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Welcome to Aurora Private Wealth. Please fill out the following practice purchase questionnaire.
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Last Name
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Email
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Address
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United States
Afghanistan
Albania
Algeria
American Samoa
Andorra
Angola
Anguilla
Antigua and Barbuda
Argentina
Armenia
Aruba
Australia
Austria
Azerbaijan
The Bahamas
Bahrain
Bangladesh
Barbados
Belarus
Belgium
Belize
Benin
Bermuda
Bhutan
Bolivia
Bosnia and Herzegovina
Botswana
Brazil
Brunei
Bulgaria
Burkina Faso
Burundi
Cambodia
Cameroon
Canada
Cape Verde
Cayman Islands
Central African Republic
Chad
Chile
China
Christmas Island
Cocos (Keeling) Islands
Colombia
Comoros
Congo
Cook Islands
Costa Rica
Cote d'Ivoire
Croatia
Cuba
Curaçao
Cyprus
Czech Republic
Democratic Republic of the Congo
Denmark
Djibouti
Dominica
Dominican Republic
Ecuador
Egypt
El Salvador
Equatorial Guinea
Eritrea
Estonia
Ethiopia
Falkland Islands
Faroe Islands
Fiji
Finland
France
French Polynesia
Gabon
The Gambia
Georgia
Germany
Ghana
Gibraltar
Greece
Greenland
Grenada
Guadeloupe
Guam
Guatemala
Guernsey
Guinea
Guinea-Bissau
Guyana
Haiti
Honduras
Hong Kong
Hungary
Iceland
India
Indonesia
Iran
Iraq
Ireland
Israel
Italy
Jamaica
Japan
Jersey
Jordan
Kazakhstan
Kenya
Kiribati
North Korea
South Korea
Kosovo
Kuwait
Kyrgyzstan
Laos
Latvia
Lebanon
Lesotho
Liberia
Libya
Liechtenstein
Lithuania
Luxembourg
Macau
Macedonia
Madagascar
Malawi
Malaysia
Maldives
Mali
Malta
Marshall Islands
Martinique
Mauritania
Mauritius
Mayotte
Mexico
Micronesia
Moldova
Monaco
Mongolia
Montenegro
Montserrat
Morocco
Mozambique
Myanmar
Nagorno-Karabakh
Namibia
Nauru
Nepal
Netherlands
Netherlands Antilles
New Caledonia
New Zealand
Nicaragua
Niger
Nigeria
Niue
Norfolk Island
Turkish Republic of Northern Cyprus
Northern Mariana
Norway
Oman
Pakistan
Palau
Palestine
Panama
Papua New Guinea
Paraguay
Peru
Philippines
Pitcairn Islands
Poland
Portugal
Puerto Rico
Qatar
Republic of the Congo
Romania
Russia
Rwanda
Saint Barthelemy
Saint Helena
Saint Kitts and Nevis
Saint Lucia
Saint Martin
Saint Pierre and Miquelon
Saint Vincent and the Grenadines
Samoa
San Marino
Sao Tome and Principe
Saudi Arabia
Senegal
Serbia
Seychelles
Sierra Leone
Singapore
Slovakia
Slovenia
Solomon Islands
Somalia
Somaliland
South Africa
South Ossetia
South Sudan
Spain
Sri Lanka
Sudan
Suriname
Svalbard
eSwatini
Sweden
Switzerland
Syria
Taiwan
Tajikistan
Tanzania
Thailand
Timor-Leste
Togo
Tokelau
Tonga
Transnistria Pridnestrovie
Trinidad and Tobago
Tristan da Cunha
Tunisia
Turkey
Turkmenistan
Turks and Caicos Islands
Tuvalu
Uganda
Ukraine
United Arab Emirates
United Kingdom
Uruguay
Uzbekistan
Vanuatu
Vatican City
Venezuela
Vietnam
British Virgin Islands
Isle of Man
US Virgin Islands
Wallis and Futuna
Western Sahara
Yemen
Zambia
Zimbabwe
Other
Country
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4
Phone Number
Area Code
Phone Number
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5
Your Goals and Plans
You’re filling out a form because you are considering selling your practice. Please tell us why you are considering this.
