Latest Questionnaire

335 views
281 views

Published on

Published in: Economy & Finance, Business
0 Comments
0 Likes
Statistics
Notes
  • Be the first to comment

  • Be the first to like this

No Downloads
Views
Total views
335
On SlideShare
0
From Embeds
0
Number of Embeds
2
Actions
Shares
0
Downloads
8
Comments
0
Likes
0
Embeds 0
No embeds

No notes for slide

Latest Questionnaire

  1. 1. The International Newspaper of Money Management Money Managers Survey for Year-end 2008 FIRM DESCRIPTION Please review the firm information below and note any corrections or additions. Org ID: Firm: Main address: Main phone: Main fax: Website: Year founded: Percent employee owned: 50% or more minority or woman owned PARENT: FIRM ASSETS Report all data as of Dec. 31, 2008; assets in U.S. dollars, rounded to the nearest million (please do not use decimals); and exclude master trust/custody, global custody and assets under administration only from all answers. Where available, Dec. 31, 2007, data are displayed for reference. Total assets under management Include both assets under internal management and assets passed to subadvisers for Q. 1a – 4a. ($ millions) ($ millions) Dec. 31, 2007 Dec. 31, 2008 1a. Total worldwide assets under management: 1b. How much of Q. 1a was from institutional clients? 2. Total U.S.-client assets under management: 3. Total U.S. tax-exempt assets under management: Include IRAs, Keoghs and SARSEPs. 4a. Total U.S. institutional, tax-exempt assets under management: Exclude IRAs, Keoghs and SARSEPs. 4b. How much of Q. 4a was assigned to external managers who have full investment responsibility for those assets? U.S. institutional, tax-exempt assets under internal management 5. Total U.S. institutional, tax-exempt assets under internal management: Exclude IRAs, Keoghs and SARSEPs. IMPORTANT: Q. 5 must equal the difference of Q. 4a minus Q. 4b. 6. How were your internally managed U.S. institutional, tax-exempt assets invested? Break out multiasset accounts into their components; insurers should include only their internally managed U.S. institutional, tax-exempt assets; total must equal 100%. (%) (%) Equity (include REITS) Fixed income (include MBS & mortgages) Equity real estate (include timber; exclude REITS) Cash Other * (specify):____________________ Total 100 * Include alternative investments, except equity real estate and timber; include convertibles. A PUBLICATION OF CRAIN COMMUNICATIONS INC 711 Third Ave., New York, NY 10017 Phone: 212-210-0140 Fax: 212-210-0436 www.pionline.com
  2. 2. P&I Survey for Year-end 2008 – Firm: Org ID: 7. What was the allocation of your internally managed U.S. institutional, tax-exempt assets to the following strategies? Break out multiasset accounts into their components; do not double count assets; Q. 7 total can be less than, but not exceed Q. 5. Please restrict your answers to the categories below. ($ millions) ($ millions) Dec. 31, 2007 Dec. 31, 2008 Equities Exclude hedge funds Active domestic Passive domestic Enhanced domestic indexed Active international International indexed International enhanced indexed REITS Fixed income Exclude hedge funds Active domestic Passive domestic Enhanced domestic indexed Active global/international Global/international indexed High yield Mortgages (whole loans only) Treasury inflation-protected Collateralized debt obligations Stable value Convertibles Alternative investments Report actual dollars invested; exclude assets committed but not funded. Real estate equity, domestic (NET of leverage) Real estate equity, international (NET of leverage) Timber (NET of leverage) Hedge funds (gross assets) Venture capital Buyout funds Infrastructure Other private equity, domestic Other private equity, international Privately placed debt Distressed debt Mezzanine debt Energy Commodities Cash Total 8. If you invest your internally managed U.S. institutional, tax-exempt assets in ACTIVE domestic equity, how much do you have in the following styles? Exclude enhanced; sum of all Q. 8 totals cannot exceed “equities: active domestic” in Q. 7. ($ millions) Dec. 31, 2007 ($ millions) Dec. 31, 2008 Growth Value Core Growth Value Core Large-cap Midcap Smidcap Small-cap All-cap/broad-market Total Page 2
