Name *

First Name

Last Name

Phone

(###)

###

####

1. How important is it for you to have more control over your business decisions and operations? *

Least Important

Somewhat Important

Neutral

Important

Very Important

3. How do you feel about being able to operate under a fiduciary standard, prioritizing clients’ best interests? *

Very Disagreeable

Somewhat Disagreeable

Neutral

Somewhat Agreeable

Very Agreeable

4. How important is client trust and transparency to your practice? *

Least Important

Somewhat Important

Neutral

Important

Very Important

5. How often do you feel restricted in customizing investment strategies for your clients? *

Never

Rarely

Sometimes

Often

Always

7. Do you feel that your current compensation structure limits your earning potential? *

Yes

No

9. How do you value the ability to create more personal solution as and long-term relationships with your clients? *

Not a Priority

Low Priority

Average Priority

High Priority

Highest Priority

12. How important is having access to cutting-edge technology for enhancing your service delivery? *

Least Important

Somewhat Important

Neutral

Important

Very Important

13. Is having an ownership stake in your firm important to you? *

Least Important

Somewhat Important

Neutral

Important

Very Important

16. How do you feel about the current regulatory environment you operate under? *

Very Unsatisfied

Unsatisfied

Neutral

Satisfied

Very Satisfied

17. Would you prefer a regulatory framework that provides more flexibility? *

Yes

No

18. Are there investment products or services you’d like to offer but currently cannot? *

Yes

No

20. What overall grade would your clients give you for quality of service and advice? *

A

B

C

D

F