Wealth Manager's 2010 Top Women in Wealth Survey

Welcome to Wealth Manager's 2010 Top Women in Wealth Survey! Please answer each question completely and honestly. We encourage participants to print out the survey and collect the answers before completing it online. You have until March 26th to complete the survey.

Your input is very important to us, and the accuracy of the results will help measures the attitudes of the most seasoned women in wealth management.

For questions regarding professional and support staffing—here is how we define staff:
Professional Staff—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.
Support 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
This survey is for women who manage wealth at RIA firms, trust companies, banks, and independent and wirehouse broker/dealers.

Filling out 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. 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/CRD number and erasing your data.
4. The only way to participate in the survey is online. Forms sent to us by regular mail, email, fax, or any other system cannot be entered in the survey.
5. All numbers on the form should be as of December 31, 2009, unless otherwise specified.

It is recommended you print out the survey after you are finished. We aren’t able to print your survey answers—we get them in a different format.

Other Information
1. We cannot not confirm receipt of a firm’s completed form.
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,br> Contact Terry Shea at tshea@sbmedia.com. Since many firms have similar names, please include your IARD/CRD number with any query.

Thank you for taking the time to share with us.

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1. This survey is for individuals rather than firms. Please complete the following:

Name

Firm Name

Title

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2. Please enter email address:

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3. Please enter the following:

Address :

City/Town:

State:

ZIP/Postal Code:

Country:

Phone Number (xxx-xxx-xxxx):

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4. Please enter the following:

IARD Number:

CRD Number:

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5. Are you a principal, partner, or owner of your firm?

Yes

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6. Do you provide financial planning as part of your service?

Yes

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7. Are you a Certified Financial Planner?

Yes

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8. Please enter the appropriate percentage for each category below, with regard to how you are compensated (must add up to 100%).

Salary

Percentage of AUM

Commission

Fee for service

Other

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9. If you answered "other" in the previous question (question #8), please specify here:

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10. Licenses/Registrations
FINRA - Select all that apply:

Series 7

Series 65

Series 66

Series 86, 87

Series 42

Series 52

Series 4

Series 9 and 10

Series 24

Series 39

Series 53

SEC Registered Investment Advisor

RIA (non-SEC)

Other (please specify)

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11. How would you categorize your wealth management firm?

Single-Family Office

Multi-Family Office

Private Bank

RIA

Broker/Dealer

Hybrid-RIA-Broker/Dealer

Money Manager

Other (please specify)

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12. Are you part of a(n):

Independent RIA

Independent B/D

Hybrid RIA-Broker/Dealer

Insurance B/D

Bank/wirehouse (employee)

Fund manager

Separate account manager

Other (please specify)

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13. Total number of employees at your firm:

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14. Please specify the number of female and male Professionals (advisors, portfolio managers, planners, etc.) at your firm.

Number female:

Number male:

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15. Please specify the number of female and male Administrative and support staff (account administrators, office staff, etc.) at your firm.

Number female:

Number male:

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16. Please specify the total number of households under advisement (the combination of individual accounts that are part of one family or one address. For instance, married couples count as one client; their children may be counted separately). Please only enter whole numbers, no letters, commas or symbols.

Number of households:

Total AUM of that client sector as of 12/31/09:

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17. Please complete the following about your Institutional clients (only enter whole numbers, no symbols, commas or letters).

Total number of institutional clients under advisement:

AUM of those clients as of 12/31/2009:

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18. With regard to question #17, what dollar amount of assets for the institutional clients are held for DVP or in house? Please enter whole numbers only, no symbols, commas or letters.

DVP assets: (In US dollars) $

In house assets: (In US dollars) $

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19. Also, with regard to question #17, what percentage of total institutional clients are made up of mid-market and Tier 1 institutional? (Answers must add up to 100%)

Mid-market:

Tier 1 institutional:

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20. Is your asset management style active or passive?

Active

Passive

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21. What asset classes have you added to clients' portfolios in the last 2 years?

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22. Do you manage investment assets in-house or select outside managers?

Manage investments in-house

Select outside manager(s)

Both

Other (please specify)

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23. If you answered "Both" in question #22, please specify percentage of each managed investment asset (must add up to 100%).

Managed in-house:

Select outside manager:

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24. Please enter total assets under management for which you are paid an advisory or asset management fee, as of 12/31/09. Please enter whole numbers only, no symbols, commas or letters.

In US dollars ($)

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25. What is your primary asset-gathering strategy?

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26. Now that the recession is easing, will your clients switch advisors?

Yes

Maybe

If yes or maybe, what is your plan to retain clients?

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27. Social Media
Does your firm have a Twitter site?

Yes (please enter url below):

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28. Does your firm have a LinkedIn site?

Yes (please enter url below):

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29. Does your firm have a Facebook site?

Yes (please enter url below):

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30. Please list other social media networking sites used (with urls) below:

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31. What do you do to encourage and support women as investors and as colleagues - women in wealth management? Can you describe how your approach to clients and colleagues differentiates yourself and your practice?

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32. Who has been your mentor?

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33. Are you a mentor to someone?

Yes (please describe your role/interaction below):

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1. This survey is for individuals rather than firms. Please complete the following:

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2. Please enter email address:

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3. Please enter the following:

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4. Please enter the following:

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5. Are you a principal, partner, or owner of your firm?

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6. Do you provide financial planning as part of your service?

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7. Are you a Certified Financial Planner?

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8. Please enter the appropriate percentage for each category below, with regard to how you are compensated (must add up to 100%).

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9. If you answered "other" in the previous question (question #8), please specify here:

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10. Licenses/RegistrationsFINRA - Select all that apply:

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11. How would you categorize your wealth management firm?

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12. Are you part of a(n):

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13. Total number of employees at your firm:

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14. Please specify the number of female and male Professionals (advisors, portfolio managers, planners, etc.) at your firm.

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15. Please specify the number of female and male Administrative and support staff (account administrators, office staff, etc.) at your firm.

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17. Please complete the following about your Institutional clients (only enter whole numbers, no symbols, commas or letters).

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18. With regard to question #17, what dollar amount of assets for the institutional clients are held for DVP or in house? Please enter whole numbers only, no symbols, commas or letters.

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19. Also, with regard to question #17, what percentage of total institutional clients are made up of mid-market and Tier 1 institutional? (Answers must add up to 100%)

Question Title

20. Is your asset management style active or passive?

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21. What asset classes have you added to clients' portfolios in the last 2 years?

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22. Do you manage investment assets in-house or select outside managers?

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23. If you answered "Both" in question #22, please specify percentage of each managed investment asset (must add up to 100%).

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24. Please enter total assets under management for which you are paid an advisory or asset management fee, as of 12/31/09. Please enter whole numbers only, no symbols, commas or letters.

Question Title

25. What is your primary asset-gathering strategy?

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26. Now that the recession is easing, will your clients switch advisors?

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27. Social MediaDoes your firm have a Twitter site?

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28. Does your firm have a LinkedIn site?

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29. Does your firm have a Facebook site?

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30. Please list other social media networking sites used (with urls) below:

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31. What do you do to encourage and support women as investors and as colleagues - women in wealth management? Can you describe how your approach to clients and colleagues differentiates yourself and your practice?

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32. Who has been your mentor?

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33. Are you a mentor to someone?

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34. Does your practice of wealth management differ from that of male colleagues? Can you describe your approach?

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35. Do you work differently with your female clients than with your male clients? Please explain.

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36. How are market and economic conditions affecting the way you run your practice or advise clients? Please explain.

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37. What regulatory or legislative issues/changes do you think will have the most impact on your business this year and in the near future?

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38. What are the most important short-term (1-2 years) challenges your clients currently face?

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39. What are the most important long-term (2 years and beyond) challenges your clients face now?

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40. What are the most important short-term (1-2 years) challenges for you and your firm?

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10. Licenses/Registrations
FINRA - Select all that apply:

27. Social Media
Does your firm have a Twitter site?