This questionnaire may be completed to aid in assessing your risk tolerance. Once completed, your risk score will be emailed to you with a description. Assessing risk tolerance can be very dynamic and your actual risk tolerance may differ from your score generated by this questionnaire. You should consult with your advisor for further information about your risk tolerance and objectives before implementing any changes to an investment strategy.

Risk Tolerance Accordion

Date

Your Information

First Name *

Middle Name

Last Name *

Phone Number *

Email Address *

Information About Your Income

Your Current Annual Earned Income * $

Total Household Annual Earned Income * $

(i.e. you plus your spouse)

Please describe how earned income is expected to change, if at all

Assets and Liabilities

What are your total assets? * $

If you are married, this may include assets held jointly with your spouse. Assets should include ALL of your assets such as the value of your home, cars, bank accounts, retirement accounts, real estate, etc.

What are your total LIQUID assets? * $

This includes only the assets listed above that are easily and quickly converted into cash, such as bank accounts, stocks, bonds, etc. Do not include assets which take a while to sell/liquidate such as your home or other real estate.

What are your total liabilities? * $

If you are married, this may include liabilities held jointly with your spouse, such as a mortgage. Liabilities should include ALL of your liabilities such as the value of your remaining mortgage, student loans, credit card debt, etc.

Net Worth (calculated automatically) $

Assets - Liabilities = Net Worth

Personal Investor Profile - Time and Goals

What age do you expect to retire? *

Check here if unsure about retirement age

What is your age? *

20-29

30-39

40-49

50-59

60+

What is your primary financial goal? *

CAPITAL PROTECTION: Protection against decline in market value of your investments (may not protect against inflation)

MINIMAL GROWTH: Provides minimal growth while maintaining a high degree of capital protection

CONSISTENCY: A high degree of stability of your investment over time

MODERATE GROWTH: A high degree of growth and protection against long-term inflation

AGGRESSIVE GROWTH: Maximum increase in market value of your investment over time

What is your investment time horizon? *

Less than 5 years

5 to 9 years

10 to 15 years

More than 15 years

This is used to describe how long you plan on remaining invested.

What is your expected annual return for your investments? *

Less than 7%

7% to 8%

8% to 9%

9% to 10%

Great than 10%

You have an emergency fund that could last for: *

I do not have one

1 to 3 months

4 to 6 months

More than 6 months

Personal Investor Profile - Investment Risk Attitude

Which of the following best describes your expectations for performance? *

My level of return doesn’t matter as long as I don’t lose money over any more than a few months.

I don’t care what the stock market does as long as I can beat inflation at low risk.

I am willing to accept a lower return than the stock market in exchange for greater safety.

My performance should at least equal the stock market.

I want to beat the stock market and am willing to assume above-average risk in pursuit of capital growth.

Which of the following scenarios would you be comfortable with within a 12-month period? *

Upside = +4% Downside = -3%

Upside = +8% Downside = -6%

Upside = +12% Downside = -9%

Upside = +16% Downside = -12%

Upside = +20% Downside = -15%

Please note: The maximum gain or loss on an investment is impossible to predict. The ranges shown above are hypothetical and are designed solely to gauge an investor’s risk tolerance.

If you could increase your chances of improving your returns by taking on more risk, would you be willing to: *

Take a little more risk with some of your money.

Take a little more risk with all of your money.

Take a lot more risk with some of your money.

Take a lot more risk with all of your money.

Briefly describe the purpose of your investments: *

If you are human, leave this field blank.