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Financial Advisor

Advisor Practice Intake

Provide your practice details for a confidential review. ATP will evaluate your profile and reach out within one to two business days.

Form Length
Quick covers the essentials. You can always come back for a full intake.
Contact
Required
Required
Valid email required
Practice Snapshot
Required
Asset Mix (High-Level)

Rough percentages are fine. Total should approach 100%.

What You're Exploring
Acknowledgement
1Profile & Contact
2GDC & Revenue
3Assets & Accounts
4Products & Partners
5Review & Submit
1

Financial Professional Profile

SECTION A
Basic Information
Required
Required
Contact Details
Valid email required
Current Affiliation
Team & Office Structure
Non-Compete / Non-Solicit
2

Fees, Commissions & GDC

SECTION B
Gross Dealer Concession Summary
Please provide proof of trailing 12 months GDC (commission statement, W-2, or 1099)
$
Required
$
$
T12M GDC by Product Type
$
$
$
$
$
$
$
$
$
$
$
ATP Advisory Profile
3

Assets Under Administration & Client Accounts

SECTION C
AUA by Product Type
Provide AUA totals by product and account type. Albridge or BD report preferred.
Product Type Brokerage ($) Direct / Sponsor ($) Advisory ($) Third-Party Managers ($)
Alternative Investments
General Securities
Fixed Insurance (Annuities & EIAs)
Mutual Funds
Variable Annuities
Variable Life Insurance
Money Market Funds
Cash Balances
% of Accounts < $50K
Customer Account Counts
Account Type Brokerage Direct / Sponsor Advisory Third-Party Managers
Retail / Non-Qualified Accounts
Qualified Accounts (IRA, 401k, etc.)
401(k) / Group Plans
4

Product Providers, Asset Managers & Context

SECTION D
Top 5 Mutual Fund Providers
1
2
3
4
5
Top 5 Variable Annuity Providers
1
2
3
4
5
Top Third-Party Asset Managers (Custodied Direct)
1
2
3
Additional Vendors & Portfolio Managers
Unique Practice Circumstances
ATP Strategic Assessment (Optional)
5

Review & Submit

SECTION E
Acknowledgement & Signature
This intake is informational and creates no engagement on either side. Any offer comes from the receiving firm, not ATP, and is based on the information you provide here. The receiving firm may adjust or withdraw its offer if verification changes the picture. Submissions are confidential and used internally only. We will reach out within 1–2 business days.