BAC Questionnaire
To be completed prior to BAC review
Overall BAC Score (automatically fills after review)
An Overall Score of 15 or above is required to pass
Your name
*
First Name
Last Name
Your Email
*
example@example.com
Hubspot Deal Name (Exact Match)
*
Company Profile
Primary Advisor Name
*
First Name
Last Name
Current Advisor CRD#
Other Team Members
Number of Employees at Launch
*
Number of IAR's
*
Any existing Disclosures?
Yes
No
Existing Disclosure Information
Reason for leaving Current Firm
Note any termination issues
Current Firm Employment Agreement Issues
ex: Non-Solicitation etc
Current Firm Protocol / Non-Protocol?
Please Select
Protocol
Non-Protocol
Unknown
Need for BD Relationship?
Yes
No
IAR's Insurance Licensed?
Yes
No
Proposed Break Date
-
Month
-
Day
Year
Existing Firm Name
New Firm Name (Nickname is OK)
New Firm Type
*
Please Select
Independent RIA
Independent IAR / DBA
Independent RIA Hybrid
Existing RIA
Firm Location (City, State)
Office Space
Please Select
Current Location
New Location
Home Offices
Client Type
ex: HNW, Institutional, Pension etc
Number of Households
Number of Accounts
Number of Manual Entry Positions
Foreign Accounts
401K & Employee Retirement Plans Managed
Current Custodian(s)
Fidelity
Schwab
TDA
Raymond James
Pershing
Other
Proposed Custodian(s)
Fidelity
Schwab
TDA
Raymond James
Pershing
Other
Current Billing Advance / Arrears
Please Select
Advance
Arrears
Current Billing Frequency
Please Select
Monthly
Quarterly
Bills on Gross Margin?
Yes
No
Bills on Cash Flows?
Yes
No
Billed Values
Please Select
Period End
Avg. Daily Balance
Asset Management
Uses Managed Accounts
Serves as Advisor / PM
Uses Alternatives
Uses Models
Interest in OCIO Services
Interest in Outsourced Trading
Collateralized Accounts
Uses Margin
Uses Robo Advisors
Currently Maintains Custody of Client Assets (Excl. Assets at a Custodian)
Interest in tru OCFO
Other
Collateralized Accounts Information
Alternatives Information
Include number of alternatives, number of accts holding these alts, strategies or fund names, and source/timing of valuations etc.
Model Information
describe types of holdings, target allocations, rebalancing/trading cadence, point person from team on these etc.
Outsourced Trading Information
How is trading currently handled and by who?
OCFO Information
Current Business Expenses
Current Portfolio Management System
Proposed Portfolio Management System
Current CRM
Proposed CRM
Current Financial Planning
Proposed Financial Planning
Current Risk Software
Proposed Risk Software
Current Research / Quote Software
Proposed Research / Quote Software
Executive Summary
Upload any pertinent files here
Browse Files
Drag and drop files here
Choose a file
Cancel
of
Back
Finish Later
Send to BAC
Next
Business Acceptance Committee Review
Enter BAC Password to Continue
Back
Next
Finish Later
Financial Stability
Background Check Complete?
Yes
No
Credit Check Complete?
Yes
No
Financial Stability Score
Please Select
0
1
2
3
4
5
Financials Scored By
Please Select
Stacy
Tami
Doug
Paul
Jamie
Financials Notes
Compliance Integrity
SEC /FINRA Disclosures Check Complete?
Yes
No
IAR Licensing Check Complete?
Yes
No
Compliance Readiness Score
Please Select
0
1
2
3
4
5
Compliance Scored By
Please Select
Stacy
Tami
Doug
Paul
Jamie
Compliance Notes
Operational Competency
Operational Score
Please Select
0
1
2
3
4
5
Operations Scored By
Please Select
Stacy
Tami
Doug
Paul
Jamie
Jason
Operations Notes
Technology
Technology Score
Please Select
0
1
2
3
4
5
Technology Scored By
Please Select
Stacy
Tami
Doug
Paul
Jamie
Jason
Technology Notes
Complexity, Duration & Personality
Complexity Score
Please Select
0
1
2
3
4
5
Complexity Scored By
Please Select
Stacy
Tami
Doug
Paul
Jamie
Long Term Probability Score
Please Select
0
1
2
3
4
5
Probability Scored By
Please Select
Stacy
Tami
Doug
Paul
Jamie
Personality Score
Please Select
0
1
2
3
4
5
Personality Scored By
Please Select
Stacy
Tami
Doug
Paul
Jamie
Complexity, Duration & Personality Notes
Overall BAC Review Score
An Overall Score of 15 or above is required to pass
Finish Later
Complete Review
Should be Empty: