June 22, 2018
1. Overall, do you find the Relationship Summary useful? If not, how would you change it? If so, what topics and how can they be improved?:
I find it useful.
2. How useful is each section of the Relationship Summary? Please consider explaining your responses in the comments:
a. Type of Relationship and Service: Useful: How how often will I be appraised of the progress of my investments?
b. Our Obligations to You: Useful: Am I required to use firm's arbitration procedures in event of a dispute?
c. Fees and Costs: Useful:
d. Comparison to different account types: Useful:
e. Conflict of Interests: Very Useful:
f. Additional Information: Unsure:
g. Key Questions to Ask: Useful:
3. Please answer the following questions. Please consider explaining your responses in the comments:
a. Do you find the format of the Relationship Summary easy to follow?: Somewhat: More detail would be helpful.
b. Is the information in the appropriate order?: Yes: Progresses from most important to important
c. Is the Relationship Summary easy to read?: Yes: Likely a 4th grade readability, which is good.
d. Should the Relationship Summary include additional information about different account types?: Somewhat: I was thinking about that. I'm interested in my individual advisor's orientation - small cap, mid cap, large cap or mix growth vs. value foreign, domestic or mix fundamental or quantitative long term or short term.
e. Would you seek out additional information about a firm's disciplinary history as suggested in the Relationship Summary?: Yes: Absolutely
4. Are there topics in the Relationship Summary that are too technical or that could be improved?:
Certainly not too technical, which is good.
5. Is there additional information that we should require in the Relationship Summary,such as more specific information about the firm or additional information about fees? Is that because you do not receive the information now, or because you would also like to see it presented in this summary document, or both? Is there any information that should be made more prominent?:
Just what I wrote in "d" above.
6. Is the Relationship Summary an appropriate length? If not, should it be longer or shorter?:
a bit longer
7. Do you find the 'Key Questions to Ask' useful? Would the questions improve the quality of your discussion with your financial professional? If not, why not?:
Yes
8. Do you have any additional suggestions to improve the Relationship Summary? Is there anything else you would like to tell us?: