Finance Professionals Study - USA 2021

Pre-screener

SIS Research (www.sisinternational.com) is conducting an online interview with finance professionals who sell/use/invest 3rd Party Mutual Funds and are familiar with or involved in fund selection/distribution.

We are providing a $ 250 compensation for completing a 45-50 min online interview if you qualify and are selected.

The topic is about general opinions about 3rd party retail funds, brand awareness, and product usage. The interview will remain anonymous, and no sensitive questions will be asked as the interview is for research purposes.

To be considered, please answer a few short pre-screening questions below:

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* 1. What is your contact information?

Name

Company

Group Name

City

Country

Email Address

Phone Number

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* 2. What is your job title?

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* 3. Please provide a link to your Linkedin:

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* 4. Does your organization use external or 3rd party investment providers?

Yes

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* 5. Is it likely that your organization will distribute or use third-party retail funds within the next 12 months?

Yes

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* 6. To what extent are you involved in the selection, purchase or distribution of 3rd party retail fund products?

I play a major role in the process

I share in the process

I make recommendations

I am responsible for implementing the decisions made

I am not involved

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* 7. How would you describe your role in the selection of investment mandates or funds from 3rd party suppliers? Are you...

An investment committee member

An analyst or pre-selector: You select a menu of third party retail funds or make recommendations to the client portfolio managers or the sales force

Selecting from an existing menu of third party retail funds

Other (please specify)

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* 8. Are you or your team responsible for the due diligence and approval of funds on your company-wide distribution platform?

Yes

None of the above

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* 9. How many persons are involved in the selection team?

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* 10. Which of the following describes your area of responsibility regarding 3rd party retail funds?

Bank BD

Independent BD

Insurance BD

Regional BD

RIA firm

Turnkey Asset Management Program (TAMP)

Wirehouse BD

Other (please specify)

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* 11. Which of the following best describes your role in the company? Please check all that apply

Account Manager

Analyst

Asset Allocation Manager

Associate Director

Associate Portfolio Manager

AVP Investment Management

AVP Investment Operations

Branch Manager and Portfolio Manager

Business Development Manager

Business Initiative Manager

CEO

Chair of Investment Committee

Chief Investment Officer, Founding Partner

Chief Investment Strategist

CIO

Client Advisor

Co-Founder

Compliance Officer

Deputy General Manager

Director

Director of Business Department

Director of Investment Solutions

Director of Research

Director of Sales

Equity Research Manager

Executive Director

Financial Director

Financial Advisor

Financial Manager

Financial Planner

Founding Partner

Fund Manager

Fund Sales Manager

Head Asset Allocation and Equity Reearch

Head of Asset Manager Research

Head of Due Diligence, Global Wealth and Investment Management

Head of Investment Management Research

Head of Portfolio and Investment Manager Solutions

Investment Anaylst

Investment Manager

Investment Specialist

Lead Analyst

Managing Director

Managing Partner

National Product Manager Investment funds

Portfolio Manager

Portfolio Manager Private Clients

Principal

Private Wealth Manager

Product Manager

Product Specialist

Relationship Manager

Research and Trading Specilaist

Retirement Plan Advisor

Senior Fund Manager

Senior Mutual Fund Trader

Senior Portfolio Manager

Senior Relationship Manager

Senior Wealth Advisor

Sr. DC Research Consultant

Vice President

Vice President-Asset Management

Vice President of Business Department

VP of Operations

VP of strategy and Reporting

Wealth and Investment Portfolio Manager

Wealth Manager

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* 12. Do you currently work for any of the following companies (not required)

J.P. Morgan

Northwestern Mutual Investment Services

Envestment

UBS

ICapital Account

USAA

American Portfolios

Cetera

LPL Financial

Mesirow Financial

Northwestern Mutual Investment SErvices

Brighthouse Financial

Lincoln Financial GRoiup

Proudential

SAmmons Financial GRouip

RBC Wealth Management

Morningstar

Morgan STanley

Merrill

Wells Fargo

BNY Mellon Investment Management

Fifth Third Bank

Northern Trust

JP Morgan Asset Managment

PNC

PNC Bank

Union Bank

Charles Schwab

Schab

TD Ameritrade

Advisor GRoup

Ameriprise Financial

Ameriprise Financial Services

LPL Financial

D.A. Davidson Companies

AIG

Lincoln Financial GRoup

NY LIfe

Prudential

Edward JOnes

Janney Montgomery Scott

RBC Wealth Management

Sitfel

Morningstar

Morgan STanley

Envestnet

Other (please specify)

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* 13. Please share with us an estimate of assets under management.'

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* 14. If approved please check off when would be a good time for you to participate in a 45-60 minute interview. Please check any that apply and we will do everything possible to accommodate your scheduling needs.

Weekday Mornings 7am-11am EST

Weekday Afternoons 12pm-4pm EST

Weekday Afternoons 3pm-5pm EST

Weekday Evenings 6pm or Later than this

Other (please specify)

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* 15. How did you hear about this survey?

I received a call

I received an email

Linked In

Facebook

Instagram

A friend referred me

Other (please specify)

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* 16. Did someone refer you to this project? If so please include their full name of the person who referred you.

Please press "done" to submit the pre-screener to continue. If you are a match, we will get in contact with you for next steps. Learn more about other studies at www.sisfocusgroups.com