December 20, 2019
INVESTMENT ADVISER MARKETING FEEDBACK FORM
1. Have you ever hired, or considered hiring, an investment adviser? Because investment advisers are the subject of this proposed rulemaking, please focus your responses in this questionnaire on investment advisers rather than brokers. : No
2. Have you viewed any investment adviser advertisements? For example, have you looked at an advisers website or a presentation? : Yes
3. Have you looked at an advisers past performance results when considering hiring an investment adviser?
No
4. Have you ever specifically requested past performance results from the investment adviser? : Yes
5. If you have viewed an advisers past performance results, have you discussed them with the adviser? : Yes
6. If you have viewed an advisers past performance results, did you believe that those past performance results would predict the future performance that the adviser could achieve for you? : No
7. How important is it to know the following information when reviewing the past performance results of an adviser?
Performance results minus fees and expenses (i.e., net performance) : Important
A schedule of the specific fees and expenses deducted to calculate net performance : Very Important
Performance results for one-, five-, and ten-year periods : Important
Other information (if any, please describe) : Please send to me all news up to date, Thank you.
8. Have you reviewed hypothetical performance results that demonstrated how an investment strategy could have or would have worked?
Yes
If yes, did you discuss with the adviser how the adviser calculated those hypothetical performance results?
No
9. Have you reviewed targeted performance returns or projected performance returns?
No
10. Would other peoples opinions of the adviser (e.g., testimonials by advisory clients, and endorsements by non-clients), or an advisers rating by a third-party (e.g., Rated B+ by Adviser Reports) help you choose an investment adviser? : Yes
11. How important is it to know the following information when considering a testimonial, endorsement, or rating of an adviser?
Whether the person giving the testimonial or endorsement is a current client : Very Important
Whether the adviser pays the person giving the testimonial, endorsement, or the rating : Important
How recent the rating is, and the period of time it covers : Very Important
Other information (if any, please describe) :
12. What other information do you think would make the advertisements not misleading?
Sometimes advertisement is good give me advice, but some of them like trap too, but always "WATCH" TOS And privacy that site adv.
13. Has a paid salesperson (a solicitor) ever referred you to an investment adviser? : No
14. Would it affect your decision to hire an investment adviser if you knew that the adviser paid a salesperson to refer you to the adviser? : No
15. How important is it to know the following information about a paid salespersons referral?
Amount paid to the solicitor for referring you to the adviser : Important
Whether there will be any additional cost to you:
The solicitors relationship to the adviser : Important
Whether the solicitor has been disciplined for financial-related misconduct : Don't Know
Other information (if any, please describe) : For new trader is better join group, when they lose, percentage loses group smaller than individual