Unique Value Proposition Worksheet

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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%
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