Investor Profile Questionnaire

Each investor is unique. In order to develop an investment portfolio that fits your needs, we provide this questionnaire with four components—your account objectives, risk tolerance, financial sophistication and investment time horizon.

No matter what type of investor you are, we offer you choices that you may select from. Each choice represents a balanced return and risk trade-off so that a portfolio can be designed for your individual situation.

It is recommended that investors establish a separate liquidity pool to meet short-term and emergency needs.

If investors have multiple investment objectives with different time horizons, consideration should be given to establishing dedicated portfolios to meet those objecties.

1. My primary account objective is: *

A. Capital Preservation B. Income C. Total Return D. Growth E. Aggressive Growth

2. What do you expect your total income and investment earnings to do over the next 10 years? *

A. Decline significantly B. Decrease somewhat C. Stay the same D. Improve E. Increase substantially

3. If you could increase your chances of improving your investment returns by increasing the investments that may fluctuate in value over time, such as stocks, and take on more risk in your portfolio, would you: *

A. Be unlikely to take more risk? B. Be willing to take a little more risk with some of my overall portfolio? C. Be willing to take a lot more risk with some of my overall portfolio? D. Be willing to take a lot more risk with my entire portfolio?

4. If your portfolio, valued at $100,000, declined in value to $78,000 within a one-year period, as Period 1 represents (i.e., down 22%) what would you most likely do? *

A. Sell all the positions and move the money to safer investments. B. Sell only the losing investments. C. Sell nothing and wait for the markets to recover. D. Buy more as the losing investments may represent opportunity.

5. If the above portfolio declined an additional 10% to $70,200 the following year, what would you most likely do? *

A. Sell all the positions and try to avoid investments with steep decline possibilities. B. Sell only the losing investments and move the money to safer investments. C. Sell nothing and wait for the markets to recover. D. Buy more as the losing investments may represent opportunity.

6. Which of the following best describes the monitoring of your investments? *

A. I do not monitor my investments, nor do I have them reviewed. B. I monitor, or have my investments reviewed periodically, but not regularly. C. I monitor, or have my investments reviewed regularly, at least once per year.

7. When it comes to investing, I would describe myself as: *

A. Having little to no experience. B. Having some experience in managed investments, such as mutual funds and/or variable annuities. C. Experienced in managed investments, such as mutual funds and/or variable annuities and/or individual stocks and bonds D. Very experienced in a broad range of investments.

8. What is your investment time horizon; i.e., when will you need most of your invested money? *

A. 4 years or less B. 5 - 8 years C. More than 8 years

Name *

Prefix First Name Last Name

Phone Number *

Please enter a valid phone number.

Email *

example@example.com

Preferred Method of Contact *

How would you like for us to contact you to go over your results?

Risk Score Calculation

INVESTOR PROFILE QUESTIONNAIRE