  3. 3. P&I Survey for Year-end 2008 – Firm: Org ID: 9. If you invest your internally managed U.S. institutional, tax-exempt assets in PASSIVE domestic equity, how much do you have in the following styles? Exclude enhanced; sum of all Q. 9 totals cannot exceed “equities: passive domestic” in Q. 7. ($ millions) Dec. 31, 2007 ($ millions) Dec. 31, 2008 Growth Value Core Growth Value Core Large-cap Midcap Smidcap Small-cap All-cap/broad-market Total 10. If you invest your internally managed U.S. institutional, tax-exempt assets in equity, how much ($ millions) ($ millions) do you have in active extension (e.g., 130/30) strategies? Q. 10 cannot exceed sum of all equity or Dec. 31, 2007 Dec. 31, 2008 equity related assets in Q. 7. 11. If you invest your internally managed U.S. institutional, tax- Active emerging markets equity exempt assets in ACTIVE international equity or ACTIVE Active emerging markets debt global/international fixed income, how much do you have in the following styles? Q. 11 amounts cannot exceed “equities: Total active international” and “fixed income: active global/international” in Q. 7, respectively. 12. If you invest your internally managed U.S. institutional, tax- Core exempt assets in fixed income, how much do you have in the Core-plus following products? Q. 12 total cannot exceed the total of all fixed income assets in Q. 7. Total Absolute-return Strategies 13a. How much of your total worldwide assets under management (Q. 1a) was managed in absolute- return strategies? 13b. Of the amount in Q. 13a, how much was managed internally? 13c. Please list the absolute-return strategies you offer: Assets for absolute-return strategy hedge funds/fund of funds may be counted in both sections (Q. 13 & Q. 14) as applicable. Hedge Funds 14a. How much of your total worldwide assets under Hedge funds (excluding fund-of-funds) management (Q. 1a) was managed in hedge funds Hedge fund-of-funds (gross assets)? Total 14b. Of the amounts in Q. 14a, how much were Hedge funds (excluding fund-of-funds) managed for U.S. institutional, tax-exempt clients Hedge fund-of-funds (gross assets)? Hedge funds (excluding fund-of-funds) cannot be less than hedge fund assets reported in Q.7. Total Manager of Managers/Fund of Funds Firms passing assets to external managers (subadvisers), such as through a multimanager program, fund of funds or related strategy. 15a. How much of your total worldwide assets (Q. 1a) was passed to subadvisers? Include assets reported in Q. 4b and Q. 14a hedge fund-of-funds. 15b. Of the amount in Q. 15a, to which five firms did you pass the most assets and what was the total managed by each for your firm? Q. 15b total cannot exceed Q. 15a. ($ millions) Firm Dec. 31, 2007 Firm Total Page 3
  4. 4. P&I Survey for Year-end 2008 – Firm: Org ID: Subadvisers Firms managing assets on behalf of other firms, such as in a multimanager program, fund of funds or related strategy. ($ millions) ($ millions) Dec. 31, 2007 Dec. 31, 2008 16a. How much of your total worldwide assets (Q. 1a) was managed as a subadviser? 16b. Of the amount in Q. 16a, for which five firms did you subadvise the most assets and what was the total managed for each? Q. 16b total cannot exceed Q. 16a. ($ millions) Firm Dec. 31, 2007 Firm Total Exchange-traded Funds (ETFs) 17. How much of your total worldwide assets under management (Q. 1a) was in ETFs? Mutual Fund Managers Firms managing mutual funds under the 1940 Investment Company Act. Exclude offshore funds; exclude exchange-traded funds. 18a. How much of your total worldwide assets under management (Q. 1a) was in mutual funds registered under the 1940 Investment Company Act? 18b. Of the amount in Q. 18a, how much was managed internally for your firm’s proprietary mutual funds? Q. 18b cannot exceed Q. 18a. Overlay Managers Firms providing options overwriting, currency hedging, GTAA and other overlay strategies to enhance underlying U.S. institutional tax-exempt assets. 19a. As of Dec. 31, 2008, what was the total notional value of overlay strategies run by your firm on top of U.S. institutional, tax-exempt assets? 19b. How was the amount in Q. 19a allocated? Q. 19b total must equal Q. 19a. Bond duration extension Currency GTAA Options overwriting Other:___________________ _ Total 19c. Of the amounts in Q. 19a, how much of the U.S. institutional, tax-exempt assets underlying the overlay strategies was managed internally by your firm and how much was overlaid on strategies managed by other parties? Q.19c total must equal Q. 19a. Underlying assets managed internally Underlying assets managed by other parties Total Defined Contribution Managers Firms providing investment management for defined contribution plans. Only assets you invest should be reflected; exclude assets held in custody, or in sponsoring company stock, or under record-keeping contracts. 20. Of your total U.S. institutional, tax-exempt assets (Q. 4a), how much was managed for defined contribution plans? Q. 20 cannot exceed Q. 4a. 21a. Of your total U.S. institutional, tax-exempt assets under internal management (Q. 5), how much was managed for defined contribution plans? Q. 21a cannot exceed Q. 5. 21b. Of the amount in Q. 21a, what percentage was invested in the following? Break out multiasset accounts into their components; 21c. Of the amount in Q. 21a, how much was in the following total must equal 100%. investment vehicles? Q. 21c total must equal the answer to Q. 21a. (%) (%) Dec. 31, 2007 Dec. 31, 2008 Equity (include REITS) Mutual funds Cash Exchange-traded funds Fixed income Separate accounts Stable value Other pooled/commingled Other:_______________ Total Total 100 Page 4
