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 Doctors Heirs Lottery Winners Physicians Retirees Other Attorneys Business Owners Entrepreneurs Executives Dentists Divorcees (New!) Target Clientele* 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. Seller/Merger Listing Details (*Denotes a required field) We are interested in completing a transaction within* Select One 6 - 12 months 1 - 2 years 2 - 5 years 5+ years Assets Under Management As of 12/31/2010* $ As of 12/31/2009* $ As of 12/31/2008* $ Revenue Quarter 1 2011 Revenue $ Quarter 4 2010 Revenue $ Quarter 3 2010 Revenue $ Quarter 2 2010 Revenue $ Annual Revenue 2009* $ Average Pricing bps $ 3 Sources of Revenue Asset Based Fee Revenue $ Commissioned Sales Revenue $ Hourly Revenue $ Other $ Select One Form of Ownership* S Corp C Corp LLC Partnership Sole Proprietorship Other Select All That Apply Portfolio Management System* Advent Albridge Solutions Black Diamond Bridge Portfolio Captools Checkfree APL Select One Primary Custodian Schwab TD Ameritrade Fidelity DBCams Morningstar Office Orion PortfolioCenter Proprietary Other Merrill Lynch Wealth Management Other Brokerage Bank Other Select One Number of Custodians 1 2 3-5 6 - 10 11 or more Select One Total Salaries as a % of Revenue 0% - 10% 11% - 20% 21% - 30% 31% - 40% 41% - 50% 51% or more Select One Total Overhead Expenses as a % of Revenue 0% - 10% 11% - 20% 21% - 30% 31% - 40% 41% - 50% 51% - 60% 61% or more Select One Current Profit Margin†* Less than 0% 0% - 10% 11% - 20% 21% - 30% 31% - 40% 41% - 50% 51% - 60% 61% - 70% 71% or more Select One New Client Relationships Last Year* †Before 0-5 6 - 10 11 - 25 26 - 50 51 - 100 101+ Tax, Owner’s Compensation and Exceptional Items 4 Client Age Breakdown (Total 100%) Select One Younger than 31 Years 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% Select One 31 to 50 Years 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% Select One 51 to 65 Years 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% Select One 66 Years and Older 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% Price Select All That Apply Asking Price $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 Desired Cash at Closing 0% - 25% 26% - 50% 51% - 75% 76% - 100% For institutional use only. ©2011 Charles Schwab & Co., Inc. ("Schwab"). Member SIPC. All Rights Reserved. Schwab Advisor Services™ (formerly Schwab Institutional®) serves independent investment advisors and includes the custody, trading and support services of Schwab. Independent investment advisors are not owned by, affiliated with or supervised by Schwab. IAN MKT61827 (0511-2634) 5