If you own a home, do you have more than 30% equity?
No
Yes
Which of the following best describes your current employment situation?
Full-Time
Part-Time
Retired
Unemployed
Have you invested in Equities?
No
Yes
Have you invested in Fixed Incomes?
No
Yes
Have you invested in Mutual Funds?
No
Yes
Have you invested in Options, Futures, or Derivatives?
No
Yes
How would you describe your level of investment knowledge?
None
Limited
Good
Extensive
How much investment experience do you have?
None
Limited (1 to 3 years)
Good (3 to 5 years)
Extensive ( > 5 years)
Which of the following best describes your primary financial goal for this investment?
My goal is preserving the real (inflation-protected) value of my investment; I am not concerned with out-performing the market.
My goal is generating current income; I am not concerned with growing the value of my investment.
My goal is a combination of generating current income and growing the value of my investment.
My goal is growing the value of my investment, and I am willing to tolerate losses in some years.
What is the time horizon for your investment?
1-3 years: these investments need to remain very liquid.
3-5 years: I can only tolerate a small amount of volatility.
5-10 years: I can tolerate a moderate amount of volatility.
Over 10 years: these assets are invested for the long term and can tolerate short-term fluctuations in value.
The assets considered for investment are what percentage of your total investable assets?
More than 75%
50-75%
25-50%
Less than 50%
Please choose the phrase that best describes the degree to which you will rely on these assets.
These investments are critical to my current and future financial well-being; I have few other assets or sources of current and future income
While these assets are a significant portion of my wealth, I have other assets and additional sources of current and future income
While these investments are an important portion of my wealth, I have considerable additional assets and other significant sources of current and future income
This investment is fairly small in relation to my overall wealth and my other sources of current and future income
How likely is it you will need to withdraw a significant portion of these assets prior to your planned time horizon to pay for a home, education, or some other purpose?
There is little or no chance
It is possible, but not likely
There is a strong chance
I will definitely be withdrawing these assets
If you do expect to withdraw a significant portion of your account, when is it likely to be?
Not applicable
Within 5 years
Within 5-10 years
More than 10 years from now
If you made a long-term investment of $100,000, how much of a loss in a single year would you withstand before selling?
5% ($5,000)
10% ($10,000)
20% (20,000)
I would not sell my investment based on a single-year loss
Suppose that, over a 2 or 3 year period, your portfolio has lost value. What action would you take?
Transfer my investments to another investment manager of similar strategy that I believe is more skilled
Move my investments to a more conservative portfolio to avoid losing more money
Maintain my present disciplined, long-term strategy
Develop a more aggressive strategy to recover my losses
Assume your investment horizon is more than 10 years. During the second year of investment, your portfolio declines to less than its initial value. Where would you place your reaction along the following scale? (Check one)
A/ I never want to see the value of my I would be disappointed by this kind of I don't pay attention to short-term investments decline
B/ I never want to see the value of my I would be disappointed by this kind of I don't pay attention to short-term investments decline
C/ I would be disappointed by this kind of loss, but I need a balanced, diversified portfolio to reach my long-term goals.
D/ I would be disappointed by this kind of loss, but I need a balanced, diversified portfolio to reach my long-term goals.
E/ I don't pay attention to short-term fluctuations in market value because I am investing for growth, and I will not need my money until the end of my investment time horizon
F/ I don't pay attention to short-term fluctuations in market value because I am investing for growth, and I will not need my money until the end of my investment time horizon
From the Investor Profiles form, are you...
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