The International Newspaper of Money Management

                         2009 Investment Management Consultants Survey
Fi...
2009 Investment Management Consultant ___________________________________________________________

1h. Does your firm offe...
2009 Investment Management Consultant ___________________________________________________________

2b. For which of the fo...
2009 Investment Management Consultant ___________________________________________________________

5a. What types of searc...
2009 Investment Management Consultant ___________________________________________________________

6c. Of Q.6b, how many a...
2009 Investment Management Consultant ___________________________________________________________

8b. Please complete the...
2009 Investment Management Consultant ___________________________________________________________

Defined contribution pl...
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Latest Questionnaire

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Transcript of "Latest Questionnaire"

  1. 1. The International Newspaper of Money Management 2009 Investment Management Consultants Survey Firm (legal name)_________________________________________________________________________________ Address_________________________________________________________________________________________ City_________________________________________State____________________ Zip_______________________ Phone_________________________ Fax__________________________ Website_____________________________ Parent company: _________________________________________________________________________________ Please report all data as of June 30, 2009. $ millions 1a. What are your firm’s total worldwide assets under advisement? 1a(i). Of Q.1a, how much pertained to retainer and non-retainer clients? (Total must equal Q.1a) Retainer clients Non-retainer clients Total 1b. How much do you have under advisement for institutional clients worldwide? 1c. Of Q.1b, how much do you have under advisement for U.S. institutional, tax-exempt clients? 1c(i). Of Q.1c, how much pertained to retirement funds? (Total cannot exceed Q.1c) Defined benefit plans Defined contribution plans Total 1d. For all of your U.S. institutional tax-exempt clients (exclude DC plans), please indicate the average asset allocation for each of the following. (Total must equal 100%) Domestic equity (include REITS) % International equity (exclude emerging markets) % Emerging markets equity % Domestic fixed income % Global/international fixed income % Cash % Equity real estate (exclude REITS) % Private equity (include VC & LBO) % Hedge funds/hedge fund of funds % Other % Total 100% 1e. Does your firm offer a managed account program(s)? Yes No 1f. Does your firm offer funds of funds or other discretionary money management products? Yes No $ millions 1g. If yes to Q.1f, how much do you manage? 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. 2009 Investment Management Consultant ___________________________________________________________ 1h. Does your firm offer independent fiduciary services (investment outsourcing)? Yes No 1i. If yes to Q.1h, how many of your clients outsource at least a portion of their plan assets to your firm? $ millions 1j. What is the average asset size of the clients in Q.1h? 1k. If your firm does not currently offer plan outsourcing services, do you plan to do so within Yes No the next two years? 1l. Does your firm provide consulting services to clients other than employee benefit plans, Yes No endowments and foundations? 1m. Does your firm provide consulting services to clients on their taxable assets? Yes No 1n. Does your firm provide services to and collect fees from money management firms? Yes No 1o. What percentage of your firm’s revenue is derived from the following? (Total must equal 100%) Investment management consulting services for: Employee benefit plans, endowments or foundations % Other consulting clients % Managing funds of funds and/or separate accounts % Services provided to money management firms % Other services % Total 100% 1p. What percentage of your firm’s total worldwide investment management consulting revenue % comes from retainer-based clients? 2a. Which of the following consulting services do you provide to sponsors of employee benefit plans, foundations or endowments? (Check all that apply) Asset allocation development Asset liability modeling Money manager search/selection Investment policy development Defined contribution plan advice Alternative investment advice Due diligence Employee benefit consulting Plan participant communication Employee education Fee negotiation Contract negotiation Liability analysis Liquidity evaluation Performance measurement/reporting Performance attribution analysis Portfolio optimization Quantitative analysis Trading cost analysis Custom research Fiduciary review Strategic planning advice 2
  3. 3. 2009 Investment Management Consultant ___________________________________________________________ 2b. For which of the following do you provide advice? (Check all that apply) U.S. investments International investments Global investments Real estate Private equity Venture capital Hedge funds Derivatives Portable alpha 401(k) plan design/implementation 130/30 investing Liability-driven investing Socially responsible mandates Custody Securities lending Other (specify below) 3a. Do you maintain a proprietary investment manager database? Yes No 3b. Do you subscribe to a commercially available investment manager database(s)? Yes No 3c. If yes to Q.3b, to which database(s) do you subscribe? (Check all that apply) Altvest eVestment Alliance Hedge Fund Research Informa PSN Investworks Morningstar Zephyr Style Advisor Other (specify below) 4. If you offer advice on money manager search and selection, how many money management firms and products do you track in your database both in total and by the following categories? (Count each manager only once for the total number of managers) No. managers No. products TOTAL Equity Fixed income Real estate Private equity/venture capital Hedge funds Other (specify below) 3
