Risk Profile Questionnaire October 28, 2020
Progress:
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1. What is the main goal for your investments?
a) Preservation of current assets
b) Conservative generation of income
c) Balanced portfolio between growth and income
d) Growth of assets
e) Aggressive growth of assets
2. I expect to pull money from my investments in:
a) Less than 1 year
b) 1-4 years
c) 5-10 years
d) 11-20 years
e) Over 20 years
3. Select your current net worth (excluding primary residence):
a) Under $100,000
b) $100,000-$500,000
c) $500,000-$1,000,000
d) $1,000,000-$3,000,000
e) Over $3,000,000
4. Please indicate your current annual household income:
a) Under $75,000
b) $75,001-$125,000
c) $125,001-$200,000
d) $200,001-$350,000
e) $350,000+
5. What is the most complex investment you have owned, or would be comfortable owning?
a) Money Markets/CDs
b) Mutual Funds/ETFs
c) Individual Stocks or Bonds
d) Hard Assets (rental property, art, etc.)
e) Options, Futures, or Unlisted Securities
6. Which best describes your tolerance to risk? [This question is designed to determine how you would describe your willingness to take risk in your portfolio(s).]
a) Seek stable investments to preserve my principal
b) Pursue modest increases in my investments, with low risk of loss
c) Aim for investment growth, accepting moderate risk of loss
d) Seek above-average growth in investments, accepting above-average risk of loss
e) Reach for maximum returns, accepting significant risk of loss
7. Which portfolio would you be the most comfortable owning, given the 1-year potential gains and losses of each? [This question is designed to determine whether you would be more willing to accept higher potential losses for the prospect of higher potential gains.]
a) A
b) B
c) C
d) D
e) E
8. Imagine that an investment you own lost 30% of its value in 3 days. What would you do? [This question is designed to determine what your more immediate reaction to risk would be.]
a) Sell all of my shares
b) Sell a portion of my shares
c) Consult my advisor
d) Do nothing
e) Buy more shares
9. You make an investment, planning to hold it for 5 years. It then loses 20% in its first year. How do you react? [This question is designed to determine what your reaction to risk over time would be.]
a) I would sell my investment because of my concerns
b) I would consider selling part of my investment
c) I would contact my advisor
d) I would wait to see how it continues to perform
e) I would buy more of the investment because of the discount
10. The following charts show the performance of a portfolio over 10 years versus the S&P 500 index. Which portfolio would you be most comfortable owning? [This question is designed to determine whether you would be more willing to accept greater volatility in your portfolio in order to achieve potentially higher returns.]
S&P 500
Portfolio
a) Portfolio-A
b) Portfolio-B
c) Portfolio-C
d) Portfolio-D
e) Portfolio-E
Your survey answers indicate your risk tolerance category is Conservative. You can accept losing 0% in a market downturn to pursue long-term goals.
Describe your investments (optional) Enter as many positions as you'd like. We will use this information to run a stress test analysis on your investments.
Symbol 1
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