at All ImportantCritically Important
1 2 3 4 5
* Working with an advisor who is trustworthy.
* Working with an advisor who is reliable.
* The accuracy with which my account is handled.
* Returning my calls and e-mails.
* Being comfortable with the level of risk in my plan/portfolio.
* Achieving long-term performance (6+ years) that meets my expectations.
* Working with an advisor who fully understands my goals for the future.
* The speed with which any problems are resolved.
* Working with an advisor who treats me with respect.
* Receiving good value for the fees I pay my advisor.
Not at All ImportantCritically Important
1 2 3 4 5
* Working with an advisor who demonstrates that they value my business.
* Working with an advisor who clearly communicates the level of service I can expect.
* Receiving statements that are clear and easy to understand.
* Working with an advisor who takes a proactive approach to managing my plan / portfolio.
* Working with an advisor who can clearly explain difficult financial concepts.
* Understanding the level of service I can expect from my advisor
* Having access to services that meet all of my financial needs, through my advisor.
* Having a strong personal relationship with my advisor.
* The frequency with which my advisor contacts me.
* Financial advisor to provide you with educational opportunities about the markets.
* Having access, through my advisor, to other professional advisors.
 
 
To what extent are you satisfied with your Financial Advisor when you think about each of the following statements.

Please use a 5-point scale where 1 is not at all important and 5 is critically important.
Strongly DisagreeStrongly Agree
1 2 3 4 5
* Working with an advisor who is trustworthy.
* Working with an advisor who is reliable.
* The accuracy with which my account is handled.
* Returning my calls and e-mails.
* Being comfortable with the level of risk in my plan/portfolio.
* Achieving long-term performance (6+ years) that meets my expectations.
* Working with an advisor who fully understands my goals for the future.
* The speed with which any problems are resolved.
* Working with an advisor who treats me with respect.
* Receiving good value for the fees I pay my advisor.
Strongly DisagreeStrongly Agree
1 2 3 4 5
* Working with an advisor who demonstrates that they value my business.
* Working with an advisor who clearly communicates the level of service I can expect.
* Receiving statements that are clear and easy to understand.
* Working with an advisor who takes a proactive approach to managing my plan / portfolio.
* Working with an advisor who can clearly explain difficult financial concepts.
* Understanding the level of service I can expect from my advisor
* Having access to services that meet all of my financial needs, through my advisor.
* Having a strong personal relationship with my advisor.
* The frequency with which my advisor contacts me.
* Financial advisor to provide you with educational opportunities about the markets.
* Having access, through my advisor, to other professional advisors.
 
 
There are many different services available through your Financial Advisor, depending on your specific needs. For the services below, please select the best response for your situation.
In Place with James In Place with a Secondary Advisor Not in place but may need Not in place and don’t need
Comprehensive financial planning
Planning for income needs in retirement
Coordination with attorney on estate planning
Coordination with CPA on tax planning
Life insurance
Education Planning
Disability Insurance
Critical illness insurance
Planning needs for aging parents
 
 
 
How do you typically learn about new services, such as those listed in the previous question, that you should consider? Please select all that apply.
 
My financial advisor proactively makes recommendations during our review meetings.
 
My advisor provides information or education (e.g. a newsletter or workshop) to keep me abreast of what is available.
 
I read about new products or services...then I ask my financial advisor for more information.
 
None of the Above
 
Other
 

 
 
 
* Do you have a written financial plan which may include an accumulation strategy, tax mitigation, insurance planning, retirement and distribution planning, or some combination of these items?
 
Yes
 
No
 
I'm unsure
 
 
On a scale of 1 through 5:
Poor UnderstandingStrong Understanding
1 2 3 4 5
* How well do you understand your plan?
 
 
On a scale of 1 through 5:
Very UnsatisfiedVery Satisfied
1 2 3 4 5
How satisfied are you with your plan?
 
 
 
* In a typical 12-month period, how often do you expect to meet with your advisor (face-to-face) to review your financial plan and portfolio?
 
No meetings
 
1
 
2
 
3
 
4
 
5+
 
 
 
* Thinking about the last year, how often did you actually meet with your advisor (face-to-face) to review your financial plan or portfolio?
 
No meetings
 
1
 
2
 
3
 
4
 
5+
 
 
 
In a typical 12-month period - outside of face-to-face reviews - how often do you expect to be contacted (either by email or telephone) by your advisor, for any reason?
 
Not at all
 
Weekly
 
Every Other Week
 
Monthly
 
Quarterly
 
Other
 
 
 
 
Thinking about the last year, how often were you contacted by your advisor, for any reason?
 
Not at all
 
Weekly
 
Every Other Week
 
Monthly
 
Quarterly
 
Other
 
 
 
Using a 10-point scale where 1 is extremely dissatisfied and 10 is extremely satisfied, please rate your overall level of satisfaction with James as your financial advisor?
Extremely DissatisfiedExtremely Satisfied
1 2 3 4 5 6 7 8 9 10
*  
 
 
How likely are you to continue using your Financial Advisor to manage your financial plan or portfolio in the next 12 months?
Not at all LikelyExtremely Likely
1 2 3 4 5
 
 
 
 
Do you work with more than one Financial Advisor?
 
Yes
 
No
 
 
To what extent do you agree or disagree with the statement:
Strongly DisagreeStrongly Agree
1 2 3 4 5
* I am comfortable referring my Financial Advisor to a friend, family member or colleague.
 
 
 
* Has your Financial Advisor asked you directly to provide referrals?
 
Yes, occasionally
 
Yes, regularly
 
Other
 
 
 
* Have you provided a referral to your Financial Advisor?
 
Yes
 
No
 
 
 
* How many people have you referred?
 
1
 
2
 
3
 
4
 
5+
 
 
 
* What were the circumstances of providing the last referral?
 
My advisor told me he/she was interested in referrals and I provided a name at that time
 
A friend/colleague asked me if I knew about a good financial advisor and I made the introduction
 
A friend/colleague told me about a financial challenge they were having and I suggested my advisor might be able to help.
 
Other
 
 
 
* Why is it you feel you would not be very likely to recommend your Financial Advisor?
 
I am not comfortable discussing financial issues with my friends/colleagues
 
My advisor has a minimum asset level and I cannot know if others are above or below that minimum
 
I cannot be sure that my friends/colleagues will receive the same high level of service that I have received
 
I am not satisfied with the level of service that I receive
 
Other
 
 
 
* What is your gender?
 
Male
 
Female
 
 
 
* What is your marital status?
 
Single (Never married)
 
Married
 
Domestic partnership
 
Widowed
 
Divorced
 
Separated
 
Don’t know
 
 
 
* Please select which age range you fall into
 
25 - 34
 
35 - 44
 
45 - 54
 
55 - 64
 
65+
 
 
 
Are you a medical doctor?
 
Yes
 
No
 
 
 
Are you a current or previous employee of Procter & Gamble?
 
Yes
 
No
 
 
 
* Your total invested assets fall into which range?
 
$1 - $50,000
 
$50,001 - $200,000
 
$200,001 - $500,000
 
$500,001+
 
 
 
What city do you live in?
   
 
 
 
If there is anything else you'd like James to know, please feel free to enter any comments/suggestions in the box below. Your feedback is greatly appreciated. Thanks again!