ASSET Advisory Group Survey

Last year ASSET Magazine successfully completed a survey of large advisory groups in New Zealand.

We are repeating the exercise this year and would like to invite you to complete the survey.

The survey is designed to collect information about the size, structure and shape of the large advisory firms in New Zealand. We have decided to collect this information as there is a lot of interest from advisers and the groups themselves about advisory groups.

Also this year we have added a couple of extra questions regarding KiwiSaver, disclosure, PIE regime and finance companies. Please use March 31, 2008 as the date for all data.

The survey will close on 19th May 2008.

If you prefer to complete it in hard copy please print out the survey and post it to PO Box 2011, Rotorua.

If you have any questions about the survey, or require clarification on any questions, please contact Philip Macalister on 07-3491920 or by emailing philip@goodreturns.co.nz

The questions are:

Company name
Address
Phone number
Email
   
Managing director/general manager
Name
Phone
Email
Research manager
Name
Phone
Email
Compliance manager
Name
Phone
Email
   
Adviser office locations
Ownership structure/shareholders
Number of advisers
Number of advisers in each gender/age group
Male Female
Under 30
31-49
50-65
over 65
Number of paraplanners
Number of support staff
How many of your advisers are CFP?
How many of your advisers are CLU?
Total clients
Funds under advice (31/03/2008)
What platforms do you use
(wrap accounts and master trusts)
In-force insurance premiums (31/03/08)


Which industry organisations do you/your advisers belong to:
IFA
PAA
SIFA
LBA
NZMBA

Planner terms (% of total planners)
Contract
Franchise %
Salaried
Other details:

Planner remuneration (% renum)
Salary + commission
Commission %
Fee %
Salary %
Other % details:

Planning Software:
Investment
Risk

Research providers:
Investment
Risk

Ongoing education provider?


Who provides your PI cover?


Do you have model portfolios for advisers to use?
Yes
No

If so, how many and what are the risk profiles?


What proportion of funds go into these portfolio versus individually tailored portfolios?


Comments


Does your group actively promote and market KiwiSaver?
Yes
No

What is the level of funds you have collected in KiwiSaver Funds?


Which fund managers do you use for KiwiSaver?


We are interested in any comments you have on the new disclosure regime. For instance has it been hard to implement, what impact has it had on advisers? Does it help clients?


What proportion of your new investments go into PIE compliant funds?


Do your advisers recommend finance companies to clients?
Yes
No

If so, what companies are on the recommended list?


Can advisers use non-investment grade or unrated finance companies?
Yes
No

What research do you use for finance companies?
S&P
Moodys
Axis
BondWatch
SQP
PIR
In-house
Other: