Registration Form Select all that apply* Buy Sell Merge Succession Continuity Become a Successor/join a practice Username*Password* Enter Password Confirm Password Strength indicator Name* First Last Date of birth CRD NumberPhoneEmail* Email COMPANY INFORMATIONName of Broker Dealer (Firm)Clearing Firms / Custodians List Clearing Firms or Custodians affiliated withBusiness Address* Business Street Business City AlabamaAlaskaArizonaArkansasCaliforniaColoradoConnecticutDelawareDistrict of ColumbiaFloridaGeorgiaHawaiiIdahoIllinoisIndianaIowaKansasKentuckyLouisianaMaineMarylandMassachusettsMichiganMinnesotaMississippiMissouriMontanaNebraskaNevadaNew HampshireNew JerseyNew MexicoNew YorkNorth CarolinaNorth DakotaOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVermontVirginiaWashingtonWest VirginiaWisconsinWyomingArmed Forces AmericasArmed Forces EuropeArmed Forces Pacific Business State Business Zip BUSINESS MIXCurrent AUM*What are your current assets under management?Trailing Gross Revenue*What is your trailing 12 months gross revenue?Client AgeAverage Client Age?AccountsNumber of Accounts?HouseholdsNumer of Households?Fee Based*These values must add up to 100%Commission Based*These values must add up to 100%PRACTICE RATIO MIXItems below must add up to 100%Ratio managed moneyPlease enter a value between 0 and 100.Ratio mutual fundsPlease enter a value between 0 and 100.Ratio annuitiesPlease enter a value between 0 and 100.Ratio insurancePlease enter a value between 0 and 100.Ratio alternative investmentsPlease enter a value between 0 and 100.Ratio financial planningPlease enter a value between 0 and 100.Ratio otherPlease enter a value between 0 and 100.THIRD PARTY MONEY MANAGERSSelectYesNoDo you currently use 3rd party money mangers?Money Managers* Active Investment Advisors Advanced Investment Partners AEW Asset Management AllianceBernstein Alta Capital Management Ariel Investments, LLC Ashfield Capital Partners, LLC Assetmark Atlanta Capital Management Atlantic Trust BlackRock Investment Management Brandes Investment Partners, L.P. Breckinridge Capital Advisors Brinker BTS Asset Management Calvert Asset Management Capstone Asset Management Cincinnati Asset Management Chartwell Investment Partners Clark Capital Management Group, Inc. CLS Investments Congress Asset Management Curian Davis Advisors Delaware Investments Denver Investments Dreman Value Management Dunham & Associates Eagle Asset Management Eagle Boston Asset Management Eaton Vance Management Envestnet Fred Alger Capital Management Glenmede Global Currents Goldman Sachs Asset Management Hanlon Investments Horizon Investments, LLC Invesco Advisers, Inc. Ironwood Investment Management John Hancock Asset Management JPMorgan Asset Management Karpus Investment Management Kayne Anderson Rudnick Lazard Asset Management Legg Mason Private Portfolio Group Lockwood Advisors Logan Capital Management Loomis Sayles & Co., L.P. Loring Ward MacKay Shields, LLC Madison Investment Advisors Managers Choice Manning & Napier McDonnell Investment Management MFS Investment Management Morningstar Natixis Global Asset Management Neuberger Berman Northern Trust Value Investors NorthRoad Capital Management Nuveen Asset Management Pacific Income Advisers Parametric Portfolio Associates Pax World Penn Capital Management Philadelphia International Advisors PIMCO Principal Global Investors Reaves Asset Management Riverbridge Partners, LLC RNC Genter Capital Management Rochdale Investments Schafer Cullen Capital Management SEI Sovereign Asset Management Sterling Capital Management Symmetry Systematic TAMRO TCW Investment Management Thompson, Siegel & Walmsley, LLC. Tocqueville Asset Management, LLC Tower Bridge Advisors Turner Investment Partners Vaughan Nelson Victory Capital Management W.E. Donoghue & Co., Inc. Wells Capital Management William Blair & Company Williams Jones MUTUAL FUNDSSelectYesNoDo you use mutual funds in your practice?Mutual Funds* Other (Not Listed) Aberdeen Funds Absolute Strategies Fund Akre Funds AdvisorOne Funds AIG Financial Distributors - SunAmerica Al Frank Funds Alger Group AllianceBernstein Allianz Funds Alpine Funds Altegris Funds Amana Funds American Beacon Funds American Century Funds American Funds American Independence Funds Merger Fund Ameristock Funds AMG Funds AQR Funds Aquila Group of Funds Ariel Funds Arrow Funds Artisan Funds Aston Funds Ave Maria Funds Baird Funds Baron Funds Becker Funds Berwyn Funds BlackRock Bogle Funds Brandes Funds Bridgeway Funds BTS Funds Buffalo Funds Burnham Funds Calamos Mutual Funds Calvert Funds Cambiar Funds Catalyst Funds Century Funds Champlain Funds City National Rochdale, LLC Clipper Fund Clough China Fund Cohen & Steers Columbia Management Compass EMP Funds Credit Suisse Cullen Funds Cutler Funds Davis Funds Delaware Investments Diamond