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What To Expect
Pre-Approval Questionnaire
Contact Information for Primary Borrower/Applicant
FULL NAME
*
LEGAL PRACTICE NAME
*
WHAT % OF THIS BUSINESS DO YOU OWN
*
%
YEARS OF EXPERIENCE AS AN ADVISOR
*
ADDITIONAL OWNER NAME AND % OF THE OWNERSHIP
OWNER NAME
% OF OWNERSHIP
%
OWNER NAME
% OF OWNERSHIP
%
-
+
Additional Partner
HOW MANY YEARS HAVE YOU BEEN WITH YOUR CURRENT FIRM?
*
OFFICE PHONE
*
MOBILE PHONE
*
EMAIL
*
BUSINESS ADDRESS
*
CITY
*
STATE
*
Select Your State
Alabama
Alaska
Arizona
Arkansas
California
Colorado
Connecticut
Delaware
Florida
Georgia
Hawaii
Idaho
Illinois
Indiana
Iowa
Kansas
Kentucky
Louisiana
Maine
Maryland
Massachusetts
Michigan
Minnesota
Mississippi
Missouri
Montana
Nebraska
Nevada
New Hampshire
New Jersey
New Mexico
New York
North Carolina
North Dakota
Ohio
Oklahoma
Oregon
Pennsylvania
Rhode Island
South Carolina
South Dakota
Tennessee
Texas
Utah
Vermont
Virginia
Washington
West Virginia
Wisconsin
Wyoming
ZIP
*
Practice & Transaction Information
HOW MUCH FINANCING ARE YOU APPLYING FOR?
($200,000
MINMUM
)
$
PROJECTED CLOSE DATE
*
WHAT TYPE OF LOAN ARE YOU APPLYING FOR?(CHECK ALL THAT APPLY)
ACQUISITION
PARTNER BUY IN
PARTNER BUY OUT
EQUITY PURCHASE
BUSINESS DEBT REFINANCE/CONSOLIDATION
LINE OF CREDIT
WORKING CAPITAL
PRACTICE TYPE
Registered Investment Advisor
Investment Advisor Representative
Registered Representative
Hybrid
OSJ
BUYER’S BROKER DEALER
SELLER’S BROKER DEALER
BUYER’S CUSTODIAN
SELLER’S CUSTODIAN
BUYER'S CURRENT AUM
*
$
SELLER'S CURRENT AUM
$
BUYER’S TRAILING 12 REVENUE
*
$
SELLER'S TRAILING 12 REVENUE
$
BUYER’S FEE BASED/RECURRING REVENUE?
*
$
SELLER’S FEE BASED/RECURRING REVENUE?
$
IS THE BUYER’S BUSINESS DEBT FREE?
*
Yes
No
LIST BALANCE OF CURRENT LIABILITIES
*
$
Personal Financial Information for Primary Borrower/Applicant
PERSONAL CREDIT SCORE
*
Select Your Credit Score
800+
751-800
700-750
700 or below
ESTIMATED PERSONAL LIQUIDITY
*
$
ESTIMATED QUALIFIED ACCOUNT BALANCES
*
$
ESTIMATED BALANCE OF PERSONAL LIABILITIES
*
$
ESTIMATED NET WORTH INCLUDING BUSINESS
*
$
ESTIMATED NET WORTH EXCLUDING BUSINESS
*
$
Are you in good standing with FINRA and/or SEC?
*
Yes
No
Have you ever filed for or taken bankruptcy,
composition/settlement/assignment for benefit of creditors, or had a short
sale of real estate or other property?
*
Yes
No
Do you have any tax liens or contested taxes ?
*
Yes
No
Have you been a party to a foreclosure, repossession, debt settlement and/or short sale proceeding?
*
Yes
No
Have you been charged or convicted of a felony ?
*
Yes
No
Are you or have you ever been a defendant in any suits or legal actions?
*
Yes
No
Have you ever been charged with, arrested, convicted, placed on
pre-trial diversion, or placed on any form of probation, including
adjudication withheld pending probation for any criminal offense
other than a minor vehicle violation? Include DUI and DWI offenses
and those which have been dismissed, discharged, or not
prosecuted.
*
Yes
No
Personal Information for Supplementary Borrower(s)
FULL NAME
PHONE
EMAIL
BUSINESS ADDRESS
PERSONAL CREDIT SCORE
Select Your Credit Score
800+
751-800
700-750
700 or below
ESTIMATED PERSONAL LIQUIDITY
$
ESTIMATED QUALIFIED ACCOUNT BALANCES
$
ESTIMATED BALANCE OF PERSONAL LIABILITIES
$
ESTIMATED NET WORTH INCLUDING BUSINESS
$
ESTIMATED NET WORTH EXCLUDING BUSINESS
$
Are you in good standing with FINRA and/or SEC?
Yes
No
Have you ever filed for or taken bankruptcy,
composition/settlement/assignment for benefit of creditors, or had a short
sale of real estate or other property?
Yes
No
Do you have any tax liens or contested taxes ?
Yes
No
Have you been a party to a foreclosure, repossession, debt settlement and/or short sale proceeding?
Yes
No
Have you been charged or convicted of a felony ?
Yes
No
Are you or have you ever been a defendant in any suits or legal actions?
Yes
No
Have you ever been charged with, arrested, convicted, placed on
pre-trial diversion, or placed on any form of probation, including
adjudication withheld pending probation for any criminal offense
other than a minor vehicle violation? Include DUI and DWI offenses
and those which have been dismissed, discharged, or not
prosecuted.
Yes
No
-
+
Additional Partner
HOW DID YOU HEAR ABOUT US?
*
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