Alban Investment Management
Main Page Gauge Your Knowledge Advisor Questions

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Gauge the Qualifications and Effectiveness of your Investment Adviser

Yes No
1
Is your adviser a Registered Investment Adviser, in conformance with federal and state law?
2
Is your adviser a mature individual with over 25 years of experience in investing?
3
Does your adviser have conflicts of interest by receiving commissions on the sale of certain financial products?
4
Does your adviser receive compensation from any third parties, thereby creating conflicts of interest?
5
Does your adviser disclose all sources and amounts of compensation he receives associated with managing your assets?
6
Does your adviser have an advanced business degree from one of the highest rated universities in the world?
7
Is your adviser knowledgeable about modern, well researched, investment theories (such as efficient portfolios)?
8
Is your adviser knowledgeable about new and beneficial investment products such as exchange traded funds?
9
Is your adviser knowledgeable about the use of options to manage risk?
10
Is your adviser knowledgeable about the use of simulation techniques to analyze the implications of investment risk?
11
Is your adviser knowledgeable about tax-efficient ways to invest for private elementary/secondary school tuition?
12
Is your adviser knowledgeable about tax-efficient ways to invest for higher education expenses?
13
Is your adviser knowledgeable about tax-efficient ways to invest for charitable giving?
14
Is your advise knowledgeable about ways to avoid probate and reduce estate taxes?
15
Does your adviser develop personalized, comprehensive, long term investment plans?
16
Does your adviser work for a firm known for low overhead and a low expense structure?
17
Does your adviser charge fees that are often below the prevailing average for the investment advisory industry?
18
Does your adviser follow an investment plan when managing your assets?
19
Does your adviser track your actual investment results against the projected results of an investment plan?
20
Does your adviser independently research security selections?
21
Does your adviser consider the tax consequences of investment decisions?
22
Does your adviser recommend transactions to improve after-tax returns?
23
Does your adviser recommend periodic portfolio re-balancing?
24
Does your adviser alert you about relevant tax law changes or new investment products?
25
Does your adviser seek to minimize investment expenses that do not increase returns or lower risks?
26
Does your adviser provide quarterly reports that measure performance in total, by asset class, and by security?
27
Does your adviser provide quarterly reports that break your portfolio down by asset category and class?
28
Does your adviser provide a monthly e-newsletter to inform you of investment data, trends, and topics?
29
Does your adviser perform administrative tasks to save you time?
30
Is your adviser available for consultation about special investment situations?
31
Can your adviser recommend educational materials about investment topics?
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