Business Valuation


Financial Advisor Profile

The Business Analysis Questionnaire (BAQ) is a completely anonymous way for LPL & GVA to gain an understanding of your business. Once we receive your information, it will be reviewed and verified with our finance team. If you have any questions regarding this form, please contact info@greatvalleyadvisors.com. As always, please remember that this form is completely anonymous and secure.

Questionnaire:
Your Name: Anonymous Email:
Current Broker/Dealer: Current Trailing 12 Month GDC:
Current Custodian: Previous Trailing 12 Month GDC:
Number of Advisors: Avg. Client Age
Number of Offices:

Fee-Based Production

The first section will help us understand how much of your business is fee-based/advisory. Starting from left to right, please provide your most recent trailing 12 numbers to populate each field, roundest to the nearest dollar.

Fee-Based – Business Overview
Gross Commissions Assets Under Management # of Accounts Avg Fee (%)
Advisor as Portfolio Manager:
Separately Managed Accounts:
Mutual Fund Wrap:
TAMP / 3rd Party:
Financial Planning:
Total:
Fee-Based Per Account – Details
Mutual Fund Families
Advisor as Portfolio Manager Per Account Fund Family (top 4 only) Top Fund Family %
Avg Number of MF Trades:
Avg Number of Equity/ETF Trades:
Avg Number of Fixed Income Trades:
Fee-Based – Retirement/Non-Retirement (%)

Based on your fee-based book of business, what is the percentage split between retirement/non-retirement accounts? (Must total 100%)

Retirement:
Non-Retirement:

Transactional/Brokerage Wealth Management

The Transactional/Brokerage section includes different areas within the traditional wealth management space.

Transactional / Brokerage – Business Overview
Gross Commissions Assets Under Management Trail Percentage Total Accounts
Brokerage – Mutual Funds:
Brokerage – Variable Annuities:
Brokerage – Group Annuities:
Brokerage – Fixed Annuities:
Brokerage – Equity:
Brokerage – Fixed Income:
Brokerage – Alt. Investments:
Brokerage – Insurance:
Brokerage – Other:
Total
Transactional / Brokerage – Business Detail
Brokerage Account Detail Top Vendor Breakdown
Estimated Total Year Trades Per Account Fund Family (top 4 only) Top Fund Family %
Brokerage – Avg # of MF Trades:
Brokerage – Avg # of Equity/ETF Trades:
Brokerage – Avg # of Fixed Income Trades:
Mutual Funds Custodian Annuity Family (top 4 only) Top Annuity %
Brokerage – % of MF held direct:
Transactional / Brokerage – Retirement/Non-Retirement (%)

Based on your transactional/brokerage book of business, what is the percentage split between retirement/non-retirement accounts? (Must total 100%)

Retirement:
Non-Retirement:

Additional Information

Please list any other important information we should know as it relates to you, or your business.