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6
What are your five top life dreams?
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7
What are your main personal goals?
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8
In what time frame do you hope to achieve these goals?
1 Year
3 Years
5 Years
2 Years
4 Years
5+ Years
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9
What are you considering?
Please select any that apply below.
An immediate sale to Aurora followed by my retirement
An immediate sale to Aurora followed by me joining Aurora as an IAR
Joining Aurora now, with a possible sale in the future
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10
What is your philosophy of client relationships?
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11
What types of securities do you use for clients?
e.g. ETFs Mutual Funds, Individual Equities, etc.
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12
What is your philosophy for managing your firm?
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13
Please describe your business model:
e.g., “primary marketer/rainmaker surrounded by servicing/relationship IAR's, outsourced management”, or “solo practitioner, providing marketing, asset management, and relationship management"
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14
How many people in your firm market for new clients?
1
3
5
2
4
5+
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15
How many people in your firm provide relationship management?
1
3
5
2
4
5+
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16
Gross Revenues
Please fill out the information below.
12 Month
24 Month
36 Month
Asset Mgmt. Fees
Row 0, Column 0
Row 0, Column 1
Row 0, Column 2
Financial Planning Fees
Row 1, Column 0
Row 1, Column 1
Row 1, Column 2
BD Trails/Recurring Revenues
Row 2, Column 0
Row 2, Column 1
Row 2, Column 2
BD Transactional Revenues
Row 3, Column 0
Row 3, Column 1
Row 3, Column 2
Fixed Insurance Commissions
Row 4, Column 0
Row 4, Column 1
Row 4, Column 2
Asset Mgmt. Fees
Financial Planning Fees
BD Trails/Recurring Revenues
BD Transactional Revenues
Fixed Insurance Commissions
12 Month
Row 0, Column 0
24 Month
Row 0, Column 1
36 Month
Row 0, Column 2
12 Month
Row 1, Column 0
24 Month
Row 1, Column 1
36 Month
Row 1, Column 2
12 Month
Row 2, Column 0
24 Month
Row 2, Column 1
36 Month
Row 2, Column 2
12 Month
Row 3, Column 0
24 Month
Row 3, Column 1
36 Month
Row 3, Column 2
12 Month
Row 4, Column 0
24 Month
Row 4, Column 1
36 Month
Row 4, Column 2
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17
Wrap Fees paid from asset management fees listed above
Please add dollar amount below.
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18
Transaction charges paid by you
Please enter dollar amount below.
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19
Fees for third-party managers paid by you from asset management fees listed above.
Please enter dollar amount below.
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20
What key opportunities do you see in the coming 1-3 years that your practice is positioned to take advantage of?
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21
What would you need in order to optimize these opportunities?
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22
What are the key challenges that your practice faces in the coming 1-5 years?
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23
What is your plan for managing these challenges?
