6C Discovery™

Section 1: Practice Overview

The essentials: who you are, what you manage, and how you're structured.

These details help us match you with firms that align with your practice size, client base, and business model. Firms have different sweet spots: some specialize in large practices, others in specific asset ranges or team structures.

Full Name *

Email *

Phone

Primary Office Location City/metro area where you're based

Current Firm / Platform *

Years at Current Firm

Total Years in Industry

Trailing-12-Month Revenue (T12) Drag slider or type a value directly (e.g. $725K, $1.4M)

$0 $10.0M

Assets Under Management (AUM) Drag slider or type a value directly (e.g. $135M, $1.2B)

$0M $1B

Number of Client Households

0 households 500 households

Recurring Revenue Percentage

0% 100%

3-Year Revenue Trend Annual growth rate

-10% +50%

Client Concentration % of revenue from top 10 clients

0% 100%

Top Sources of New Clients Select up to 3

Client referrals COI referrals Firm leads Digital marketing Seminars/events Networking Acquisitions

Practice Type

Solo Practitioner Team 2-3 advisors Multi-Advisor 4+ advisors Ensemble Partners w/ equity

Do you have staff?

No staff 1 admin/CSA 2-3 staff 4-6 staff 7+ staff

Partnership Structure

Equal partners Production-Based Split Founder majority Other N/A - Solo

Section 2: Regulatory & Compliance

Professional credentials and regulatory status.

Your licensing and compliance history directly affects which firms can accept you and how quickly you can transition. Being upfront about any disclosures helps us prepare and find firms with appropriate policies.

Series Licenses

Series 7

Series 65

Series 66

Series 24

Series 63

None

Professional Designations

CFP®

CFA

ChFC

CLU

CIMA

CPA

CPWA

RICP

None

Previous Transition Experience

First transition Once before 2-3 times 4+ times

Regulatory Disclosures

No disclosures Yes - minor Yes - significant

Currently under regulatory investigation?

No Yes

Ever been terminated from a firm?

No Yes

Section 3: Culture

Understanding your preferred firm culture and environment.

Culture fit is the #1 predictor of long-term satisfaction. Understanding your preferences for leadership style, collaboration, and firm values helps us identify environments where you'll thrive for decades, not just years.

Preferred Leadership Style

Hands-On Accessible Strategic Oversight w/ autonomy Advisor-Led Governance No preference

Stability vs. Growth Preference

1 = Stable/mature firm 10 = Fast-Growing/entrepreneurial

Business Model Philosophy

Fee-Only No commissions Fee-Based Some commissions Hybrid Balanced Commission Primarily

Autonomy vs. Structure Preference

1 = High structure/support 10 = Maximum autonomy

Brand Affiliation Importance

1 = Not important 10 = Essential to use firm brand

What aspects of firm culture matter most? Select up to 3

Collaborative Entrepreneurial Client-Centric Fiduciary-First Strong compliance Diversity Ownership opportunities

Section 4: Community & Support

The strength of the advisor network and support ecosystem.

Some advisors want a tight-knit community with mentorship and peer collaboration. Others prefer independence. Understanding your support needs helps us match you with firms that deliver the right level of connection.

Mentorship Importance

1 = Not important 10 = Essential

Value of Peer Advisor Groups

Essential Actively collaborate Valuable When possible Nice to have Not important

Most Valued Training & Development Select up to 3

Financial planning Practice management Marketing Investment management Technology Leadership Niche expertise

Preferred Conference Frequency

1-2 / year 3-4 / year 5+ / year Regional only Virtual

Section 5: Practice Compatibility

Alignment between your practice and firm strengths.

Different firms excel with different practice models. A firm perfect for fee-only RIAs might not suit commission-based practices. We match your service model and client types with firms built to support exactly how you work.

Primary Service Model

Comprehensive financial planning

Investment management focus

Retirement specialist

Wealth management (HNW)

Insurance-Based

Hybrid

How Technology-Forward is your practice?

1 = Traditional/Relationship-Driven 10 = Highly digital/Tech-Enabled

Do you serve a niche market?

No General clients Yes Niche specialization

Expected Client Portability

Essential Product Capabilities Select all that are critical to your practice

Mutual funds/ETFs SMAs Alternatives Annuities Life insurance DI/LTC Banking/lending Trust services

Digital Client Service Percentage

Section 6: Capability

Operational infrastructure and resources.

Technology and operational support can make or break your efficiency. We identify which tools and resources are must-haves for your practice so we can find firms with the infrastructure you need to grow.

Which technology capabilities are most critical? Select up to 5 - For each selection, choose your preferred tool

I'm not sure / my team handles our tech stack

Technology Roadmap Importance

1 = Not important 10 = Essential - need clear tech improvement plan

Preferred Supervision Structure

Direct BD supervision

OSJ model

Hybrid RIA with BD

Full RIA independence

No preference

Most Important Operational Capabilities Select up to 4

Fast account opening Efficient money movement Responsive service Quality reporting Compliance support Marketing support Custodian relationships Tech integration

Select up to 4 options

Product Platform Breadth Importance

1 = Focused set of solutions 10 = Need maximum choice

Emerging Products Importance

1 = Not important 10 = Critical (alternatives, crypto, ESG, structured)

Growth Ambition (5-10 years)

Maintain size

Modest (10-25%)

Moderate (25-50%)

Significant (50-100%)

Aggressive (2x+ revenue)

What capabilities do you need to scale?

Junior advisor recruiting Client service support Marketing/lead gen Technology/automation Practice acquisition financing Strategic planning None - not growth focused

Confidence in current firm's scalability

1 = Major limitations 10 = Fully supports my growth

Section 7: Compensation Priorities

Understanding your compensation structure and priorities.

Compensation structures vary wildly between firms. Beyond payout rates, we look at transition bonuses, equity opportunities, and growth incentives to model total economics over 5, 10, and 20 years.

Current Payout Percentage Your gross dealer concession or payout grid %

How important is an upfront transition package?

1 = Not important 10 = Critical factor

Beyond base payout, what compensation factors matter most to you? Select up to 3

Grid enhancement opportunities (higher payout at production thresholds)

Back-End bonuses or earnouts

Equity/ownership opportunities

Revenue sharing for advisors I recruit

Practice acquisition/succession financing

Transparent fee structure (minimal hidden costs)

Benefits quality (health insurance, 401k match)

Don't know - need to understand my options

Section 8: Capital & Succession

Succession planning, enterprise value, and financial partnership opportunities.

Your practice has enterprise value. Understanding your succession timeline and equity goals helps us find firms with the right buyout programs, partnership tracks, and long-term wealth-building opportunities.

Retirement/Exit Timeline

10+ years Not planning 7-10 years 4-6 years 1-3 years Uncertain

Current Succession Plan Status

No formal plan Informal plan Ideas Written plan Successor ID'd Deal in progress N/A

Succession Support Importance

1 = Not a factor 10 = Critical consideration

Enterprise Value Building Importance

1 = Not important 10 = Top priority

Interest in Equity/Ownership Opportunities

Very interested Somewhat Interested Not interested Need to learn More

Have you had your practice formally valued?

Yes Within 2 years Yes Over 2 years ago No Never Informal Estimate

Section 9: Transition Readiness

Your current mindset and timeline for making a move.

Timing matters. Whether you're ready to move now or exploring for the future, we tailor our approach to your timeline. Knowing your current frustrations helps us prioritize what matters most in your next firm.

Current Mindset About Changing Firms

Actively looking Ready soon Seriously exploring Right opportunity Casually exploring Gathering info Open to talk Just researching

What's prompting your exploration? Select all that apply

Compensation concerns Technology limitations Lack of support Culture issues Platform instability Succession needs Better client tools Greater autonomy Proactive exploration

Biggest Concern About Transitioning

Client retention Revenue disruption Tech changes Team transition Contracts Finding right firm Timing/logistics No major concerns

Current Firm Agreements/Obligations Select all that apply

Non-Compete Non-Solicit Promissory note Retention/forgivable loan Partnership/equity agreement Deferred comp None aware of Unsure

Reflection: Your Current Firm

This helps us quantify how far you are from where you want to be.

Rate your CURRENT firm on each of the 6 C's

CULTURE - Current firm's culture Leadership, values, work environment

1 = Poor 10 = Excellent

COMMUNITY - Advisor community quality Collaboration, training, mentorship, peer support

1 = Poor 10 = Excellent

COMPATIBILITY - Firm compatibility with your practice Client demographic, service model, products

1 = Poor 10 = Excellent

CAPABILITY - Firm's capabilities Technology, operations, products, support

1 = Poor 10 = Excellent

COMPENSATION - Satisfaction with compensation Payout, grid, economics, transparency

1 = Poor 10 = Excellent

CAPITAL - Support for long-term value Succession planning, enterprise value, equity opportunities

1 = Poor 10 = Excellent

Reflection: Your Current Firm

This helps us quantify how far you are from where you want to be.

Overall Assessment

Overall Satisfaction All factors considered

1 = Very Dissatisfied 10 = Extremely Satisfied

Likelihood to Recommend Would you recommend this firm to other advisors?

1 = Never 10 = Absolutely

Section 11: Final Thoughts

Anything else we should know? This is your space.

Numbers don't tell the whole story. These open-ended questions let you share context, concerns, or priorities that might not fit neatly into other sections. The more we understand, the better we can advocate for you.

Tell us about your practice in your own words What makes it unique? What are you most proud of?

0/500

Anything else we should know? Questions, concerns, priorities we didn't cover?

0/1000

How did you hear about us?

Advisor referral Industry colleague Conference/event Online search LinkedIn Article/publication Continuum outreach Other

Best time to reach you Select all that apply

Weekday mornings Weekday afternoons Weekday evenings Weekends Anytime - flexible

Preferred contact method

Phone call Email Text message Video call No preference

Before You Begin...

Section 1: Practice Overview

Section 2: Regulatory & Compliance

Section 3: Culture

Section 4: Community & Support

Section 5: Practice Compatibility

Section 6: Capability

Section 7: Compensation Priorities

Section 8: Capital & Succession

Section 9: Transition Readiness

Reflection: Your Current Firm

Rate your CURRENT firm on each of the 6 C's

Reflection: Your Current Firm

Overall Assessment

Section 11: Final Thoughts

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