Investment Manager Questionnaire
By completing this questionnaire, your firm will be entered into Strategic Asset
Alliance...
Strategic Asset Alliance
                        Investment Manager Questionnaire




II. Assets managed by client categor...
Strategic Asset Alliance
                       Investment Manager Questionnaire




Account Number or Designator         ...
Strategic Asset Alliance
                         Investment Manager Questionnaire



            Schedule D investment   ...
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Investment_Manager_Questionnaire_2008.doc

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Transcript of "Investment_Manager_Questionnaire_2008.doc"

  1. 1. Investment Manager Questionnaire By completing this questionnaire, your firm will be entered into Strategic Asset Alliance’s proprietary database of managers specializing in insurance company assets. You will note that the information requested is geared to meeting the needs of insurers looking to hire a manager who understands the insurance business. All information provided to the database is confidential. The manager’s name and other details are only discussed during the course of an investment manager search. Without providing any manager or insurance company names, SAA may use performance data in compiling confidential peer group analyses for clients. Information may be submitted in writing or on disk as follows: Numeric and tabular data may be submitted in a Microsoft Excel® compatible file, while all other information may be submitted in a Microsoft Word® compatible file. If you have any questions, please feel free to call us at (360) 255-2500. Thank you for your cooperation. I. General Information Firm Name: Address: Telephone: Fax Number: Contact for Questionnaire: Telephone: Insurance Client Contact: Telephone A. Firm ownership: (please indicate majority owner of the investment firm) B. Insurance affiliations: (please indicate any direct or indirect affiliations with an insurance company) C. List Key Investment Professionals, Title, Areas of Responsibility, Professional Designations, Years of Experience with your firm, Years of Experience overall D. List Key Marketing/Client Service Professionals, Title, Areas of Responsibility, Professional Designations, Years of Experience with your firm, Years of Experience overall Please indicate changes in investment, marketing or client service personnel (noting those joining and leaving your firm) over the past 12 months. 11 Bellwether Way, Suite 209, Bellingham, WA 98225 360-255-2500 (f) 360-739-2049 www.saai.com
  2. 2. Strategic Asset Alliance Investment Manager Questionnaire II. Assets managed by client category At quarter ending:________ # Clients Assets ($millions) Affiliated: General insurance accounts Separate insurance accounts Insurance co. variable accounts Unaffiliated: General insurance accounts Separate insurance accounts Insurance co. variable accounts Bank/other financial institutions Corporations Foundations, endowments, assns. Commingled funds Limited partnerships Mutual funds Individuals & Other III. Five year historical development of insurance asset business (general accounts only): Assets managed Number of clients Date Life P&C Life P&C 12/07 12/06 12/05 12/04 12/03 General account assets under management for three largest life company accounts (client name not required): Account Number or Designator G/A Assets 1. 2. 3. Life insurance company G/A clients gained (# and $) in last 12 months: Life insurance company G/A clients lost (# and $) in last 12 months: General account assets under management for three largest P&C company accounts (client name not required): 2
  3. 3. Strategic Asset Alliance Investment Manager Questionnaire Account Number or Designator G/A Assets 1. 2. 3. P&C insurance company G/A clients gained (# and $) in last 12 months: P&C insurance company G/A clients lost (# and $) in last 12 months: IV. Insurance specific interrogatories: A. How long has your firm been managing insurance company assets? B. What are the major strengths of your firm as it relates to providing services to the insurance industry? C. Please outline the decision-making process and approach used in managing insurance accounts. D. For fixed income accounts, how do you judge the tradeoff between the various risks you take and the potential return received? E. Please outline your firm’s approach and capabilities in credit research. F. Please outline your firm’s approach and capabilities in mortgage prepayment modeling. G. Please explain the compliance monitoring system used to ensure consistency with an insurer’s objectives and guidelines. H. How does your firm stay current in regard to regulatory changes that may affect the management of insurance company assets. I. Does your firm provide the following services, please indicate if any additional fee is incurred for these services and approximate amount: Service Service Approximate Offered? Fee 3
  4. 4. Strategic Asset Alliance Investment Manager Questionnaire Schedule D investment Yes/No accounting Asset/liability management Yes/No (dynamic financial analysis) Performance attribution Yes/No Daily internet access of Yes/No portfolio information SVO filing Yes/No J. Please provide a typical quarterly client report package for an insurer. Do not disclose the name of the insurer. K. Please provide your standard fee schedule for insurance company general accounts. Are fees negotiable? V. For insurance company general accounts managed by you, please indicate the following: A. Account Number or Designator (do not disclose client name): 1. General Information: a. Fixed Income, Equity or Balanced? b. Started managing account - c. Investment Objective - d. Investment Constraints - e. Performance Benchmark - f. Portfolio manager(s) assigned to account - g. Predominant Sectors (e.g. equities, munis, corporates, mortgage backed securities, government bonds, foreign fixed income, foreign equity) - h. Investment Style - 2. Performance: a. List quarterly rates of return for the last ten years, or a shorter period if ten year history is unavailable. Please report returns separately for taxable versus tax-exempt results, and fixed income versus equity results. b. Are performance numbers in compliance with AIMR standards? If not, please explain. 4

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