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Risk Tolerance Survey
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Risk Tolerance Survey
Risk Tolerance Questionnaire
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Figure A
1) This graph (Figure A) 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 theseseven hypothetical portfolios, which one would you choose to invest in?
Portfolio A
Portfolio B
Portfolio C
Portfolio D
Portfolio E
Portfolio F
Portfolio G
2) Inflation (rising prices for goods and services) can have a significant effect on your investment by decreasing their potential purchasing power over time. Aggressive investments have historically outpaced inflation over the long run, but have had more instances of short-term losses than more conservative investments. How do you feel about inflation and its impact on your investments?
You are satisfied with your investments keeping pace with inflation. Limiting the potential for short-term loss is your main goal, and you are willing to sacrifice the potential for higher returns.
You would like your investments to outpace inflation. You are willing to assume some potential for short term loss in order to achieve that goal.
You prefer that your investments significantly outperform inflation. You are willing to assume a greater potential for short-term loss in order to achiever that goal
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 securities behaved in a similar fashion)?
Sell all the securities 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 securities 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 securities will regain their preious value or increase in value.
4) Once again, assume you have a substantial portion of your investment portfolio in securities. If the stock market were to gradually decline at an average of 2 percent per month, eventually losing 22% of its value over a year, which of the following would you do?
Invest more now because securities are selling for approximately 22% less than they were 12 months ago. You believe that the securities will regain their value or possibly appreciate even higher over the long-term.
Sell the securities in your portfolio and realize the 22% 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 securities to regain their previous value or to increase in value.
5) Aggressive investments have historrically provided higher returns while exhibiting greater short-term price fluctuations and potetial 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 your portfolio. You understand that you are sacrificing higher long-term returns by holding investments that reduce the potential for short-term loss and price fluctuation.
You can tolerate moderate losses in order to achieve potentially favorable returns.
You can tolerate 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 years
3-5 years
6-9 years
10+ 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-$3,000,000
More than $3,000,000
8) What is your approximate Net Worth?
Less than $250K
$250-$500K
$500K-$1M
$1M-$3M
$3M-$5M
$5M-$10M
$10M-$20M
More than $20M
9) What are your income needs from investment assets?
None
$10,000 per year
$20,000 per year
$30,000 per year
$40,000 per year
$50,000 per year
$60,000 per year
$70,000 per year
$80,000 per year
$90,000 per year
$100,000 per year
More than $100,000 per year
What is your STATE tax bracket?
0%
1%
2%
3%
4%
5%
6%
7%
8%
9%
10%
More than 10%
What is your FEDERAL tax bracket?
0%
10%
15%
25%
28%
33%
35%
Δ
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