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Financial Planning
Asset Management
Fees
Contact
About
More
Secure Document Upload
Disclosures
Initial Information Survey
RISK PREFERENCE SURVEY
Each client in the same household should complete and submit a separate survey, e.g. for married clients, each spouse should take a separate survey.
Identification
*
Indicates required field
First Name Only
*
Financial Capacity To Accept Risk
(1) What is your investment time horizon for your portfolio? “Investment time horizon” refers to the number of years you expect the portfolio to be invested before you make substantial withdrawals from the portfolio.
*
A) 1 year or less
B) 1 - 2 years
C) 3 - 5 years
D) 6 - 10 years
E) 11 - 15 years
F) more than 15 years
(2) Once you begin withdrawing money from your portfolio, how long do you expect withdrawals to continue?
*
A) 2 years or less
B) 3 - 5 years
C) 6 - 10 years
D) 11 - 15 years
E) more than 15 years
(3) How would you describe the stability of your current and future income sources? (including salary, Social Security, and pension plans)
*
A) very unstable
B) unstable
C) somewhat stable
D) stable
E) very stable
Willingness To Accept Return Volatility
(4) How would you describe your experience with regard to investing in stocks, bonds, ETFs, and mutual funds?
*
A) very inexperienced
B) somewhat inexperienced
C) somewhat experienced
D) experienced
E) very experienced
(5) When making a long-term investment, how long do you keep assets invested?
*
A) 1 - 2 years
B) 3 - 4 years
C) 5 - 6 years
D) 7 - 8 years
E) more than 8 years
(6) From June 2008 to October 2008, the S&P 500 lost more than 25%. If you owned shares of a stock investment that fell by more than 25% in 4 months, select the answer that best matches the action you would take.
*
A) sell all the shares
B) sell some of the shares
C) hold all the shares
D) buy more shares
(7) Generally, you prefer an investment with little or no ups or downs in value and are willing to accept the lower returns these investments may make.
*
A) I strongly disagree
B) I disagree
C) I somewhat agree
D) I agree
E) I strongly agree
(8) When the market goes down, you tend to sell some of the riskier investments and put the money in safer investments.
*
A) I strongly disagree
B) I disagree
C) I somewhat agree
D) I agree
E) I strongly agree
(9) Based only on a brief conversation with a friend, coworker, or relative, you would invest in a stock, bond, ETF, mutual fund, or other security.
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A) I strongly disagree
B) I disagree
C) I somewhat agree
D) I agree
E) I strongly agree
(10) From September 2008 through October 2008, bonds lost nearly 4%. If you owned shares of a bond mutual fund that lost 4% in 2 months, select the answer that best matches the action you would take.
*
A) sell all the shares
B) sell some of the shares
C) hold all the shares
D) buy more shares
(11) The chart below shows the highest one-year loss and the highest one-year gain on three different hypothetical investments of $10,000.* Given the potential gain or loss in any one year, which of these portfolios would you prefer to hold?
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A) Investment A (loss of $265, gain of $670)
B) Investment B (loss of $1,090, gain of $2,025)
C) Investment C (loss of $3,640, gain of $4,250)
12) Given the fact that between 1970 and 2010; US Stocks have generated returns of about 9.5 - 13 percent, US Bonds have generated returns of about 7 - 9 percent, money markets have generated returns of about 5.5%, and US inflation has been about 4 percent, what return do you expect your investment portfolio to generate?
*
A) 3 - 5%
B) 6 - 7%
C) 8 - 9%
D) 10 - 11%
E) 12 - 14%
F) more than 15%
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Financial Planning
Asset Management
Fees
Contact
About
More
Secure Document Upload
Disclosures
Initial Information Survey
