Risk Profile Questionnaire

Complete the form below to begin a review of your Risk Tolerance.

Contact Information

Name(Required)

First Last

Email(Required)

Phone(Required)

SECTION 1: FINANCIALS

1. What is your approximate net worth (excluding your principal residence)?(Required)

Under $100K

$100K - $300K

$300K - $500K

$500K - $750K

$750K - $1.0M

$1.0M - $3.0M

Over $3M

If greater than $3M enter amount:(Required)

2. What is your liquid net worth? (assets that can be readily converted to cash)(Required)

Under $25K

$25K - $50K

$50K - $100K

$100K - $250K

$250K - $500K

Over $500K

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SECTION 1 TOTAL

If greater than $500K enter amount:(Required)

3. What is your current household income?(Required)

Under $50K

$50K - $100K

$100K - $150K

$150K - $250K

$250K - 500K

Over $500K

4. What is your federal income tax bracket?(Required)

5. If you needed immediate funds equal to 1/4 the value of your investment accounts, where would you obtain the money?(Required)

All from this portfolio (0)

At least 75% from this portfolio and the remainder from other savings and investments (1)

50% from this portfolio and the remainder from other savings and investments (2)

Less than 25% from this portfolio and the remainder from other savings and investments (3)

All from other savings and investments (4)

SECTION 2: GOALS

1. What is your investment objective?(Required)

Preserve Principal (0)

Income (3)

Income and Growth (6)

Growth (9)

Aggressive Growth (12)

2. When do you expect to begin withdrawals on a regular basis from your investment accounts?(Required)

Less than 1 year (0)

1-3 years (3)

4-6 years (6)

7-10 years (9)

More than 10 years (12)

3. Today, how much do you rely on income from your investment accounts?(Required)

Heavily (0)

Moderately (1)

Slightly (2)

Not at all (4)

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SECTION 2 TOTAL

SECTION 3: RISK TOLERANCE

1. What is your investment experience?(Required)

None

Limited

Moderate

Extensive

2. Indicate the response that you feel best describes your risk tolerance(Required)

Conservative (0) - Accepting of lower returns for a higher degree of stability - Seeks principal preservation and minimizing risk

Moderately Conservative (2) - Comfortable accepting a small degree of risk and volatility - Accepting of lower returns in exchange for minimal losses

Moderate (4) - Accepting of modest risks to seek higher long-term returns - Accepting of short-term losses of principal in exchange for long-term appreciation

Moderately Aggressive (6) - Willing to accept significant risk - May endure large losses in favor of potentially higher long-term returns

Aggressive (8) - Willing to accept substantial risk - Maximizing long-term returns is more important than protecting principal

3. Which hypothetical portfolio are you most comfortable with, considering the possible range of returns, for $100,000 invested, over a 1-YEAR period?(Required)

$102K - $105K (0)

$100K - $107K (1)

$95K - $110K (2)

$90K - $115K (3)

$75K - $125K (4)

4. Generally, investments with the highest potential for gains carry the greatest risk of loss. Which hypothetical portfolio are you most comfortable with, considering the possible outcomes of $100,000 invested for 5-YEARS:(Required)

$102K - $120K (0)

$90K - $135K (3)

$85K - $145K (6)

$80K - $160K (9)

$70K - $180K (12)

5. Historically, markets have experienced sharp, short-term downturns. If your investment portfolio lost 25% of its value over TWO DAYS, how would you react?(Required)

I would immediately move all my holdings to cash (0)

I would immediately change to strategies that are more conservative (3)

I would wait at least 3 months before deciding to make any changes (6)

I would immediately change to strategies that are more aggressive (9)

I would immediately add to my investment portfolio and buy more equities to take advantage of the lower prices (12)

6. Historically, markets have experienced prolonged periods of declines. If your investment portfolio lost 33% of its value over the last 3 MONTHS, how would you react?(Required)

I would immediately move all my holdings to cash (0)

I would immediately change to strategies that are more conservative (3)

I would wait at least 3 months before deciding to make any changes (6)

I would immediately change to strategies that are more aggressive (9)

I would immediately add to my investment portfolio and buy more equities to take advantage of the lower prices (12)

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SECTION 3 TOTAL

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TOTAL SCORE

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SCORE 0-12: Conservative • Accepting of lower returns for a higher degree of stability • Seeks principal preservation and minimizing risk

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SCORE 13-28: Moderately Conservative • Comfortable accepting a small degree of risk and volatility • Accepting of lower returns in exchange for minimal losses

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SCORE 29-51: Moderate • Accepting of modest risks to seek higher long-term returns • Accepting of short-term losses of principal in exchange for long-term appreciation

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SCORE 52-67: Moderately Aggressive • Willing to accept significant risk • May endure large losses in favor of potentially higher long-term returns

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SCORE 68-80: Aggressive • Willing to accept substantial risk • Maximizing long-term returns is more important than protecting principal

Client Acknowledgement(Required)

I understand that the above-referenced Risk Profile Questionnaire acts as a guide only to building an overall financial solution. I recognize that there are other factors to consider besides my score on this questionnaire when making portfolio decisions.

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