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GROWTH | Valuation Contact Form (#49)

Contact Information

First Name:

Last Name:

Email Address:

Phone Number:

Individual CRD#:

Firm ZIP Code:

Name of Firm:

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):

AUM From New Clients (Last 24 Months):

AUM Lost From Client Attrition (Last 24 Months):

Types of Clients

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

Clients

% of Revenue

Individuals:

Types of Clients - Individuals:

Pension Plan Sponsors:

Pension Plan Sponsors:

Investment Advisers:

Investment Advisers:

Other:

Other:

Client Ages

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

Household Client Age

% of Revenue

Under 55:

Clients Ages - Under 55:

55 to 65:

55 to 65:

65 to 75:

65 to 75:

75 to 85:

75 to 85:

Over 85:

Over 85:

Client Portfolio Sizes

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

Household Portfolio Sizes

% of Revenue

Under $500K:

Portfolio Sizes - Under $500K:

$500K to $1M:

$500K to $1M:

$1M to $5M:

$1M to $5M:

Over $5M:

Over $5M:

AUM History

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

Year

Total (Round to nearest million)

2019:

AUM History - 2019:

2020:

2020:

2021:

2021:

2022:

2022:

2023:

2023:

Current AUM:

Current AUM:

Revenue History

Year

Amount ($)

2019:

Revenue History - 2019:

2020:

2020:

2021:

2021:

2022:

2022:

2023:

2023:

Current T12:

Current T12:

Compensation Sources

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

Type

% of T12 Revenue Total

AUM-Based Fees:

Aum-Based Fees:

Ongoing Retainers:

Ongoing Retainers:

Hourly:

Hourly:

Trails from Products Sold:

Trails from Products Sold:

Front-End Product Sales:

Front-End Product Sales:

Trade Commissions:

Trade Commissions:

Other:

Other:

Trailing 12 Expenses

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?

Additional Information

Did anyone refer you to us?

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

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