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1. Q2 Pulse Survey

Welcome to Wealth Manager’s
Top Wealth Manager Quarterly Pulse Survey, Second Quarter 2010

The Top Wealth Manager Quarterly Pulse Ranking is determined in a different way from the annual survey. This quarter we will rank firms on total AUM (SEC AUM), as of June 30, 2010. Filling out the form does not guarantee a place on this list, which is limited to a maximum of 500 firms.

Due Date: You have from September 3 to October 4 to take the online Survey. We will be reporting the results quickly so there will be no extensions.

For questions regarding professional and support staffing—here is how we define staff:

Employee Advisors, Portfolio Managers and other Professionals — Employees directly involved in providing planning and advice to clients. Includes everyone with job titles such as Advisor, Planner, Associate Advisor, Specialist, Research Manager, Portfolio Manager, CEO, CIO, etc.

Operations and Administrative Staff—Employees who are involved in administration and operations. Includes job titles such as chief operating officer, operations manager, office manager, client service administrator, assistant, CFO, performance reporting analyst, etc.

Eligibility
To be considered, a firm must:
1. Be an SEC-registered investment advisor with its own IARD number.
2. Have minimum assets under advisement of $50 million.
3. Have individuals or high-net-worth individuals (as defined by the SEC) as more than half of its client base
4. Offer financial planning services

The following are not eligible to participate:
1. Banks
2. Broker/Dealers
3. Trust Companies
4. Branches of independent broker/dealers
5. Subsidiaries of larger companies, unless they meet all other requirements and file their own ADV.

Submitting the Survey ONLINE ONLY
1. It is recommended you print out the survey before you actually take it (see below), so you can make sure all the information you need is handy.
2. Follow instructions carefully. Some questions have detailed explanations.
3. Failure to answer relevant questions may result in disqualification.
4. Be careful. Once you complete the survey, you cannot access it again. This is a safety feature to prevent other firms from accidentally registering with the wrong IARD number and erasing your data.
5. The only way to participate in the survey is online. Forms sent to us by regular mail, email, fax, or any other system will not be entered in the survey.
6. All numbers on the form should be as of June 30, 2010, unless otherwise specified.

Other Information
1. We do not confirm a firm’s place in the ranking in advance. You have to wait until the rankings are announced on www.WealthManagerWeb.com.
2. A full range of reprints will be available from PARS International, our exclusive reprints agent. Call them at 212-221-9595 with any questions about products and pricing.

Problems and Queries
Contact Terry Shea at tshea@sbmedia.com
Since many firms have similar names, please include your IARD number with any query.

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1. IARD Number:

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2. Please complete the following:

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3. Is more than 10% of your firm owned by another entity?

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4. Do you have a broker-dealer?

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5. If yes, what is the name of your broker-dealer?

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6. Who is your primary custodian?

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7. How did your assets change in 2010? (Enter entire number only, no letters or $ symbol; for example, 3,582,456,000)

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8. How did your client count change during 2010? (Enter entire number only, no letters; for example 3,246)

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9. What is your staff count on 6/30/2010? (Enter numbers only, NO letters)

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10. What was your staff count on 3/31/2010? (Numbers only, NO letters)

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11. What is the TOTAL Revenue growth you project for your firm for 2010? (Please enter as a percentage, for example 5%; NO letters)

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12. What was your revenue for (Enter entire number only, NO letters):

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13. Are you satisfied with the growth you achieved through 6/30/2010?

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14. What is your perception of client sentiment regarding changing advisors?

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15. How many other firms do you believe your prospects are evaluating when they approach you (Enter number only, NO letters)?

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16. Please rank the top 3 competitive factors that influence the client's decision to hire your firm (enter 1 for most important, 2 for second in importance and 3 for third in importance. Leave the others blank).

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17. Do you exect to pay bonuses at the end of the year?

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18. Do you exect to increase salaries by more than 3% at the end of the year?

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19. Do you anticipate promoting more than one employee at the end of the year?

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20. What are the most important initiatives you have to complete between now and the end of the year?

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21. Can you firm withstand a double-dip recession?

Please PRINT a copy of your survey before clicking "Done".
Thank you for taking the time to complete the survey!

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