Interested in Partnering With Summit? Tell Us About Yourself and We’ll Be in Touch Soon. Name * First Name Last Name Email * Company Name Website http:// RIA SEC State Assets Under Management Assets Under Advisory Please give us an example of a typical asset mix Mutual Funds / ETFs Variable Annuities Individual Stocks / Bonds Alternatives (REITS, Managed Accounts, etc.) Please describe in detail your investment selection process B/D affiliation B/D payout % How long? Number of advisors and team members Years in business Years with current firm Securities licenses held 6 7 24 63 65 66 Other Insurance licenses held Life Health P&C Other Business certifications / designations (current or working on) Revenue $ Recurring Revenue (RIA %, FP Fees, B/D, Other) Number of Clients Avg. Household Account Size Number of Custodians Clients over 65 (approximate %) Clients under 65 (approximate %) Percentage of time spent with Clients? Percentage of time spent on administrative tasks? Have you had any client complaints (past or on horizon)? Yes No Have you had any disclosure issues (past or on horizon)? Yes No Have you had any financial issues? Yes No Do you prepare and utilize an annual business plan? If so, are you willing to share your plan with Summit Wealth Group? What do you do for marketing and acquiring clients? Your last five clients came from what source? Anticipated Number of Financial Plans Per Year? Are Financial Plans Updated Annually? Yes No What Financial Planning software have you used? What Performance software do you currently use? Please list other Investment-related software you currently use? Do you use Third Party Money Managers? If yes, please indicate who you use and/or have used in the past. What is your favorite part of the business? What is your least favorite part of the business? What do you consider to be some of your core strengths? What are your top three objectives for acquiring/merging/strategic alliance with our firm? What is special and unique about your firm? Thank you for taking the time to complete this! We will be in touch shortly. In the meantime please check out Summit Wealth Group’s website: www.summitwealthgroup.com