  4. 4. 2009 Investment Management Consultant ___________________________________________________________ 5a. What types of searches does your firm offer? (Check all that apply) Actuary GTAA manager Alternative manager (exclude hedge funds) Hedge fund manager Commodities manager Hedge fund of funds manager Currency manager Infrastructure manager Custodian/master trustee International equity manager Defined contribution service provider Mutual fund Distressed debt manager Private equity manager Domestic equity manager Real estate manager Domestic fixed-income manager Record keeper Emerging manager Responsible investment (ESG) manager Emerging markets equity manager Stable value manager Emerging markets debt manager Target-date fund Global custodian Third-party administrator Global equity manager Transition manager Global/international fixed-income manager Other 5b. For each category checked in Q.5a, please indicate the number of searches your firm conducted in the past 12 months, and the asset value (where applicable) of the corresponding mandates. No. searches $ millions Actuary N/A Alternative manager (exclude hedge funds) Commodities manager Currency manager Custodian/master trustee N/A Defined contribution service provider N/A Distressed debt manager Domestic equity manager Domestic fixed-income manager Emerging manager Emerging markets equity manager Emerging markets debt manager Global custodian N/A Global equity manager Global/international fixed-income manager GTAA manager Hedge fund manager Hedge fund of funds manager Infrastructure manager International equity manager Mutual fund Private equity manager Real estate manager Record keeper N/A Responsible investment (ESG) manager Stable value manager Target-date fund Third-party administrator N/A Transition manager N/A Other Total 6a. How many institutional clients does your firm have on retainer worldwide? 6b. How many institutional clients with plan assets exceeding $50 million do you have on retainer worldwide? 4
  5. 5. 2009 Investment Management Consultant ___________________________________________________________ 6c. Of Q.6b, how many are U.S. institutional, tax-exempt clients? 6d. Of the number of clients in Q.6c, how many are in the following categories? (Count each client only once, but report the overall number of plans served for each; the client total must equal Q.6c) No. defined No. defined contribution No. clients benefit plans plans* Corporate Public Union Foundation/endowment Other Total *Include deferred compensation plans. 6e. Of Q.6c, please list four U.S. institutional, tax-exempt clients that you have on retainer: 7a. How many non-retainer, institutional clients with plan assets exceeding $50 million have you provided services to in the last 12 months worldwide? 7b. Of Q.7a, how many non-retainer, U.S. institutional, tax-exempt clients with plan assets exceeding $50 million have you provided services to in the last 12 months? 7c. Of the number of clients in Q.7b, how many are in the following categories? (Client total must equal Q.7b) No. clients Corporate Public Union Foundation/endowment Other Total 7d. Please describe (list) the non-retainer services your firm provides. 7e. Please list any services that your firm is planning to add in the next three years. 8a. How many professional consultants do you employ? 5
  6. 6. 2009 Investment Management Consultant ___________________________________________________________ 8b. Please complete the following information for each of your firm’s professional consultants and submit as an attachment. Prefix First name MI Last name Suffix Title Address (if different from company address listed at beginning of survey) Street City State Zip Area of specialization Phone Fax E-mail 9. What percentage of your total fees are paid in: Hard dollars % Soft dollars % 10. In the space provided, briefly describe the areas in which your firm has special expertise: Executive management contact (chief executive officer) Prefix First name MI Last name Suffix Title Phone Fax E-mail Executive management contact (president) Prefix First name MI Last name Suffix Title Phone Fax E-mail Executive management contact (chief financial officer) Prefix First name MI Last name Suffix Title Phone Fax E-mail Executive management contact (chief operating officer) Prefix First name MI Last name Suffix Title Phone Fax E-mail Executive management contact (executive vice president) Prefix First name MI Last name Suffix Title Phone Fax E-mail Manager research contact Prefix First name MI Last name Suffix Title Phone Fax E-mail 6
  7. 7. 2009 Investment Management Consultant ___________________________________________________________ Defined contribution plan consulting contact Prefix First name MI Last name Suffix Title Phone Fax E-mail Alternatives contact Prefix First name MI Last name Suffix Title Phone Fax E-mail Real estate contact Prefix First name MI Last name Suffix Title Phone Fax E-mail Private equity contact Prefix First name MI Last name Suffix Title Phone Fax E-mail Hedge fund contact Prefix First name MI Last name Suffix Title Phone Fax E-mail Client contact Prefix First name MI Last name Suffix Title Phone Fax E-mail Primary data contact Prefix First name Last name Suffix Phone Fax E-mail Questionnaire prepared by: Prefix First name Last name Suffix Phone E-mail Please fax your completed questionnaire to Anthony C. Scuderi at 212-210-0436 Due date: Friday, Oct. 23, 2009 Notes Firms should submit a single survey via the main consulting headquarters, consolidating information pertaining to other branches and offices. The survey is intended for investment management consultants. Excluded are firms that a) provide actuarial and benefits consulting, exclusively; b) consult only to money managers; or c) are strictly software vendors. 7

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