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General Information

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Section 1 - Investment Objectives

1) What is the intent of your portfolio? Please select the most appropriate one.

To generate income for todayTo generate income at a later dateTo provide for my dependents (I do not anticipate using these funds)To fund a large purchase in the future

2) What is the major goal for your portfolio? Please select the most appropriate one.

To ensure that my portfolio remains secureTo see my portfolio grow and to avoid fluctuating returnsTo balance growth and security, and to keep pace with inflationTo provide growth potential, and to accept some fluctuation in returnsTo provide the sole objective of potential long-term growth

Section 2 - Personal Information

1) Which of the following ranges includes your age?

Under 3030-3940-4950-5960-6970-79Over 79

2) Which of the following ranges best represents your current annual family income (including pensions) before taxes?

Under $30,000$30,001 to $60,000$60,001 to $90,000Over $120,000

3) After deducting any loan or mortgage balances, which one of the following ranges best represents your immediate family's overall net worth?

Under $30,000$30,001 to $50,000$50,001 to $100,000$100,001 to $200,000$200,001 to $300,000Over $300,000

Section 3 - Investment Horizons

Investors often have distinct phases in their investment plans. The initial phase is savings and growth. During this time an inventory builds up a portfolio toward a future goal. The second phase is typically the use of funds, either for a specific purpose or for income.

1) When do you anticipate using these funds?

Immediately1-3 years4-5 years6-10 years11-15 years16-20 yearsMore than 20 years

2) At the time you need this money, when will you withdraw it?

All at once in one lump sumOver a period of less than 2 yearsOver a period of 2-5 yearsOver a period of 6-9 yearsOver a period of 10-15 yearsOver a period of more than 15 years

3) What are your intentions regarding withdrawals and/or contributions to your investments today and over the next five years?

I plan to withdraw money at regular intervals and do not plan on making contributionsI will likely be making both contributions and withdrawalsI will likely make additional contributions and will not be withdrawing any fundsI will certainly make regular contributions and will not be withdrawing any funds

Section 4 - Attitude Towards Risk

1) Which statement best describes your knowledge of investments?

I have very little knowledge and I rely exclusively on the recommendations of financial advisorsI have limited knowledge of stocks and bonds, but I do not follow financial marketsI have good working knowledge and I regularly follow financial marketsI understand completely how different investment products work, including stocks and bonds, and I follow financial markets closely

2) Realizing that there will be downturns in the market, in the event of a significant loss, how long are you prepared to hold your existing investments in anticipation of a recovery in value?

Less than three monthsThree to six monthsSix months to 1 year1 to 2 years2 to 3 years3 years or more

3) Assuming that you are investing $100,000 for the long term, what is the maximum drop in your portfolio's value that you could comfortably tolerate in any given year?

I'd be uncomfortable with any lossA $5,000 drop is all I could live withA $10,000 decline is something I could tolerateA $15,000 drop would be about all I could standA $20,000 decline is pretty much my limitI could live with a decline of more than $20,000

4) Which of the following statements would you feel most correctly describes your investment philosophy?

I can not accept any fluctuation in principalI can only accept minimal fluctuations, and prefer to invest in safer, lower-return investmentsI am willing to tolerate some ups and downs in the value of my investments to achieve overall higher returns in the long runMy main interest is high, long-term returns and I am not concerned about short-term decreases in the value of my investments.

If you answered the last 3 questions with the first response, you should re-evaluate your need for growth, and carefully consider it in light of your desire for stability. Portfolios with no ups and downs generally have no growth component. If you are sure you cannot tolerate loss (even short term), stop here. Consider using guaranteed investments or short-term options like money market funds.

Section 5 - Portfolio Viability

Investment portfolios aimed at providing higher returns tend to have greater swings in value (providing both gains and losses). The more aggressive your portfolios, the more pronounced these swings become, and the more often short-term losses can occur.

1) A portfolio is a basket of different investments. The returns earned by a specific portfolio depend on the mix of investments that make up the portfolio. The following graph shows the probable range of returns (from best to worst) of four hypothetical portfolios over a nine-year period. In which of these portfolios would you prefer to invest?

Portfolio APortfolio BPortfolio CPortfolio D

2) Some investors are more willing than others to accept periodic declines in the value of the portfolio as a trade-off for potentially higher long-term returns.Which response best represents your feelings toward the following statement? I am willing to experience potentially large and frequent declines in the value of any investment if it will increase the likelihood of achieving higher long-term returns.

Strongly agreeAgreeDisagreeStrongly disagree

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