Client Intake Form
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Risk Questionnaire
When do you expect to begin withdrawing from this portfolio?
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Less than 1 year
1 -2 years
3 - 4 years
5 - 7 years
8 - 10 years
11 or more years
Once you begin withdrawing money from your investment, over how long of a period do you anticipate the withdrawals to continue?
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Less than 1 year
1 -2 years
3 - 4 years
5 - 7 years
8 - 10 years
11 or more years
Inflation can greatly erode the return on your investments, especially over time. Which of the following portfolios are you most comfortable investing.
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Portfolio 1 will most likely exceed long-term inflation by a significant margin and has a high degree of volatility.
Portfolio 2 will most likely exceed long-term inflation by a moderate margin and has a moderate to high degree of volatility.
Portfolio 3 will most likely exceed long-term inflation by a small margin and has a small to moderate degree of volatility.
Portfolio 4 will most likely match inflation and has a low degree of risk volatility.
Portfolios with the highest average returns also tend to have the highest chance of short-term losses. The table below provides the average dollar return of five hypothetical investments of $100,000 and the possibility of lower value (ending value of less than $100,000) or higher value (ending value of more than $100,000) over a one-year holding period. Please select the portfolio with which you are most comfortable investing.
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Portfolio A: Expected Value of $100,000 After One Year will be 105,500. The chance of Higher Value After One Year is 86%, and the Chance of Lower Value After One Year is 14%.
Portfolio B: Expected Value of $100,000 After One Year will be 106,800. The Chance of Higher Value After One Year is 83%, and the Chance of Lower Value After One Year is 17%.
Portfolio C: Expected Value of $100,000 After One Year will be 108,200. The Chance of Higher Value After One Year is 80%, and the Chance of Lower Value After One Year is 20%.
Portfolio D: Expected Value of $100,000 After One Year will be 109,500. The Chance of Higher Value After One Year is 78%, and the Chance of Lower Value After One Year is 22%.
Portfolio E: Expected Value of $100,000 After One Year will be 110,600. The Chance of Higher Value After One Year is 76%, and the Chance of Lower Value After One Year is 24%.
Investing involves a trade-off between risk and return. Historically, investments with higher returns have been associated with greater risk and chance for loss. Alternatively, cautious investments that have had a lower chance for loss, also have yielded lower returns. Considering the above, which of the following statements best describes your attitude to risk?
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I am most concerned with risk. I am willing to accept the lower returns in order to limit my chance of loss.
I am willing to bear some risk and chance for loss in an effort to achieve slightly higher returns, but prefer a significant portion of my portfolio to be invested in cautious assets.
I am willing to accept moderate risk and chance of loss in order to achieve higher returns. Limiting risk and maximizing returns are of equal importance to me.
I wish to achieve high returns on my investments. I am willing to accept high risk and chance of loss.
I am primarily concerned with maximizing the returns of my investments. I am willing to accept large and sometimes dramatic short-term fluctuations in the value of this portfolio.
Sometimes investment losses are permanent, sometimes they are prolonged, and sometimes they are short-term, followed by market recoveries. How might you respond when you experience investment losses?
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Even if my investments suffered a significant decline over several years, I would continue to follow my long-term investment strategy and not adjust my portfolio.
I can endure significant declines in the value of my investments and would wait at least one year before adjusting my portfolio.
Although declines in investment value make me uncomfortable, I would wait one to two quarters before adjusting my portfolio.
I would sell my investments immediately or change to a more conservative portfolio if they suffered substantial declines.
The following answer options are descriptions of 5 sample portfolios and their potential portfolio gain and loss outcomes over a short time horizon (i.e. 1 year). Note: Investments carrying a higher risk come with the potential of achieving more gains, but also a higher possibility of incurring considerable losses. Which of the sample portfolios would be most attractive to you?
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Portfolio A: Potential Gain is 16%, Potential Loss is -10%.
Portfolio B: Potential Gain is 21%, Potential Loss is -15%.
Portfolio C: Potential Gain is 28%, Potential Loss is -21%.
Portfolio D: Potential Gain is 35%, Potential Loss is -28%.
Portfolio E: Potential Gain is 40%, Potential Loss is -34%.
Risk Capacity Score
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