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24
Please provide the following information for all of your personnel:
For each employee, please check all boxes that apply
Marketing
Asset Manager
Rel. Manager
Compliance
Admin
Fin Planner
Employee 1
Row 0, Column 0
Row 0, Column 1
Row 0, Column 2
Row 0, Column 3
Row 0, Column 4
Row 0, Column 5
Employee 2
Row 1, Column 0
Row 1, Column 1
Row 1, Column 2
Row 1, Column 3
Row 1, Column 4
Row 1, Column 5
Employee 3
Row 2, Column 0
Row 2, Column 1
Row 2, Column 2
Row 2, Column 3
Row 2, Column 4
Row 2, Column 5
Employee 4
Row 3, Column 0
Row 3, Column 1
Row 3, Column 2
Row 3, Column 3
Row 3, Column 4
Row 3, Column 5
Employee 5
Row 4, Column 0
Row 4, Column 1
Row 4, Column 2
Row 4, Column 3
Row 4, Column 4
Row 4, Column 5
Employee 6
Row 5, Column 0
Row 5, Column 1
Row 5, Column 2
Row 5, Column 3
Row 5, Column 4
Row 5, Column 5
Employee 7
Row 6, Column 0
Row 6, Column 1
Row 6, Column 2
Row 6, Column 3
Row 6, Column 4
Row 6, Column 5
Employee 8
Row 7, Column 0
Row 7, Column 1
Row 7, Column 2
Row 7, Column 3
Row 7, Column 4
Row 7, Column 5
Employee 9
Row 8, Column 0
Row 8, Column 1
Row 8, Column 2
Row 8, Column 3
Row 8, Column 4
Row 8, Column 5
Employee 10
Row 9, Column 0
Row 9, Column 1
Row 9, Column 2
Row 9, Column 3
Row 9, Column 4
Row 9, Column 5
Employee 1
Employee 2
Employee 3
Employee 4
Employee 5
Employee 6
Employee 7
Employee 8
Employee 9
Employee 10
Marketing
Row 0, Column 0
Asset Manager
Row 0, Column 1
Rel. Manager
Row 0, Column 2
Compliance
Row 0, Column 3
Admin
Row 0, Column 4
Fin Planner
Row 0, Column 5
Marketing
Row 1, Column 0
Asset Manager
Row 1, Column 1
Rel. Manager
Row 1, Column 2
Compliance
Row 1, Column 3
Admin
Row 1, Column 4
Fin Planner
Row 1, Column 5
Marketing
Row 2, Column 0
Asset Manager
Row 2, Column 1
Rel. Manager
Row 2, Column 2
Compliance
Row 2, Column 3
Admin
Row 2, Column 4
Fin Planner
Row 2, Column 5
Marketing
Row 3, Column 0
Asset Manager
Row 3, Column 1
Rel. Manager
Row 3, Column 2
Compliance
Row 3, Column 3
Admin
Row 3, Column 4
Fin Planner
Row 3, Column 5
Marketing
Row 4, Column 0
Asset Manager
Row 4, Column 1
Rel. Manager
Row 4, Column 2
Compliance
Row 4, Column 3
Admin
Row 4, Column 4
Fin Planner
Row 4, Column 5
Marketing
Row 5, Column 0
Asset Manager
Row 5, Column 1
Rel. Manager
Row 5, Column 2
Compliance
Row 5, Column 3
Admin
Row 5, Column 4
Fin Planner
Row 5, Column 5
Marketing
Row 6, Column 0
Asset Manager
Row 6, Column 1
Rel. Manager
Row 6, Column 2
Compliance
Row 6, Column 3
Admin
Row 6, Column 4
Fin Planner
Row 6, Column 5
Marketing
Row 7, Column 0
Asset Manager
Row 7, Column 1
Rel. Manager
Row 7, Column 2
Compliance
Row 7, Column 3
Admin
Row 7, Column 4
Fin Planner
Row 7, Column 5
Marketing
Row 8, Column 0
Asset Manager
Row 8, Column 1
Rel. Manager
Row 8, Column 2
Compliance
Row 8, Column 3
Admin
Row 8, Column 4
Fin Planner
Row 8, Column 5
Marketing
Row 9, Column 0
Asset Manager
Row 9, Column 1
Rel. Manager
Row 9, Column 2
Compliance
Row 9, Column 3
Admin
Row 9, Column 4
Fin Planner
Row 9, Column 5
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25
Please provide the following information for all of your personnel:
Hours/Week
Compensation
Employee 1
Row 0, Column 0
Row 0, Column 1
Employee 2
Row 1, Column 0
Row 1, Column 1
Employee 3
Row 2, Column 0
Row 2, Column 1
Employee 4
Row 3, Column 0
Row 3, Column 1
Employee 5
Row 4, Column 0
Row 4, Column 1
Employee 6
Row 5, Column 0
Row 5, Column 1
Employee 7
Row 6, Column 0
Row 6, Column 1
Employee 8
Row 7, Column 0
Row 7, Column 1
Employee 9
Row 8, Column 0
Row 8, Column 1
Employee 10
Row 9, Column 0
Row 9, Column 1
Employee 1
Employee 2
Employee 3
Employee 4
Employee 5
Employee 6
Employee 7
Employee 8
Employee 9
Employee 10
Hours/Week
Row 0, Column 0
Compensation
Row 0, Column 1
Hours/Week
Row 1, Column 0
Compensation
Row 1, Column 1
Hours/Week
Row 2, Column 0
Compensation
Row 2, Column 1
Hours/Week
Row 3, Column 0
Compensation
Row 3, Column 1
Hours/Week
Row 4, Column 0
Compensation
Row 4, Column 1
Hours/Week
Row 5, Column 0
Compensation
Row 5, Column 1
Hours/Week
Row 6, Column 0
Compensation
Row 6, Column 1
Hours/Week
Row 7, Column 0
Compensation
Row 7, Column 1
Hours/Week
Row 8, Column 0
Compensation
Row 8, Column 1
Hours/Week
Row 9, Column 0
Compensation
Row 9, Column 1
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26
What client portal technology do you use?