Hill Direxion Funds Dodge & Cox Funds DoubleLine Funds Dreman Funds Dreyfus Funds Driehaus Funds Dunham Funds DWS Funds Eagle Funds Eaton Vance Funds Fairholme Fund FBR Funds Federated Investments Fidelity Advisor Funds Fidelity Funds First American Funds First Eagle Funds First Investors Funds Forester Funds Forward Funds FPA Funds Franklin Templeton Frost Funds Gabelli Funds Goldman Sachs Funds Good Harbor Funds Greenspring Funds Guggenheim Funds Guiness Atkinson Funds Hancock Horizon Funds Harbor Funds Harding Loevner Funds Hartford Mutual Funds Heartland Funds Heitman Funds Hennessey Funds Highland Funds Hodges Funds Homestead Funds Hotchkis & Wiley Funds Hussman Funds ICON Funds Innealta Capital Funds Integrity Viking Funds Intrepid Funds Invesco Funds Ivy Funds James Advantage Funds Janus Capital Group Jensen Portfolio Fund John Hancock Funds JP Morgan Asset Management Keeley Funds Keystone Funds Kinetics Funds Laudus Funds Lazard Funds Legg Mason Funds Leuthold Funds LKCM Funds LoCorr Funds Loomis Sayles Funds Lord Abbett Funds Mainstay Funds Mairs & Power Growth Fund Manning & Napier Funds Marshall Funds Marsico Funds Matthews Funds Metropolitan West Funds MFS Investment Management Morgan Stanley Munder Funds MutualHedge Frontier Legends Fund Nationwide Funds Natixis Funds Navigator Funds Needham Funds Neuberger Berman Funds Nicholas Funds Northeast Investors Funds Northern Funds Nuveen Funds Oakmark Funds Oberweis Funds Olstein Funds OppenheimerFunds Osterweis Fund Pacific Advisors Funds Pacific Life Funds Paradigm Funds Parnassus Funds Pax World Funds Payden & Rygel Funds Permanent Portfolio Fund Perritt Funds PIMCO Funds Pioneer Investments PNC Funds Portfolio 21 Fund Power Income Fund PrimeCap Odyssey Funds Princeton Managed Futures Fund Principal Funds Private Capital Management ProFunds Prudential Investments Putnam Investments Quaker Funds Quantitative Funds Rainier Funds RidgeWorth Investments RiverNorth Funds Robeco Funds Roge Partners Funds Royce Funds RS Funds Russell Investments Sammons Retirement Solutions Salient Funds Schneider Funds Schroder Funds Schwab Funds Scout Funds SEI Funds Selected Funds Sentinel Funds Sit Funds Sound Shore Fund SSgA Funds Stadion Funds Steward Funds T Rowe Price Funds Tamarack Funds TCW Funds TFS Market Neutral Fund Third Avenue Funds Thompson Plumb Funds Thornburg Funds Timothy Plan Tocqueville Funds Torray Funds Touchstone Funds Transamerica Funds Transparent Value Funds Turner Funds Tweedy Browne Funds US Global Investors Funds Van Eck Global Funds Vanguard Funds Victory Funds Villere Funds Virtus Funds Voya Funds Wasatch Funds WBI Funds Weitz Funds Wells Fargo Advantage Funds Westcore Funds Western Asset Management William Blair Funds Winslow Green Funds Wintergreen Funds Other*VARIABLE ANNUITIESSelectYesNoDo you use Variable Annuities?Variable Annuities* Other (Not Listed) AIG Allianz American National Insurance Co. Ameritas/UNIFI AXA/Equitable Forethought Life Great American Guardian Integrity Life Jackson National Jefferson National Lincoln Financial Distributors MetLife Midland National Minnesota Life Monumental Life National Life of Vermont Nationwide Ohio National Life Insurance OneAmerica Pacific Life Penn Mutual Life Insurance Protective Life Prudential Sammons Retirement Solutions Security Benefit Life Symetra The Hartford Transamerica Union Central/UNIFI Voya Western Reserve Life Other*INSURANCE BUSINESSSelectYesNoDo you currently do any insurance business?Insurance Businesses* Other (Not Listed) American General Nationwide Pacific Life Penn Mutual Prudential Voya Other*ALTERNATIVE INVESTMENTSelectYesNoDo you currently use alternative investments?Alternative Investments* Other (Not Listed) American Realty Capital ATEL Capital Group Northstar Realty Finance CNL Group, Inc. Dividend Capital Griffin Capital Hines Real Estate KBS Realty AEI Fund Management, Inc. Inland Real Estate Investment Group Steben & Company Man Investments Rochdale Investment Management SC Distributors Atlas Energy, Inc. (no current product) Cypress Leasing Corporation (no current product) Franklin Square Capital Partners, LLC Altegris Campbell & Co. Steadfast Terra Capital W.P. Carey Other*SUCCESSION PLANNINGPast AquisitionsHave you aquired a book of business in the past?SelectYesNoOptionsAre you considering broker dealer options for your business?SelectYesNoRIAAre you interested in starting or joining an RIA?SelectYesNo*SelectJOIN RIASTART RIAPlanDo you have a succession plan in place?SelectYesNoValuationAre you interested in having a practice valuation?SelectYesNoAdditional NotesPlease give a brief description of your business and what you hope to accomplish on the site. * You are open to direct communication from AUM Exchange and it's subscribing partner firms? * I Agree With the Terms of Service Agreement
