Next steps? Please provide us some more information. Step 1 of 5 20% DBA Name*Primary Advisor Full Name* First Last Are there other advisors in office?* Yes No How many other advisors are there?*Date of Birth* MM slash DD slash YYYY Mobiel Phone Number*Non-Monitored Email Address* Select your affiliations* Only IAR Only Dually Reg Both IAR & Dually Reg Current RIA/BD Name*Do you have any disclosures?* Yes No Total Advisory Only AUM (Current)*Total Advisory Only AUM (3 years ago)*Primary Custodian*# of Accounts & AUM*Please include total number of accounts and total AUM Are you an advisor on Fee-Based 401(k)s?* Yes No Fee-Based 401(k)s AUM*Fee-Based 401(k)s # of plans*Fee-Based 401(k)s payout at current firm*Fee-Based 401(k)s role*e.g. financial advisor, 3(21) or 3(38)Billing Structure*e.g. monthly in arrearsWhat is the total average % fee to clients?*include your advisor fee + manager/platform feeDo you self-manage client portfolios?* Yes No Do you have defined models?* Yes No How many defined models do you have?*Are you opposed to using models? Yes No What types of funds and how many per model?Average annual turnover of portfolio*Do you do fixed insurance business?* Yes No e.g. permanent life insurance, fixed indexed annuities, etc.Average annual production for Target Life*Average annual production for Fixed Indexed Annuities*Average annual production for DI*Does your current RIA/BD place fixed insurance through their grid?* Yes No e.g. permanent life insurance, fixed indexed annuities, etc.What is your payout?* Do you wish to continue to be dually registrered?* Yes No What is your previous year's total GDC?*What is your previous year's GDC (minus advisory business)?*What is your direct business GDC?*Please list primary financial institutions for direct business. e.g. American Funds, Nationwide, etc.Are you an advisor on commission-based 401(k)s?* Yes No Fee-Based 401(k)s AUM*Fee-Based 401(k)s # of plans*Fee-Based 401(k)s payout at current firm*Fee-Based 401(k)s role*e.g. financial advisor, 3(21) or 3(38) What is your 5-year goal for total AUM?*What is your 5-year goal for recurring annual revenue?*What is your 5-year goal for your lifestyle?*Please attach your 6-month commission statements. Drop files here or Select files Max. file size: 12 MB. Δ
