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Valuation Contact Form (#49)

First Name:

Last Name:

Email Address:

Phone Number:

Individual CRD#:

RIA Firm CRD# (if any):

Name of Firm:

Firm ZIP Code:

Website (if any):

Year Firm Opened:

Services Provided:

Number of Advisors:

Number of Support Staff:

If a sale took place, would key employees continue with the firm?

Yes

Are key employees bound to non-compete agreements?

Yes

Total Number of Households:

Percent of Client Tenure Over 5 Years:

Percentage of AUM Located Within 100 Miles of Your Office:

Percentage of AUM Contacted Within the Last 12 Months:

AUM of Largest Client (in Millions):

Total AUM for Top 10% of Clients (in Millions):

AUM Added From New Clients (Last 24 Months in Millions):

AUM Lost From Client Attrition (Last 24 Months in Millions):

Note: The percentages for the revenue generated from each type of client should add up to 100%.

Revenue generated from each type of client:

Individuals:

Pension Plan Sponsors:

Investment Advisers:

Other:

Note: The percentages for the revenue generated from each age category of clients should add up to 100%.

Revenue generated from each age category:

Under 55:

55 to 65:

65 to 75:

75 to 85:

Over 85:

Note: The percentages for the revenue from each of the portfolio sizes should add up to 100%.

Revenue from each portfolio size:

Under $500K:

$500K to $1M:

$1M to $5M:

Over $5M:

Please use the following:
1=$1M, 10=$10M, 100=$100M, 1000=$1B
Example: $202 million=202

Reported yearly AUM:

2021:

2022:

2023:

2024:

2025:

Current AUM:

Please use the following:
1=$1M, 10=$10M, 100=$100M, 1000=$1B
Example: $202 million=202

Yearly Revenue:

2021:

2022:

2023:

2024:

2025:

Current T12:

Note: The percentages for each of their entries should add up to 100%. The total must match Current T12 from the previous section.

Aum-Based Fees:

Ongoing Retainers:

Hourly:

Trails from Products Sold:

Front-End Product Sales:

Trade Commissions:

Other:

Non-Owner Advisor Compensation (wages, benefits, payroll taxes):

Non-Owner Support Staff Compensation (wages, benefits, payroll taxes):

Office (rent, utilities, phone, equipment):

Technology and Software:

Professional Fees (insurance, accounting, legal, compliance, clearing and execution, etc.):

Excluding all owner compensation and income taxes, what is the grand total of expenses that are ordinary and necessary to continue operating your firm?

Did anyone refer you to us?

Please tell us anything else you would like us to know about your business:

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