Download Buyer Listing - Schwab Advisor Services

Buyer Listing Worksheet
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*
Percentage of Fee Based Assets*
$0 - $100,000
$100,001 - $250,000
$250,001 - $500,000
$500,001 - $1,000,000
Select One
0% - 25%
26% - 50%
Select All That Apply
Investment Style*
Blend
Contrarian
Growth
Income
Select All That Apply
Services Offered*
Annuity Products
Asset Allocation
Bill Payment
Estate Planning
Family Office
Financial Planning
Investment Management
$1,000,001 - $2,500,000
$2,500,001 - $5,000,000
$5,000,001 - $10,000,000
$10,000,001+
51% - 75%
76% - 100%
Passive
Socially Responsible
Value
Other
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
Select One
Number of Part-Time Employees*
0
1-2
6 - 10
11 - 25
26 or more
6 - 10
11 - 25
26 or more
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3-5
Select One
Number of Principals*
Years in Operation*
6
7
8
9
10 or more
1
2
3
4
5
Select One
11 - 25
26 or more
0-5
6 - 10
Select One
Number of Offices*
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
Series
Series
Series
Series
Series
Series
Series
Series
Series
Series
Series
3
4
6
7
9
10
11
14
23
24
26
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
Select One
Minimum Client Relationship Size*
$0 - $100,000
$100,001 - $250,000
$250,001 - $500,000
$1,000,001 - $2,000,000
$2,000,001 - $5,000,000
$5,000,001 - $10,000,000
$10,000,001+
$500,001 - $1,000,000
$1,000,001 - $2,000,000
$2,000,001+
Number of Client Relationships*
.
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Select All That Apply
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
%
+
%
+
%
=
%
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)
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
$0 - $100,000
$100,001 - $250,000
$250,001 - $500,000
$500,001 - $1,000,000
Select All That Apply
Cash Willing to Offer at Closing
0% - 25%
26% - 50%
$1,000,001 - $5,000,000
$5,000,001 - $10,000,000
$10,000,001+
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
Select All That Apply
Annual Revenue*
$0 - $100,000
$100,001 - $250,000
$250,001 - $500,000
$500,001 - $1,000,000
$100,000,001 - $500,000,000
$500,000,001 - $1,000,000,000
$1,000,000,001+
$1,000,001 - $2,500,000
$2,500,001 - $5,000,000
$5,000,001 - $10,000,000
$10,000,001+
Select All That Apply
Percentage of Fee Based Assets
0% - 25%
26% - 50%
Select All That Apply
Target Average Revenue bps on
Assets
.
0 - 25
26 - 50
51 - 100
51% - 75%
76% - 100%
101 - 200
201 - 500
501+
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M&A Listing Service | Buyer Listing Worksheet
Charles Schwab
Select All That Apply
Investment Style*
Blend
Contrarian
Growth
Income
Select All That Apply
Services Offered*
Annuity Products
Asset Allocation
Bill Payment
Estate Planning
Family Office
Financial Planning
Investment Management
Passive
Socially Responsible
Value
Other
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
Select One
Minimum Years in Operation*
0-5
6 - 10
Money Manager
Wealth Manager
Other
11 - 25
26 or more
Select One
Errors & Omissions Insurance*
Yes
No
This material is for institutional investor use only. This material may not be forwarded or made available, in any part or in whole, to any party that
is not an institutional investor. Independent investment advisors are not owned by, affiliated with or supervised by Schwab. ©2016 Charles Schwab
& Co., Inc. ("Schwab"). Member SIPC. (www.sipc.org Schwab Advisor ServicesTM serves independent investment advisors and includes the custody,
trading, and support services of Schwab. IAN MKT61827 (0511-2634)
.
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