Risk Tolerance Questionnaire

Name *

First Name Last Name

Email *

example@example.com

Avantax Wealth Management’s Standard Risk Tolerance Questionnaire (RTQ) is scored using a “weighted” method.The six questions of the RTQ are assigned numerical weights to reflect each one’s comparative importance in overall risk determination. Answer choices for each question are then assigned point values for use in the weighted method of scoring.

The total point score of all relevant questions is then used on the point scale (listed below) to determine the client investment objective.

1. Consider the primary goal for your money. Which time period below best describes how your money will be needed to support that goal? *

My goal will start soon and/or the money will need to last for 5 years or less. My goal will start after a few years and/or the money will need to last for 10 years or less. My goal is still years away and/or the money will need to last for more than 10 years.

2. Which of the following best describes your attitude toward the trade-off between risk and return? *

I am most concerned with limiting risk. I am willing to accept lower expected returns in order to limit my chance of loss. I am willing to accept moderate risk and chance of loss in order to achieve moderate returns. Limiting riskand maximizing return are of equal importance to me. I am primarily concerned with maximizing the returns of my investments. I am willing to accept high risk andhigh chance of loss to maximize my investment return potential.

3. Six months after you make a $100,000 investment, it decreases in value by $10,000 in a down-market period.Which best describes how you would feel? *

Very uncomfortable. I would consider selling my investment. Uncomfortable, yet I will stay with the investment if my financial advisor recommends it. I would want to buy more of the investment, since this may be a good investment opportunity.

4. Is it important for you to receive money from your account? *

Yes, it is highly important, and it must be the same amount on a regular/scheduled basis. It is important to receive money from my account, when needed, but growth of my portfolio is also an important factor. It is not important, and growth of my portfolio is the primary goal.

5. What do you want most from your investments? *

Less volatility, even if that means there is less growth potential. Some investment income, but more growth potential over the long term. The highest growth potential over the long term (assuming more volatility), with little or no need for currentor near-term investment income.

6. The graph below shows the potential range of gains or losses of a $100,000 investment in each of seven hypothetical portfolios at the end of a 1-year period. The number to the right of each bar shows the best potential gain for that portfolio, while the number to the left of each bar shows the worst potential loss. Given that this is the only information that you have on these seven hypothetical portfolios, which one would you choose to invest in?

*

Portfolio A Portfolio B Portfolio C Portfolio D Portfolio E Portfolio F Portfolio G

The risk tolerance questionnaire is for illustration purposes only. Although the scoring is objective, subjectivity cannot be completely eliminated using such planning tools. There is no guarantee that the risk assessment tool or its scoring accurately assessed your tolerance to risk, nor is there any guarantee that the asset mix chosen appropriately reflects your ability to withstand investment risk. Some of the data and/or calculations are based on historical information (including past performance) and should not be viewed as a guarantee of future results. Neither asset allocation nor diversification assures a profit or protects against a loss in declining markets.