Please identify any online client-facing technology you offer
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27
What CRM Platform do you use?
Salesforce
Junxture
Redtail
Microsoft Dynamics
Wealth Box
Envestnet/Tamarac
Zoho
Grendel
Salentica
Other
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28
What is your total annual CRM cost?
$
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29
What financial planning technology do you use?
e.g. EMoney, MoneyGuidePro etc.
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30
What is your total annual financial planning technology cost?
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31
What billing technology do you use?
e.g. Redi2, BillFin, Orion, etc.
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32
What proposal technology do you use?
e.g. AdvisorWorld, FolioDynamix, etc.
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33
What is your total annual proposal technology cost?
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34
What reporting technology do you use?
e.g. Black Diamond, Morningstar Office, etc.
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35
What is your total annual reporting technology cost?
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36
What compliance technology do you use?
e.g. My RIA Compliance, RIA Glass, etc.
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37
What is your total annual compliance technology cost?
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38
Please indicate any compliance consulting firm you may use
e.g. MarketCounsel, S&S, RIA in A Box, etc.
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39
What is the total annual cost of your compliance consultant services?
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40
Please indicate any Turnkey Asset Management Program that you currently use
e.g. Envestnet, FolioDynamix, Brinker, Sawtooth, etc.
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41
3rd Party Asset Management
Fill In Below
# of 3rd Party Managers Used
Row 0, Column 0
3rd Party Advised AUM
Row 1, Column 0
3rd Party Co-Advised AUM
Row 2, Column 0
# of 3rd Party Managers Used
3rd Party Advised AUM
3rd Party Co-Advised AUM
Fill In Below
Row 0, Column 0
Fill In Below
Row 1, Column 0
Fill In Below
Row 2, Column 0
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42
Custody Partners
Please indicate all custody relationships that you have
Schwab Advisor Services
TD Institutional
Fidelity Institutional
Pershing Advisor Solutions
Raymond James IAD
TradePMR
LPL
SSN
RBC Advisor Services
TCA
Other
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43
What is your current marketing strategy?
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44
What is your total annual marketing budget?
$
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45
What is your total number of client households?
0-50
100-150
200-250
50-100
150-200
250+
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46
What is your total regulatory AUM?
The AUM listed on firm's ADV
$
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47
What is your total solicitor AUM?
Please provide the total of business solicited by you for other RIA firms, if any.
$
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48
Please describe the asset management strategies that you use for clients.
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49
Do you utilize coaching services?
Yes
No
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50
Please identify coaching services you use.
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51
Does your staff receive coaching services?
Yes
No
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52
Please identify any coaching services your staff uses.
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53
Rent
If you rent your office space, please identify total cost of space.
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54
Legal
How much do you spend on legal fees annually?
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55
Accounting
How much do you spend on accounting annually?
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56
E&O Insurance Premium
Please provide the cost of your annual E&O Premium
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57
General Office/Admin
How much do you spend on general office/admin annually?
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