Attachment I - Questionnaire.xlsx
XLSX spreadsheet 27 KB Posted
- Attached to
- Investment Management Services
- Solicitation number
- RFP-12057
- Issued by
- Polk County, Florida
About this file
This document is a detailed Questionnaire from the St. Johns River Water Management District (RFP 41027) for an Investment Management Services Request for Proposal. The questionnaire is a comprehensive two-tab Excel document designed to gather detailed information from potential investment management service providers, focusing on their organizational background, investment expertise, performance history, and capacity to manage public funds. The document requires respondents to provide extensive information about their institutional client base, asset management capabilities, historical returns, team composition, compliance standards, and specific details about their investment management approach.
The questionnaire seeks in-depth insights into the respondent's financial capabilities, including total assets under management, breakdown of institutional clients by asset size, historical market values of managed funds, and specifically the value of public and Florida public assets managed. Key areas of inquiry include regulatory compliance (SEC, NASD), insurance coverage, client service team qualifications, audit processes, investment management experience with Florida state government agencies, portfolio management techniques, and any potential conflicts of interest such as broker/dealer relationships or compensation structures. The document is designed to comprehensively evaluate potential investment management service providers' qualifications, track record, and suitability for managing the District's investment portfolio.
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| File | Type | Posted |
|---|---|---|
| RFP_41027_Invest_Mgnt_Serv.pdf |
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Text version
Tab 1 - Q&A
| St. Johns River Water Management District |
| RFP 41027 - Investment Management Experience Questionnaire |
| DO NOT insert additional lines into this proposal form. Respondents must answer in the space provided unless otherwise instructed. Boxes will expand for answers. The "answer" area will expand as needed to respond to the question. |
Please complete the following tabs: Tab 1 - Q&A, and Tab 2 - Multi-Response Question Answer
| 1 | Legal name and address of organization, include the year founded. |
| 2 | Provide a brief history of the Respondent's organization. |
| 3 | Are there any anticipated changes in the ownership of the organization during the next 36 months? |
| 4 | Describe any SEC, NASD, or any other regulatory censure or litigation involving your firm or the individual that will be providing investment service to the District during the past five years. Please provide information beginning with closed cases and their resolution, followed by pending cases and expected outcomes. |
| 5 | Describe all insurance maintained as coverage (e.g., fiduciary, errors and omissions, professional liability or other). |
| 6 | Is the Respondent’s organization compliant with Association for Investment Management and Research-Performance Presentation Standards (AIMR-PPS), the standards that were created to provide standardized performance presentation for money managers? If yes, provide documentation of compliance. |
| 7 | Describe the client service team that would deal directly with the District during the transition and on an ongoing basis. Provide detailed biographical information, including years with the organization, for each member of the proposed client service team. Include relevant expertise for each member. |
| 8 | What audit process does your firm employ? |
| 9 | Where will the client service team be located? |
| 10 | Describe investment management services experience with Florida state government agency funds. |
| 11 | Provide the total amount of public funds under management and indicate what percentage of these funds are Florida state agency funds. |
| 12 | How much (amount and percentage) of funds are managed for outside third parties? |
| 13 | Does the Respondent have any subsidiary relationship or other arrangement with a holding company? |
| 14 | What percent of total assets under management will the District portfolio represent? |
| 15 | Describe any direct relationship the Respondent has with any broker/dealer. |
| 16 | Is Respondent compensated in either hard or soft dollars by running trades through a certain broker/dealer? If yes, provide details and nature of relationship with the broker/dealer. |
| 17 | Provide historical annual returns against appropriate benchmark returns for a sample composite of the Respondent’s portfolio and for the individual investment products proposed to the District (i.e. mutual fund or commingled) for the last five calendar years, including the latest quarter, March 1, 2025. Indicate whether returns are gross of fees or net of fees. Provide the number of portfolios and asset size of each as compared to the total portfolio and total assets in the composite sample being utilized. |
| 18 | Describe how the funds are managed; i.e., by an individual portfolio manager who determines the selections and the weightings, by a team, or a committee. |
| 19 | Describe any optimization or risk control techniques used in the portfolio construction process. |
Tab 2 - Multi-Response
RFP 41027 - Investment Management Questionnaire (fill in the blanks)
| 1 | Enter the number of institutional clients to which the Respondent provides consulting and/or investment services by asset size in each of the following categories, as of the most recent quarter end: | <$10M | $10 to $25M | $25 to $100M | $100M to $1B | >$1 B | |
| Corporate | |||||||
| Funds | |||||||
| Endowments | |||||||
| Foundations | |||||||
| Public Pension | |||||||
| Funds – Other |
| 2 | Provide the number of “Total Organized Assets” and “Institutional Clients” and the range of their sizes at the end of the most recent quarter and at the end of the last five calendar years. | Year | Total Organized Assets | Institutional Clients |
| March 1, 2025 | ||||
| March 1, 2024 | ||||
| March 1, 2023 | ||||
| March 1, 2022 | ||||
| March 1, 2021 | ||||
| March 1, 2020 |
| 3 | What was the market value of all assets under management at the end of the most recent quarter and at the end of the last five calendar years? | Year | Short-Term Operating Funds | Medium-Term Operating Funds | Bond Proceeds | Totals |
| March 1, 2025 | ||||||
| March 1, 2024 | ||||||
| March 1, 2023 | ||||||
| March 1, 2022 | ||||||
| March 1, 2021 | ||||||
| March 1, 2020 |
4 a. Provide total value of public assests under management
| b. Provide total value of Florida public assets under managemnt | Year | a. Total Value Public Assests | b. Total Value of Florida Public Assets | ||
| December 31, 2024 | |||||
| December 31, 2023 | $ | $ | |||
| December 31, 2022 | |||||
| December 31, 2021 | |||||
| December 31, 2020 | |||||
| December 31, 2024 | |||||
| December 31, 2023 |
File details come from the government source that posted it. Updated .