Category
Insights
• Briefly explain your role within client’s lives
• Are you a Fiduciary?
• What are your credentials?
Professional designations
o Licensing, registration
o Regulatory governance
• What type of clients do you work with?
o How many clients?
o Average AUM per household?
• What services do you offer?
o Investment and Cash Management
o Estate and Trust Consulting
o Retirement and Tax Planning
o Business Succession Planning
o Philanthropic Advising
o Banking and Lending Solutions
• How are you compensated?
o Fees?
o Commissions?
• How will we work together?
o Who will I work with?
o How often do we communicate?
o How is performance reported?
• How do you approach investing?
o What types of investments do you use in your portfolios?
o What are the costs of the investments that you use?
o What is your philosophy?
o Who makes the investment decisions?
• Where will my assets be held?
• What checks and balances are in place to ensure my assets are safeguarded from fraudulent activity?
