Creating your listing on the Schwab M&A Listing Service takes only about 20 minutes when you have
the required information. Use this worksheet to gather the data in advance.
Firm Information (*Denotes a required field)
(2000 Character Limit):
Business Overview*
Assets Under Management*
$
As of this date*
MM/DD/YYYY:
Select One
Annual Revenue 2010*
$0 - $100,000
$100,001 - $250,000
$250,001 - $500,000
$500,001 - $1,000,000
$1,000,001 - $2,500,000
$2,500,001 - $5,000,000
$5,000,001 - $10,000,000
$10,000,001+
Select One
(New!) Percentage of Fee
Based Assets*
0% - 25%
26% - 50%
51% - 75%
76% - 100%
Select All That Apply
Investment Style*
Blend
Contrarian
Growth
Income
Passive
Socially Responsible
Value
Other
Select All That Apply
Services Offered*
Annuity Products
Asset Allocation
Bill Payment
Estate Planning
Family Office
Financial Planning
Investment Management
Retirement Planning
Selecting 3rd Party Managers & Funds
Small Business Planning
Stock Options
Tax Planning & Preparation
Trustee Services
Other
Select All That Apply
Type of Firm*
Family Office
Financial Planner
Institutional Investment Consultant
Money Manager
Wealth Manager
Other
Select One
Number of Full-Time
Employees*
0
1-2
3-5
6 - 10
11 - 25
26 or more
1
Select One
Number of Part-Time
Employees*
0
1-2
3-5
6 - 10
11 - 25
26 or more
Select One
Number of Principals*
1
2
3
4
5
6
7
8
9
10 or more
Select One
Years in Operation*
0-5
6 - 10
11 - 25
26 or more
Select One
Number of Offices*
(New!) Office Location(s)*
0
1
2
3
4
5 or more
(Select All States That Apply)
Select One
Errors & Omissions Insurance*
Yes
No
Select All That Apply
Licenses Held by Owners and
Employees*
Series 3
Series 4
Series 6
Series 7
Series 9
Series 10
Series 11
Series 14
Series 23
Series 24
Series 26
Series 27
Series 30
Series 31
Series 51
Series 53
Series 55
Series 62
Series 63
Series 65
Series 66
Series 87
Insurance
Other
None
Select All That Apply
Designations Held by Owners
and Employees*
AAMS
AWMA
CFA
CFP
CMFC
CPA
CRPC
CRPS
CTFA
MBA
MPA
PFS
Other
None
Select One
Average Client Relationship
Size*
$0 - $100,000
$100,001 - $250,000
$250,001 - $500,000
$500,001 - $1,000,000
$1,000,001 - $2,000,000
$2,000,001 - $5,000,000
$5,000,001 - $10,000,000
$10,000,001+
2
Select One
(New!) Minimum Client
Relationship Size*
$500,001 - $1,000,000
$1,000,001 - $2,000,000
$2,000,001+
$0 - $100,000
$100,001 - $250,000
$250,001 - $500,000
Number of Client
Relationships*
Select All That Apply
(New!) Target Clientele*
Doctors
Heirs
Lottery Winners
Physicians
Retirees
Other
Attorneys
Business Owners
Entrepreneurs
Executives
Dentists
Divorcees
Investment Vehicles* (Total 100%)
Individual Securities
Mutual Funds
Separate Accounts
Totals
Equities
%
+
%
+
%
=
%
Fixed Income
%
+
%
+
%
=
%
(New!) ETFs
Alternative
%
Investments†
%
Cash/Money Market
%
Other
%
†Alternative
Investments include hedge funds, private equity funds, managed funds, managed futures, commodities and other
investment instruments.
Buyer Listing Details (*Denotes a required field)
(New!) We are interested in
completing a transaction
within*
Select One
6 - 12 months
1 - 2 years
2 - 5 years
5+ years
Select All That Apply
Price Range
(New!) Cash Willing to Offer at
Closing
$0 - $100,000
$100,001 - $250,000
$250,001 - $500,000
$500,001 - $1,000,000
$1,000,001 - $5,000,000
$5,000,001 - $10,000,000
$10,000,001+
Select All That Apply
0% - 25%
26% - 50%
51% - 75%
76% - 100%
Select the information about the business you wish to purchase.
Select All That Apply
Assets Under Management*
$0 - $10,000,000
$10,000,001 - $25,000,000
$25,000,001 - $50,000,000
$50,000,001 - $100,000,000
$100,000,001 - $500,000,000
$500,000,001 - $1,000,000,000
$1,000,000,001+
3
Select All That Apply
Annual Revenue*
(New!) Percentage of Fee
Based Assets
$0 - $100,000
$100,001 - $250,000
$250,001 - $500,000
$500,001 - $1,000,000
Select All That Apply
0% - 25%
26% - 50%
Select All That Apply
Target Average Revenue bps
on Assets
$1,000,001 - $2,500,000
$2,500,001 - $5,000,000
$5,000,001 - $10,000,000
$10,000,001+
0 - 25
26 - 50
51 - 100
51% - 75%
76% - 100%
101 - 200
201 - 500
501+
Select All That Apply
Investment Style*
Blend
Contrarian
Growth
Income
Passive
Socially Responsible
Value
Other
Select All That Apply
Services Offered*
Annuity Products
Asset Allocation
Bill Payment
Estate Planning
Family Office
Financial Planning
Investment Management
Retirement Planning
Selecting 3rd Party Managers & Funds
Small Business Planning
Stock Options
Tax Planning & Preparation
Trustee Services
Other
Select All That Apply
Type of Firm*
Family Office
Financial Planner
Institutional Investment Consultant
Money Manager
Wealth Manager
Other
Select One
Minimum Years in Operation*
0-5
6 - 10
11 - 25
26 or more
Select One
Errors & Omissions Insurance*
Yes
No
4
Select All That Apply
Licenses Held by Owners and
Employees
Series 3
Series 4
Series 6
Series 7
Series 9
Series 10
Series 11
Series 14
Series 23
Series 24
Series 26
Series 27
Series 30
Series 31
Series 51
Series 53
Series 55
Series 62
Series 63
Series 65
Series 66
Series 87
Insurance
Other
None
Select All That Apply
Designations Held by Owners
and Employees
AAMS
AWMA
CFA
CFP
CMFC
CPA
CRPC
CRPS
CTFA
MBA
MPA
PFS
Other
None
Select All That Apply
(New!) Average Client
Relationship Size*
$0 - $100,000
$100,001 - $250,000
$250,001 - $500,000
$500,001 - $1,000,000
$1,000,001 - $2,000,000
$2,000,001 - $5,000,000
$5,000,001 - $10,000,000
$10,000,001+
Select All That Apply
Minimum Client Relationship
Size*
$0 - $100,000
$100,001 - $250,000
$250,001 - $500,000
$500,001 - $1,000,000
$1,000,001 - $2,000,000
$2,000,001+
Select All That Apply
Investment Vehicles*
Alternative Investments
Cash/Money Market
Equities
ETFs
Fixed Income
Other
Asset Based Fee Revenue
Commissioned Sales Revenue
Select One
Select One
Yes
No
Yes
No
Sources of Revenue
Hourly Revenue
Other Revenue
Select One
Yes
No
Select One
Yes
No
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(formerly Schwab Institutional®) serves independent investment advisors and includes the custody, trading and support services of Schwab.
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