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Valuation Form - 2024

Contact Information

First Name:

Last Name:

Email Address:

Phone Number:

Individual CRD#:

Name of Firm:

Firm ZIP Code:

General Business Information

Year 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

General Client Information

Total Number of Clients:

Percent of Client Tenure Over 5 Years:

AUM Located Within 100 miles:

AUM Contacted Within the Last 12 Months:

AUM of Largest Client (Millions):

Total AUM for 10 Largest Clients (Millions):

How much AUM have you gathered from new clients over the last 24 months?

How much AUM have you lost from client attrition over the last 24 months (millions)?

Types of Clients

Clients

% of Revenue

Individuals:

Pension Plan Sponsors:

Investment Advisers:

Other:

Please Describe:

TOTAL:

Client Ages

Household Client Age

% of Revenue

Under 55:

55 to 65:

65 to 75:

75 to 85:

Over 85:

TOTAL:

Client Portfolio Sizes

Household Portfolio Sizes

% of Revenue

Under $500K:

$500K to $1M:

$1M to $5M:

Over $5M:

TOTAL:

AUM History

Year

Total (Round to nearest million)

2019:

2020:

2021:

2022:

2023:

Current AUM:

Revenue History

Year

Amount ($)

2019:

2020:

2021:

2022:

2023:

Current T12:

Compensation Sources

Advisory

T12 Revenue Total

AUM-Based Fees:

Ongoing Retainers:

Hourly:

Other:

Please Describe:

TOTAL:

Brokerage

T12 Revenue Total

Trails from Products Sold:

Front-End Product Sales:

Trade Commissions:

Other:

Please Describe:

TOTAL:

Annual Expenses

Owner Compensation (please include salaries, benefits, bonuses, payroll taxes, etc.):

Total expenses that are ordinary and necessary for the business to continue (exclude owner compensation):

1099 Advisors

Are you affiliated with a broker-dealer or RIA on a contract basis?

Yes

What is your payout percentage?

Additional Information

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

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