| INVESTMENTS: GOALS AND RISK TEMPERAMENT |
| Your Investment and Planning Goals and Objectives |
Not Important
Client A
Client B |
Somewhat Important
Client A
Client B |
Very Important
Client A
Client B |
Your Ranking: 1 – 11
(1 = Most important)
Please don’t use the same number more than once.
Client A
Client B |
| 1) Accumulating wealth for the future |
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| 2) Charitable giving |
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| 3) Children/Grandchildren’s education |
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| 4) Controlling expenses or debt |
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| 5) Emergency cash reserves |
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| 6) Major purchases |
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| 7) Preserving wealth for heirs |
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| 8) Protection from death or disability |
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| 9) Reducing income taxes |
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| 10) Retirement/Financial Independence |
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| 11) Other: |
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| Describe the best, and worst, financial investment you’ve ever made: |
| Client A: Best: |
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Worst: |
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| Client B: Best: |
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Worst: |
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List any investment-related personal preferences and/or constraints that we should take into consideration:
Example: Don’t sell any XYZ stock; don’t buy any emerging market funds, keep $5,000 in cash.
Client A:
Client B:
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We’d like to know what you think investment risk is so we’ll be talking about the same thing in our
discussions. Please write a short sentence describing what you think investment risk is:
Example: Investment risk to me means the risk of losing any money that I invested.
Client A:
Client B:
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What information (TV, magazines, other people, etc.) have you used in the past to make investment decisions?
Client A:
Client B:
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Please list all expected cash withdrawals from your investments that you will have with us, and their time frames:
Example: $10,000 next year to buy a boat. $3,000 a month forever when I retire in two years.
Client A:
Client B:
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How much input do you want to make regarding managing your investments:
Client A:
Client B:
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