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New Account Survey

Contact Information

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Account Profile

# of Accounts
Number of Positions Held

Volume Profile

Daily Trade (buy/sell Volume)
All Transaction Volume

Assets Under Management

Quantity

Platform Profile

1. What order management platform is currently deployed?
2. What accounting platform is currently deployed?
3. What performance/attribution platform is currently deployed?
4. What client reporting platform is currently deployed?
5. What reconciliation platform is currently deployed?

Data Source Profile

1. How many custodians are used?
2. What source is used for pricing, reference data and analytics?
3. Are there requirements to export data to external platforms for services like proxy, reporting and attribution?

Team Profile

1. How many full and part time staff members are involved in back and middle office operations?
2. How frequently are cash and position reconciliations performed?
3. How frequently is performance calculated?