Advisor Discovery Profile

Advisor Discovery Profile
Point of Contact - Background
Please select the name of your TruClarity representative.
Full Name*
First & Last Name
Title
Personal E-mail*
Any changes to this email will effect the 'Save for Later' function of this form. If this needs to be changed, please contact your TruClarity representative so they can send you an updated access link.
CRD #
Personal Phone Number*
Format: (000) 000-0000.
The 'Back/Next' button(s) will navigate you through the pages of this questionnaire, and will also serve as 'Save' functions. In the event you cannot complete this in one sitting, please remember to select the 'Next' or 'Back' button before exiting the page. To revisit later, simply return to the TruClarity Advisor Discovery Profile email that contains your unique access link.

*Required

Firm - Background
Current Firm / Affiliated Broker Dealer*
(If not applicable, enter "N/A")
Current Firm / Custodian*
(If not applicable, enter "N/A")
Current Number of Financial Advisors (excluding Point of Contact)*
CRD # for Other Financial Advisors
If more than 1, please use comma to separate.
Current Number of Support Staff*
Are any of the Support Staff licensed?
CRD # for Support Staff
If more than 1, please use comma to separate.
Is Current Firm a Protocol Firm?*
Non-Disclosure AgreementNon-Solicit/Non-Compete AgreementRestrictive CovenantsPromissory NotesForgivable LoansDo Not Know
For the Promissory Note(s) - List the Remaining Balance(s) and Remaining Term(s):
For the Forgivable Loan(s) - List the Remaining Balance(s) and Remaining Term(s):
Any Deferred Compensation?*
Please provide a brief description:
The 'Back/Next' button(s) will navigate you through the pages of this questionnaire, and will also serve as 'Save' functions. In the event you cannot complete this in one sitting, please remember to select the 'Next' or 'Back' button before exiting the page. To revisit later, simply return to the TruClarity Advisor Discovery Profile email that contains your unique access link.

*Required

Assets Under Management (Millions) *

Rows	Current Firm AUM ($)	Anticipated AUM to Transition ($)
Total Fee-Based AUM
Total Transaction-Based AUM
Total

AUM Transition Percentage (Hidden from Respondent)

Gross Revenue (Thousands)*

Rows	Current Firm Revenue ($)	Anticipated Revenue to Transition ($)
Fee-Based T12 Revenue
Transaction-Based T12 Revenue
Financial Planning Revenues
Insurance Revenues
Other Revenues
Total

Revenue Transition Percentage (Hidden from Respondent)

Rows % Transitioned

Total
If you have Other Revenues - Please provide a brief description.

Product Mix (Each column should total 100%)*

Rows	As a % of Current AUM	As a % of Anticipated AUM to Transition
Equities
ETFs
Bonds
Mutual Funds
Options
Variable Annuities
Alternative Investments
Proprietary Products
Other
Total

Accounts and Households*

Client Account Size*

Rows	Smallest	Largest	Average
Client Account Size ($)

Client Fee Range*

Rows	Smallest	Largest	Average
Client Fee Range (%)

Annual Trading*

Do you currently have or anticipate having International Accounts?*
Estimated Number of International Accounts
Location of International Accounts
Do you currently use or anticipate using Third-Party Money Managers?*
Please provide a brief description of the Third-Party Money Managers, including the strategies used.
Pass Through to ClientWrap FeeOther
Other - please provide a brief description.
Do you intend to continue using Third Party Money Managers upon going independent?
Do you currently sell or anticipate selling Insurance product?*
Please list Product Types.
Clients with Margin Debit Balance?*

The 'Back/Next' button(s) will navigate you through the pages of this questionnaire, and will also serve as 'Save' functions. In the event you cannot complete this in one sitting, please remember to select the 'Next' or 'Back' button before exiting the page. To revisit later, simply return to the TruClarity Advisor Discovery Profile email that contains your unique access link.

*Required

Rows	Margin
Number of Clients with Margin Balance
Average Margin Balance
Largest Margin Balance
Total Margin Balance

Rows	Sec Lending
Number of Clients Participating in Securities-Based Lending
Average Balance Drawn
Largest Balance Drawn
Total Lending Balance Drawn
Total Collateral Balance

Expected Timeline for Transitioning of AUM (%)*

Will you need Technology Equipment (i.e. computers, monitors, printers, etc)?
Other - Please provide a brief description.
Support Staff
Number of Support Staff Needed for Independent Firm*
Please Detail Support Staff Title and Role
Support Staff Compensation and Bonuses
Attempted Transition Steps
Business FormationLegal and ComplianceOffice Space/Real EstateMarketingOtherNo Actions Taken
Please provide a brief description.
Please provide a list of all securities held (include CUSIP and ticker). If you are unable to provide the list now, please provide to your TruClarity representative shortly after completing this questionnaire.

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Should be Empty:

Rows	Number Of:
Executive Office(s)
Standard Office(s)
Work Station(s) - if open concept
Conference Room(s)

Point of Contact - Background