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 < $50K
Customer Account Counts
Account Type
Brokerage
Direct / Sponsor
Advisory
Third-Party Managers
Retail / Non-Qualified Accounts
Qualified Accounts (IRA, 401k, etc.)
401(k) / Group Plans
Commission-Based (B/D)
Fee-Based (Corp RIA)
Not Sure
Total
Plan Count
Plan Assets ($)
T12M GDC ($)
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
By submitting this form you acknowledge that you understand any offer extended to you is based upon the information provided herein and is subject to verification. To the extent that Advisor Transition Partners is unable to verify or should the information change as a result of verification, any offer may be adjusted or withdrawn. This document and its contents are confidential and intended solely for ATP's internal use in connection with your engagement.
Please confirm the acknowledgement before submitting.
Intake Form Submitted
Thank you. Your practice profile has been submitted to Advisor Transition Partners. A member of our team will reach out within 1–2 business days to schedule your initial consultation.
