The Advisor Audit

If you're not sure, say you're not sure. That's a real answer and it counts as one.

Who looks after your investments today?

What this question is for

This only changes how the next few questions are worded.

An advisor manages themI manage them myselfBoth. An advisor, plus accounts I run

Were you given a risk tolerance questionnaire (RTQ) prior to deciding how you should invest your current portfolio?

YesNoI am not sure

Does your advisor use/recommend a separate expert or institutional money manager or trader or some other expert investment person or company to make investment decisions and trades?

YesNoI am not sure

Are you invested in annuities?

YesNoI am not sure

Does your advisor ask for your tax returns each year?

YesNo

If your advisor asks for your tax returns each year, do they provide an analysis of that return in a report that you can understand?

YesNo

In the last twelve months, has anyone walked you through whether a Roth conversion makes sense for you?

YesNoI am not sure what that is

When you discussed the Roth conversion recently, did you discuss a discounted conversion or a normal conversion?

We discussed a discounted Roth conversionWe only discussed a normal Roth conversionI am not sure

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I run an advisory firm. Someone who finishes this with a list of open questions is someone I may be able to help, and you should read every word of it knowing that.

Shaun M. Jones, CFS, CFP®. Investment advisory services offered through Jones Fiduciary Wealth Management.

Jones Fiduciary Wealth Management is an investment adviser registered with the U.S. Securities and Exchange Commission. Registration does not imply a certain level of skill or training. The information on this site is for educational purposes only. It is not investment, legal, or tax advice, and it is not a recommendation or solicitation to buy or sell any security. Investing involves risk, including the possible loss of principal. Nothing here should be relied upon as a prediction of future results.