M&A Listing Service | Seller/Merger 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)
Business Overview* / (2000 Character Limit):
Assets Under Management* / $
As of this date* / MM/DD/YYYY:
Annual Revenue* / Select One
$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+
Percentage of Fee Based Assets* / Select One
0% - 25%
26% - 50% / 51% - 75%
76% - 100%
Investment Style* / Select All That Apply
Blend
Contrarian
Growth
Income / Passive
Socially Responsible
Value
Other
Services Offered* / Select All That Apply
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
Type of Firm* / Select All That Apply
Family Office
Financial Planner
Institutional Investment Consultant / Money Manager
Wealth Manager
Other
Number of Full-Time Employees* / Select One
0
1 - 2
3 - 5 / 6 - 10
11 - 25
26 or more
Number of Part-Time Employees* / Select One
0
1 - 2
3 - 5 / 6 - 10
11 - 25
26 or more
Number of Principals* / Select One
1
2
3
4
5 / 6
7
8
9
10 or more
Years in Operation* / Select One
0 - 5
6 - 10 / 11 - 25
26 or more
Number of Offices* / Select One
0
1
2 / 3
4
5 or more
Office Location(s)* / (Select All States That Apply)
Errors & Omissions Insurance* / Select One
Yes
No
Licenses Held by Owners and Employees* / Select All That Apply
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
Designations Held by Owners and Employees* / Select All That Apply
AAMS
AWMA
CFA
CFP
CMFC
CPA
CRPC / CRPS
CTFA
MBA
MPA
PFS
Other
None
Average Client Relationship Size* / Select One
$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+
Minimum Client Relationship Size* / Select One
$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+
Number of Client Relationships*
Target Clientele* / Select All That Apply
Attorneys
Business Owners
Entrepreneurs
Executives
Dentists
Divorcees / Doctors
Heirs
Lottery Winners
Physicians
Retirees
Other
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.
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
Year End Assets Under Management of Last 3 Years
As of 12/31/2015* / $
As of 12/31/2014* / $
As of 12/31/2013* / $
Revenue
Quarter 4 2015 Revenue / $
Quarter 3 2015 Revenue / $
Quarter 2 2015 Revenue / $
Quarter 1 2015 Revenue / $
Annual Revenue 2014* / $
Average Pricing bps / $
Sources of Revenue
Asset Based Fee Revenue / $
Commissioned Sales Revenue / $
Hourly Revenue / $
Other / $
Form of Ownership* / Select One
S Corp
C Corp
LLC / Partnership
Sole Proprietorship
Other
Portfolio Management System* / Select All That Apply
Advent
Albridge Solutions
Black Diamond
Bridge Portfolio
Captools
Checkfree APL / DBCams
Morningstar Office
Orion
PortfolioCenter
Proprietary
Other
Primary Custodian / Select One
Schwab
TD Ameritrade
Fidelity / Merrill Lynch Wealth Management
Other Brokerage
Bank
Other
Number of Custodians / Select One
1
2
3 - 5 / 6 - 10
11 or more
Total Salaries as a
% of Revenue / Select One
0% - 10%
11% - 20%
21% - 30% / 31% - 40%
41% - 50%
51% or more
Total Overhead Expenses as a % of Revenue / Select One
0% - 10%
11% - 20%
21% - 30%
31% - 40% / 41% - 50%
51% - 60%
61% or more
Current Profit Margin†* / Select One
Less than 0%
0% - 10%
11% - 20%
21% - 30%
31% - 40% / 41% - 50%
51% - 60%
61% - 70%
71% or more
New Client Relationships Last Year* / Select One
0 - 5
6 - 10
11 - 25 / 26 - 50
51 - 100
101+
Client Age Breakdown (Total 100%)
Younger than 31 Years / Select One
10%
20%
30%
40%
50% / 60%
70%
80%
90%
100%
31 to 50 Years / Select One
10%
20%
30%
40%
50% / 60%
70%
80%
90%
100%
51 to 65 Years / Select One
10%
20%
30%
40%
50% / 60%
70%
80%
90%
100%
66 Years and Older / Select One
10%
20%
30%
40%
50% / 60%
70%
80%
90%
100%
Price
Asking Price / Select All That Apply
$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+
Desired Cash at Closing / Select All That Apply
0% - 25%
26% - 50% / 51% - 75%
76% - 100%

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"). MemberSIPC.( Schwab Advisor ServicesTMserves independent investment advisors and includes the custody, trading, and support services of Schwab. IAN MKT61827 (0511-2634)

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