M&A Listing Service Seller/Merger Listing Worksheet

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)

(2000 Character Limit): Business Overview*

Assets Under Management* $ As of this date* MM/DD/YYYY: Select One $0 - $100,000 $1,000,001 - $2,500,000 Annual Revenue* $100,001 - $250,000 $2,500,001 - $5,000,000 $250,001 - $500,000 $5,000,001 - $10,000,000 $500,001 - $1,000,000 $10,000,001+ Select One Percentage of Fee Based Assets* 0% - 25% 51% - 75% 26% - 50% 76% - 100% Select All That Apply Blend Passive Investment Style* Contrarian Socially Responsible Growth Value Income Other Select All That Apply Retirement Planning Annuity Products Selecting 3rd Party Managers & Asset Allocation Funds Bill Payment Small Business Planning Services Offered* Estate Planning Stock Options Family Office Tax Planning & Preparation Financial Planning Trustee Services Investment Management Other

Select All That Apply Money Manager Type of Firm* Family Office Financial Planner Wealth Manager Institutional Investment Consultant Other Select One Number of Full-Time Employees* 0 6 - 10 1 - 2 11 - 25 3 - 5 26 or more Select One Number of Part-Time Employees* 0 6 - 10 1 - 2 11 - 25 3 - 5 26 or more

1 of 5 M&A Listing Service | Seller/Merger Listing Worksheet Charles Schwab

Select One 1 6 2 7 Number of Principals* 3 8 4 9 5 10 or more

Select One Years in Operation* 0 - 5 11 - 25 6 - 10 26 or more

Select One Number of Offices* 0 3 1 4 2 5 or more Office Location(s)* (Select All States That Apply) Select One Errors & Omissions Insurance* Yes No

Select All That Apply Series 30 Series 3 Series 31 Series 4 Series 51 Series 6 Series 53 Series 7 Series 55 Series 9 Series 62 Licenses Held by Owners and Series 10 Series 63 Employees* Series 11 Series 65 Series 14 Series 66 Series 23 Series 87 Series 24 Insurance Series 26 Other Series 27 None

Select All That Apply AAMS CRPS AWMA CTFA Designations Held by Owners and CFA MBA Employees* CFP MPA CMFC PFS CPA Other CRPC None

Select One $0 - $100,000 Average Client Relationship Size* $1,000,001 - $2,000,000 $100,001 - $250,000 $2,000,001 - $5,000,000 $250,001 - $500,000 $5,000,001 - $10,000,000 $500,001 - $1,000,000 $10,000,001+

Select One

Minimum Client Relationship Size* $0 - $100,000 $500,001 - $1,000,000

$100,001 - $250,000 $1,000,001 - $2,000,000

$250,001 - $500,000 $2,000,001+

Number of Client Relationships*

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Select All That Apply Attorneys Doctors Business Owners Heirs Target Clientele* Entrepreneurs Lottery Winners Executives Physicians Dentists Retirees Divorcees Other Investment Vehicles* (Total 100%)

Individual Separate Mutual Funds Totals Securities Accounts

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) Select One We are interested in completing a 2 - 5 years transaction within* 6 - 12 months 5+ years 1 - 2 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 $

Select One S Corp Partnership Form of Ownership* C Corp Sole Proprietorship LLC Other

Portfolio Management System* Select All That Apply DBCams Advent Morningstar Office Albridge Solutions Orion Black Diamond

Bridge Portfolio PortfolioCenter Captools Proprietary Checkfree APL Other Select One Merrill Lynch Wealth Management Other Brokerage Primary Custodian Schwab TD Ameritrade Bank Fidelity Other Select One 1 6 - 10 Number of Custodians 2 11 or more 3 - 5

Select One Total Salaries as a 0% - 10% 31% - 40% % of Revenue 11% - 20% 41% - 50% 21% - 30% 51% or more

Select One 0% - 10% Total Overhead Expenses as a % of 41% - 50% 11% - 20% Revenue 51% - 60% 21% - 30% 61% or more 31% - 40%

Select One Less than 0% 41% - 50% † 0% - 10% 51% - 60% Current Profit Margin* 11% - 20% 61% - 70% 21% - 30% 71% or more 31% - 40%

Select One 0 - 5 26 - 50 New Client Relationships Last Year* 6 - 10 51 - 100 11 - 25 101+ Client Age Breakdown (Total 100%) Select One 10% 60% 20% 70% Younger than 31 Years 30% 80% 40% 90% 50% 100%

Select One 10% 60% 20% 70% 31 to 50 Years 30% 80% 40% 90% 50% 100%

Select One 10% 60% 20% 70% 51 to 65 Years 30% 80% 40% 90% 50% 100%

Select One 10% 60% 20% 70% 66 Years and Older 30% 80% 40% 90% 50% 100% Price Select All That Apply $0 - $100,000 $1,000,001 - $5,000,000 Asking Price $100,001 - $250,000 $5,000,001 - $10,000,000 $250,001 - $500,000 $10,000,001+ $500,001 - $1,000,000

Select All That Apply Desired Cash at Closing 0% - 25% 51% - 75% 26% - 50% 76% - 100%

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