  5. 5. P&I Survey for Year-end 2008 – Firm: Org ID: Defined Contribution Managers (continued) 21d. Of the amount in Q. 21a, how much was in the following strategies? Break out multiasset accounts into their components; do not double count 21e. Of the amount in Q. 21a, how much was in the following assets; Q. 21d total must equal the answer to Q. 21a. plan types? Q.21e total must equal the answer to Q. 21a. ($ millions) ($ millions) ($ millions) ($ millions) Dec. 31, 2007 Dec. 31, 2008 Dec. 31, 2007 Dec. 31, 2008 Equities 401(k) Active domestic ESOP Passive domestic Profit sharing Active international 457 International indexed 401(a) REITS 403(b) Other equities Other DC Fixed income Total Active domestic Passive domestic Active global/international 21f. Of the amount in Q. 21a, how much was invested in balanced, asset allocation, lifecycle or lifestyle funds? Global/international indexed Q. 21f cannot exceed Q. 21a. Treasury inflation-protected Stable value Other fixed income Commodities Cash Other Total 21g. Defined contribution client contact (person to whom prospective clients should address inquiries) Mr./Ms.: First name: Last name: Jr./Sr.: Title: Phone: Defined Benefit Endowments/Foundations 22. How much of your internally managed U.S. institutional, tax-exempt 23. How much of your internally managed U.S. institutional, assets was managed for defined benefit plans? Q. 22 cannot exceed Q. 5. tax-exempt assets was managed for endowments/ foundations? Q. 23 total cannot exceed Q. 5. Endowments Foundations Total Private Wealth Management Family Offices 24. As of Dec. 31, 2008, how much did you manage for family offices? High-Net-Worth 25. As of Dec. 31, 2008, how much did you manage for individuals with investible assets of $100 million or more each? Market Share ORGANIZATIONAL DATA 26. How much of your total worldwide assets under management (Q. 1a) was invested for clients based in the following regions? Breakdown of Employees Total must equal 100%. Please place each person in one category only. (%) (%) No. at year- No. at year- Client location Dec. 31, 2007 Dec. 31, 2008 end 2007 end 2008 U.S. Portfolio managers Europe (incl. U.K.) Research analysts Asia (ex. Japan) Japan Australia Other Total 100 Page 5
  6. 6. P&I Survey for Year-end 2008 – Firm: Org ID: Contact Information Please review the contact information below and note any corrections or additions. Chief investment officer Mr./Ms.: First name: Last name: Jr./Sr.: Title: Phone: Fax: E-mail: Client contact (person to whom prospective clients should address inquiries) Mr./Ms.: First name: Last name: Jr./Sr.: Title: Phone: Fax: E-mail: Primary data contact (person to whom future questionnaires should be addressed) Mr./Ms.: First name: Last name: Jr./Sr.: Title: Phone: Fax: E-mail: Subsidiaries/Affiliates If you provided statistics on behalf of investment management subsidiaries or affiliates of your company, please list all those firms: Subsidiary/affiliate name Subsidiary/affiliate name Subsidiary/affiliate name IMPORTANT: Subsidiaries and affiliates listed above will not be profiled in the directory or appear in related statistical matter. However, if you want any of those names to be cross-referenced with your company profile, please provide all of the information in the below “master profile” section for each. Master Profile If you provided statistics on behalf of investment management subsidiaries or affiliates of your company and would like to have some or all of them cross-referenced with your firm profile in an abbreviated format, please attach a separate sheet including the following details on those organizations, then check the box at the end: • Subsidiary/affiliate name; • General firm info; • Total worldwide assets; • Total U.S. institutional, tax-exempt assets; • Chief investment officer; and • Client contact. C YES, master profile: My firm would like to use the master profile format and has attached all of the requisite information (see above). Questionnaire prepared by: _________________________________________________________________________________________________ Phone:__________________________________ E-mail:__________________________________________________________________ Please fax your completed survey to Anthony C. Scuderi at 212-210-0436 Due date: Friday, March 6, 2009 Page 6

×