Partner Profile

Partner Profile
The information included herein is for informational purposes and is intended for use by advisors only, not for public distribution. Carson Partners is a network of advisors offering advisory services through CWM, LLC, an SEC Registered Investment Advisor.
Firm Name*
Advisor Name*
First Last
Address*
Street Address Address Line 2 City State ZIP Code
Personal Email*

This is the email address that should receive all correspondence.
Mobile Phone*
Advisor DOB*
MM slash DD slash YYYY
Firm Website
# of Team Members*
Do you have any other decision makers?*
- Yes
- No
Please name your other decisions makers:*
# of Owners*
# of Advisors*
Do you have additional branch locations?*
- Yes
- No
Will the office be shared with anyone not affiliated with Carson Group Partners?*
- Yes
- No
If yes, an office sharing form will be required prior to final approval.

Save and Continue Later

Save and Continue Later

Non-Licensed Team Member Information
Please notify of us of all non-licensed personnel
Name
First Last Title
Name
First Last Title
Name
First Last Title
Name
First Last Title

Save and Continue Later

Compliance
Do you have any reportable disclosures?*
- Yes
- No
If Yes, please provide a detailed explanation
If you have additional wealth advisors and/or licensed admins, do they have any reportable disclosures?*
- Yes
- No
If Yes, please provide a detailed explanation

Save and Continue Later

Current Custodian(s)
Date joined most recent custodian
MM slash DD slash YYYY
Total Advisory Assets (Not including 401k)*
Total Non-Advisory Assets*
401k AUM*
Do you use any third party money managers?*
- Yes
- No
Client Fee Structure*
- Tiered
- Fixed
Billing Method*
- Advanced
- Arrears
Calculation Method*
- Average Daily Balance
- Period Ending
Current Fee Schedule
Current Revenue
Revenue By Percentage*
Advisory Non-Advisory 401(k) Other (e.g., Insurance)
Please breakdown revenue by a percentage.
Are Revenue Numbers Pre or Post Haircut?*
- Pre
- Post
Client Cost
The purpose of this section is to gain a clear understanding of the total cost
Please provide an example breakdown of what your typical all in client costs are*
Advisory Fee Internal Expenses SMA Fee Platform Charge
Third Party Money Managers
Please provide the following details to help us understand your current third-party relationships.

If you use third party money manager(s), please list:*

Manager	# of Accounts	Total Assets	Fee

Save and Continue Later

Supervision
Current Supervision*
- OSJ
- Home Office
- RIA/Self
Firm Information*
Please provide details surrounding any agreement in place with your OSJ or Compliance Relationship.

Save and Continue Later

Investment Management
Describe your current investment process:*
Sources Used in Investment Research Process*
e.g., Bloomberg, Morningstar, etc.
Do you have a CFA® (Chartered Financial Analyst) or dedicated analyst on staff?*
- Yes
- No
How many models do you currently use?*

Save and Continue Later

Technology & Marketing Profile
CRM (Client Relationship Manager)*
Name/Platform Annual Cost Contract Date
(i.e. - Redtail, WealthBox, ACT, Salesforce)
Website*
Name/Platform Annual Cost Contract Date
(i.e. - Twenty Over Ten, Wordpress, FMG, etc.)
Marketing*
Name/Platform Annual Cost Contract Date
(i.e. - TV, Radio, Fact Sheets, Brochures, Business Cards)
Compliance*
Name/Platform Annual Cost Contract Date
Reporting Software*
Name/Platform Annual Cost Contract Date
(i.e - Orion, Black Diamond, Tamarac, Albridge)
Financial Planning Software*
Name/Platform Annual Cost Contract Date
(i.e. - eMoney, MoneyGuidePro, Right Capital, Social Security Analyzer)
Other
Name/Platform Annual Cost Contract Date

Save and Continue Later

Save and Continue Later

Licensed Team Member Information