Suitability and Risk Tolerance Questionnaire July 24, 2019
1. What is the main goal for your investments?
a) Preserve the assets I currently have
b) Safely generate income from my investments
c) Generate income, while also pursuing capital appreciation
d) Steadily grow my assets
e) Aggressively grow my 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. What is your retirement status?
a) Currently Retired
b) Retire within one to two years
c) Retire within three to four years
d) Retire in five years or longer
4. Select your current net worth (excluding primary residence):
a) Under 100K
b) 100K-500K
c) 500K-1M
d) 1M-3M
e) Over 3M
5. Please indicate your current annual household income: (answer F if you are a Corporation, Irrevocable Trust, or Pension)
a) Under 75,000
b) 75,001-125,000
c) 125,001-200,000
d) 200,001-350,000
e) 350,000+
f) Not Applicable
6. ANSWER ONLY if you are answering for a corporation, foundation, irrevocable trust, or pension/profit sharing plan (ANSWER G if not applicable): Please indicate the entities annual income:
a) Under 75,000
b) 75,001-125,000
c) 125,001-200,000
d) 200,001-350,000
e) 350,001-500,000
f) More than $500,000
g) Not Applicable
7. Please select the most complex investment you have owned, or would be comfortable owning:
a) Money Market/CDs
b) Mutual Funds/ETFs
c) Individual Stocks or Bonds
d) Hard Assets (gold, art, etc)
e) Options, Futures, or Unlisted Securities
8. This account will represent:
a) Less than 25% of my total investments
b) More than 25%, but less than 50% of my total investments
c) More than 50%, but less than 75% of my total investments
d) More than 75% of my total investments
9. Do you have an emergency fund?
a) Yes
b) No
10. Approximately how long will this emergency reserve fund cover your needs?
a) No emergency funds
b) Three (3) months
c) Six (6) months
d) One (1) year
e) Two (2) years
f) Three (3) years
11. Will you need to provide financial support for any dependent or other person with special needs?
a) Yes
b) No
12. Which best describes your tolerance to risk?
a) I seek stable investments to preserve my principal
b) I pursue modest increases in my investments, with low risk of loss
c) I aim for investment growth, accepting moderate risk of loss
d) I seek above-average growth in my investments, accepting above-average risk of loss
e) I reach for maximum returns, accepting significant risk of loss
13. This chart shows the potential 1-year risk / return tradeoff of a $100K investment. Which would you choose?
a) A
b) B
c) C
d) D
e) E
14. Imagine that an individual stock you own lost 30% of its value in 3 days. What would you do?
a) I don't know
b) Sell all of my shares
c) Sell a portion of my shares
d) Do nothing
e) Buy more shares
15. You make an investment, planning to hold it for 5 years. It then loses 20% in its first year. How do you react?
a) I would sell my investment because of my concerns
b) I would consider selling part of my investment
c) I would wait to see how it continues to perform
d) I wouldn't sell my investment, but would be concerned
e) I would buy more of the investment because of the discount
16. The following charts show the potential performance of an investment over 10 years. Which would you choose?
S&P 500
a) A
b) B
c) C
d) D
e) E
17. Do you anticipate any changes over the next three years in your family, business, financial circumstances, or health that might affect your investment suitability?
a) Yes
b) No
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.
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