• Due Diligence Questionnaire

  • Please complete this Initial Discovery Form. These details will allow us to get a better understanding of how your business and book operate and help us guide you smoothly down the path of Independence.

    Based on your responseses, our team may have additional follow-up questions.

    Please complete as much information as you can and use the Submit button at the end of the form to securely send the data to us.

     

  • Advisor Team Information

  • Any existing Disclosures?

  • Accounts & Assets

  • Rows
  • Asset Management & Investment Advisory Services (Check all that apply)

  • Current Custodian(s)

  • Loans / Margin Accounts

  • LOANS ARE DEEPLY SCRUTINIZED BY CUSTODIANS – AS MUCH TRANSPARENCY AS YOU CAN PROVIDE ON EACH LOAN PRIOR TO LAUNCH, THE BETTER!

    a.    Loan Statements
    b.    If collateralized accounts/assets, a redacted copy of those collateral accounts
    c.    Full list of cusips/assets held as collateral
    d.    Current release rates and lending rates.  If vary, why?
    e.    Were any exceptions granted by current firm to approve lending?
    f.    Do loans need to stay in current structure after transition? Can a Pledged account move to margin?
    g.    Are any pledged account/margin accounts invested with a 3rd Party Manager?

  • Rows

  • Billing Considerations

  • Bills on Gross Margin?
  • Bills on Cash Flows?
  • Fee Schedules (Check all that Apply)

  • Back Office & Other Items

  • Will the firm vote proxies?
  • Will the firm use solicitors / promoters?
  • Do you have a preferred Marketing / Web Design firm?
  • Do you own any of your Technology Hardware / Devices?
  • Should be Empty: