Risk Tolerance Questionnaire
Name
1. Your accounts with Plan A represent what percentage of your investable assets?
Less than 10%
11 to 25
26 to 50
51 to 75
Greater than 75
2. What is the primary portfolio objective for these assets?
Preservation of capital and current income
Income and growth of capital have equal priority
Growth of capital takes precedence over income
Growth of capital is primary goal
High capital growth with greater capital risk
3. Choose one of the points in the graph below that characterizes you attitude towards these assets.
Conservative
Moderately Conservative
Moderate
Moderately Aggressive
Aggressive
4. Which option below is most consistent with your 10-year investment expectations?
Portfolio A
Portfolio B
Portfolio C
Portfolio D
5. What are your risk & return expectations for these assets?
Stable Returns/Low Volatility: Low, stable returns in exchange for low volatility.
Moderate Returns/Volatility: Lower returns in exchange for relatively low volatility.
Market Average Returns/Volatility: Average market returns and volatility.
Higher Returns/Volatility: Attempting to achieve a return greater than the market while accepting a high level of volatility.
6. Of the following scenarios, which do you consider to be the most threatening for these assets?
Not receiving enough income to meet current needs
Income not keeping pace with inflation
Suffering a sizable decline in your account during a given year
Not providing enough growth to meet long term financial goals
7. How long do you plan to invest these assets?
Three years or less
Three to five years
Five to 10 years
More than 10 years
8. What do you consider a reasonable time frame for judging investment performance?
One to two years
Three to five years
Five or more years
9. When do you expect to begin using these assets for income?
Immediately
One to five years
Five to ten years
10 to 15 years
More than 15 years
10. What is your attitude towards short-term volatility when investing in the stock market?
I usually panic when the market drops.
I sometimes overreact to short term market swings.
Patient but concerned; I usually take a "wait and see" attitude.
I am unaffected by short-term market volatility
11. What do you believe is the most important issue to consider when purchasing bonds in this portfolio?
Safety of principal
Income
Predictability
Diversification
Bonds are not part of my investment portfolio
12. How would you rate your ability to cover unexpected expenses without using your Plan A Portfolio?
Low
Average
High
What is your current age?
Over 75
51-74
36-50
Under 35
Are you currently
Fully retired
Retired, employed part time
Employed part time
Employed full time
What percentage of your retirement income do you expect your Plan A portfolio to provide?
100
75
50
25
< 25
What is the primary purpose of your Plan A portfolio?
Build wealth
Preserve wealth
Fund retirement
Provide current income
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