First Name (required)

Last Name (required)

Your Email (required)

General Business Information

What year did you open your business?

What is your business structure (S-Corp, LLC, Sole Proprietorship, etc)?

What licenses do you hold?

What designations do you hold?

Do you have any professional alliances (such as a referral network)?

Fiscal-year end date:

Revenue

What was your total revenue in the following years?

2021:

2020:

2019:

2018:

Current year revenue total:

How many advisors contribute to production?

What are your total Assets Under Management?

How many total households?

How many total accounts?

On a scale of 1 to 5, how would you rate the overall liquidity of your clients’ accounts? (1 = illiquid and 5 = mostly liquid)

What percentage of revenue is recurring?

Revenue Totals for Previous 12 Months

Recurring Revenue:

Asset-based fees:

Recurring planning retainers:

Other (401k Fees, 3rd Party Asset Management Fees):

Non-recurring Revenue:

Commission-Based Income (Stocks, bonds, mutual funds, ETFs, etc.):

One-off consulting income (hourly, per plan, etc.):

Other:

Insurance:

Variable Products:

Fixed Insurance:

Revenue by Household Portfolio Size

Percent of Revenue Generation:

< $500k:

$500k to $1M:

$1M to $3M:

> $3M:

Clients

Client Contact:

Percent of assets contacted in the last 6 months:

Between 6 months and 1 year:

Over 1 year:

What percentage of clients reside within 100 miles?

Age of Clients

Percent of Assets Owned by Age Group:

Under 65:

65 to 75:

75 to 85:

Over 85:

Annual Expenses

General Expense Summary:

Staff / Payroll:

Rent:

Marketing:

Compliance:

B/D affiliation costs:

Other:

Total Annual Expenses Before Taxes and Depreciation:

Liabilities

Any outstanding debt?

Do you have any pending litigation?

Do you have any disclosures, including archived?

Other Considerations

Will a majority of acquired staff be retained?

Please tell us about any outside business activities:

Do you have a succession plan formalized?

Do you outsource your compliance tasks to a 3rd party?

Do you have non-competes agreements formalized with all necessary parties?

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