Client Risk Tolerance and Investment Profile

Please answer the following investor profile and risk tolerance questions. This will help us make the most suitable investment recommendations.

Investment Profile

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1. Contact Info (Required.)

Full Name

Phone

Purpose

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2. What are the investment purposes for this account/investment?

Retirement

Generate Income

General Investing

Education Savings

Investment Time Horizon

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3. In how many years will this money be needed?

Under 1 year

1-2 years

3-5 years

6-10 years

11-20 years

Over 20 years

Liquidity Needs

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4. The ability to quickly or easily convert to cash all or a portion of the investments in this account without experiencing significant loss in value from, for example, the lack of a ready market, or significant costs or penalties is:

Very Important

Important

Somewhat Important

Does Not Matter

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5. Liquidity and Guarantees

Is willing to give up guarantees for liquidity

Prefers liquidity over guarantees

Desires a balance between liquidity and guarantees

Prefers guarantees over liquidity

Is willing to give up liquidity for guarantees

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6. Risk Tolerance

Conservative

Moderately Conservative

Moderate

Moderately Aggressive

Aggressive

Investment Objectives

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7. Investment Objectives Rank in order from 1 (most important) – 6 (least important)

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8. Source of Funds

Income from Earnings

Gift

Investment Proceeds

Sale of Business

Inheritance

Legal Settlement

Pension | IRA | Retirement Savings

Spouse | Parent

Lottery | Gaming Proceeds

Insurance Proceeds

Other (please specify)

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9. Investment Advice

I want to make all of my own decisions

I want to make my own decisions and welcome suggestions from my advisor

I want help managing my money

I want someone to manage my money and implement my ideas

I want an advisor to manage my assets for me

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10. Fee Sensitivity

I favor lower fees over features

I lean towards lower fees

I don’t have a strong opinion regarding fees

I lean towards features over fees

I favor features over fees

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11. Marital Status

Single

Married

Divorced

Widowed

Domestic Partnership

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12. Financial Profile

Annual Income

Net Worth

Liquid Net Worth

Federal Tax Bracket

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13. Annual Expenses

$0-$25,000

$25,0001 - $50,000

$50,001 - $75,000

$75,001 - $100,000

$100,001 - $250,000

$250,0001 - $500,000

Over $500,000 +

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14. Special Expenses

$0-$25,000

$25,0001 - $50,000

$50,001 - $75,000

$75,001 - $100,000

$100,001 - $250,000

$250,0001 - $500,000

Over $500,000 +

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15. Timeframe for special expenses

N/A

Within 2 years

3-5 years

6-10 years

Over 10 years

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16. Investment Experience

Annuities: number of years | $ amount currently invested

Bonds: number of years | $ amount currently invested

Managed Accounts: number of years | $ amount currently invested

Alternative Investments: number of years | $ amount currently invested

Stocks: number of years | $ amount currently invested

Bonds: number of years | $ amount currently invested

Risk Tolerance

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17. For these funds, which of the following closely aligns with your current financial goal?

Sustaining current income and account preservation

Sustaining current income with possible growth opportunity

Growing account value, not tied to current income needs

Aggressive growth, maximizing accumulation

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18. How long do you plan to keep these funds invested in order to achieve your financial goal?

Less than 1 year

1 to 2 years

3 to 5 years

6 to 10 years

11 to 20 years

Greater than 20 years

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19. Every investment has an opportunity for both risk and reward. The chart below represents a one-year hypothetical risk and reward scenario for five portfolios with incremental levels of risk and reward for a hypothetical initial investment of $100,000. Select the option with which you are most comfortable. Note: these numbers are not representative of your potential target portfolios. Please select one.

Portfolio #1

Portfolio #2

Portfolio #3

Portfolio #4

Portfolio #5

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20. How would you react to a significant fall in the value of the stock market?

Sell All, Avoid Further Risk

Sell Some, Reduce Exposure to Risk

Sell Nothing, Remain Invested

Buy More, Opportunity is Present

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21. How soon would you need these funds to recover after experiencing a sudden meaningful loss in value?

0 to 6 months

6 months to 1 year

1 to 3 years

3 years or more

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22. How would you respond to the following statement: I am comfortable investing during times of uncertainty

Disagree

Agree

Strongly agree

Client Risk Tolerance and Investment Profile

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* 1. Contact Info (Required.)

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* 2. What are the investment purposes for this account/investment?

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* 3. In how many years will this money be needed?

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* 4. The ability to quickly or easily convert to cash all or a portion of the investments in this account without experiencing significant loss in value from, for example, the lack of a ready market, or significant costs or penalties is:

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* 5. Liquidity and Guarantees

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* 6. Risk Tolerance

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* 7. Investment Objectives Rank in order from 1 (most important) – 6 (least important)

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* 8. Source of Funds

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* 9. Investment Advice

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* 10. Fee Sensitivity

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* 11. Marital Status

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* 12. Financial Profile

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* 13. Annual Expenses

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* 14. Special Expenses

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* 15. Timeframe for special expenses

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* 16. Investment Experience

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* 17. For these funds, which of the following closely aligns with your current financial goal?

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* 18. How long do you plan to keep these funds invested in order to achieve your financial goal?

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* 20. How would you react to a significant fall in the value of the stock market?

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* 21. How soon would you need these funds to recover after experiencing a sudden meaningful loss in value?

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* 22. How would you respond to the following statement: I am comfortable investing during times of uncertainty

1. Contact Info (Required.)

2. What are the investment purposes for this account/investment?

3. In how many years will this money be needed?

4. The ability to quickly or easily convert to cash all or a portion of the investments in this account without experiencing significant loss in value from, for example, the lack of a ready market, or significant costs or penalties is:

5. Liquidity and Guarantees

6. Risk Tolerance

7. Investment Objectives Rank in order from 1 (most important) – 6 (least important)

8. Source of Funds

9. Investment Advice

10. Fee Sensitivity

11. Marital Status

12. Financial Profile

13. Annual Expenses

14. Special Expenses

15. Timeframe for special expenses

16. Investment Experience

17. For these funds, which of the following closely aligns with your current financial goal?

18. How long do you plan to keep these funds invested in order to achieve your financial goal?

20. How would you react to a significant fall in the value of the stock market?

21. How soon would you need these funds to recover after experiencing a sudden meaningful loss in value?

22. How would you respond to the following statement: I am comfortable investing during times of uncertainty