Confidential Investor Profile

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1. The graph below shows the potential range of gains or losses of a $100,000 investment in each of seven hypothetical portfolios at the end of a 1-year period. The number to the right of each bar shows the best potential gain for that portfolio, while the number to the left of each bar shows the worst potential loss. Given that this is the only information that you have on these seven hypothetical portfolios, which one would you choose to invest in?

 

3. Suppose that a substantial portion of your investment portfolio is invested in securities. If the stock market were to experience a prolonged down market, losing 50 percent of its value over a 3-year period, what would you do (assuming your stocks behaved in a similar fashion)?

Sell all the stocks in your portfolio. You are afraid that the stock market is in a downturn and you cannot afford the decrease in value.Sell half of the stocks in your portfolio. You think that the market may rebound, but you are not willing to leave all of your investment exposed to further loss.Hold the securities in your portfolio. You understand that your investment may be subject to short-term price swings and are comfortable ‘weathering the storm’.Buy more securities for your portfolio to take advantage of their low price. You are comfortable with market fluctuations and assume that the stocks will regain their previous value or increase in value

4. Once again, assume you have a substantial portion of your investment portfolio in stocks. If the stock market were to gradually decline at an average of 2 percent per month, eventually losing 24% of its value over a year, which of the following would you do?

Sell the securities in your portfolio and realize the 24% loss. You wish to avoid the risk of further loss.Sell half of the securities in your portfolio. You are not willing to leave all of your investment at risk for further loss.Do nothing. You are comfortable waiting for the stocks to regain their previous value or to increase in value.Invest more now because stocks are selling for approximately 24% less than they were 12 months ago. You believe that the stocks will regain their value or possibly appreciate even higher over the long-term.

5. Aggressive investments have historically provided higher returns while exhibiting greater short-term price fluctuations and potential for loss. How do you feel about fluctuations in the value of your portfolio?

You want to minimize the possibility of loss in the value of the portfolio. You understand that you are sacrificing higher long-term returns by holding investments that reduce the potential for short-term loss and price fluctuations.You can tolerate moderate losses in order to achieve potentially favorable returns.You can tolerate the risk of large losses in your portfolio in order to increase the potential of achieving high returns.

6. What is the investment time horizon on these investable assets?

Less than 3 years3 – 5 years6 – 9 years10+ years

7. What is your current Annual Household Income?

None$0 – 30,000$30,001 – 50,000$50,001 – 100,000$100,001 – 250,000$250,001 – 500,000$500,001 – 1,000,000$1,000,001 – 3,000,000More than $3,000,001

8. What is your Approximate Net Worth?

Less than $250k$250 – 500K$500K – 1M$1M – 3M$3M – 5M$5M – 10M$10M – 20MMore than $20M

9. What are your Income Needs from Program Assets?

No need for current incomeLess than 2% per year2% to 4% per yearGreater than 4% (____ %)

10. The range below represents your attitude towards risk with respect to the assets you are placing under our management. You understand and accept that any one component of your portfolio(s) may be more or less volatile or aggressive than the entire portfolio(s). Check the most appropriate number (1=least Risk, 10= Most Risk).

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