CLIENT INFORMATION WORKBOOK YOUR LOGO Slog�� HM ANAGEMEN MANAGEMENT IAMS WEALTH MANAGEMEN MANAGEMENT IAMS WEALT H M HM ANAGEMEN MANAGEMENT IAMS WEALTH MANAGEMEN MANAGEMENT IAMS WEALT H M MANAGEMENT IAMS WEALTH MANAGEMEN MANAGEMENT IAMS WEALT H M IAMS WEALTH M HM ANAGEMENT MANAGEMENT IAMS WEALTH M IAMS WEALTH MANAGEMENT MANAGEMENT IAMS WEALT H M IAMS WEALTH M HM ANAGEMENT MANAGEMENT IAMS WEALTH M IAMS WEALTH MANAGEMENT MANAGEMENT IAMS WEALT H M L TH M ENT MANAGEMENT IAMS WEALTH M IAMS WEALTH MANAGEMENT MANAGEMENT IAMS WEALT H M
Transcript
CLIENT INFORMATION WORKBOOK
YOUR LOGOSlog��
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CLIENT INFORMATION WORKBOOK YOUR LOGOSlog��
SECTION ONE:
Name: Phone:
Address: Email:
1. What is your age? (Circle one):
a. 30 years or under
b. 31 – 49
c. 50 – 65
d. 66+
2. Keeping in mind your investment goals related to your account and your tolerance for short-term market fluctuations, where would you place yourself on the following scale? (Circle one):
a. Low Risk
b. Moderately Low
c. Moderate
d. Moderately High
e. High Risk
3. The portfolio we recommend for you will likely fluctuate in value over the short term. Hypothetically, there is a 90% probability that the portfolio value, after one year, will fall somewhere between the lower boundary and upper boundary displayed. If you invested $100,000, indicate which portfolio represents the maximum risk/return trade-off you would be willing to accept. (Compare portfolios in chart below and circle the portfolio you’d accept):
a. Portfolio 1
b. Portfolio 2
c. Portfolio 3
d. Portfolio 4
e. Portfolio 5
Minimum Rate of Return Maximum Rate of Return Minimum Value Maximum ValuePortfolio 1 -3.00% 17.50% $97,000 $117,500Portfolio 2 -4.50% 21.00% $95,500 $121,000Portfolio 3 -7.50% 24.50% $92,500 $124,500Portfolio 4 -9.50% 28.50% $90,500 $128,500Portfolio 5 -10.50% 29.50% $89,500 $129,500
RISK QUESTIONNAIRE
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CLIENT INFORMATION WORKBOOK YOUR LOGOSlog��
4. Over the next several years, you expect your annual income to:
a. Stay about the same
b. Grow moderately
c. Grow substantially
d. Decrease moderately
e. Decrease substantially
5. When do you expect to use the bulk of the money you’re accumulating in your investments?
a. Immediately
b. 1 – 5 years from now
c. 6 – 10 years from now
d. 11 – 20 years from now
6. Which of these plans would you choose for your investment dollars?
a. You’d go for maximum diversity, dividing your portfolio among all available investments, including those ranging from highest return-greatest risk to lowest return-lowest risk.
b. You’re concerned about putting all of your eggs in one basket, so you would divide your portfolio among two investments with high rates of return and moderate risk.
7. Assuming you’re investing in a stock mutual fund, which one do you choose?
a. A fund with companies with potential to make significant technological breakthroughs, and whose stocks are still at their low initial offering prices.
b. A fund that only invests in established, well-known companies that have a potential for continued growth.
c. A fund devoted to “blue chip”, highly diversified stocks that pay dividends.
8. Assuming you are investing in only one bond, which bond do you choose?
a. A “junk bond” that pays a higher interest rate than the other two bonds, but also gives you the least sense of security with regard to a possible default.
b. A “treasury bond”, which pays the lowest interest rate of the three bonds, but is backed by the United States Government.
c. The bond of a well-established company that pays a rate of interest somewhere between the junk and treasury bonds
9. Please select the answer below which best reflects your investment philosophy towards risk and return.
a. I prefer the preservation of capital with returns exceeding risk-free investments. Accordingly, the risk level should be low with minimal price volatility.
b. Growth of capital is my primary objective. The portfolio may accept higher volatility associated with capital appreciation while expecting to outperform equity indices over a market cycle.
10. What is the current value of your investable assets?
Value:
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SECTION TWO:Legend: E = Extensive
S = Some
N = None
SECTION THREE:
Category Self Spouse Other Investment Experience
Retirement Plans $ $ $ E S NSavings, CD, MM $ $ $ E S NCorp/Bonds $ $ $ E S NMunicipal Bonds $ $ $ E S NU.S. Stocks $ $ $ E S NInternational Stocks $ $ $ E S NUS Equity Mutual Funds $ $ $ E S NUS Fixed Income Mutual Funds $ $ $ E S NInt’l Equity Mutual Funds $ $ $ E S NOther Mutual Funds $ $ $ E S NInvestment Real Estate $ $ $ E S NOther Investments $ $ $ E S N
Please sign and date to acknowledge the answers in this workbook:
CURRENT HOLDINGS
Investment advisory services are offered through IAMS Wealth Management, an SEC registered investment advisor. The firm only transacts business in states where it is properly registered, or is excluded or exempted from registration requirements. SEC registration is not an endorsement of the firm by the commission and does not mean that the advisor has attained a specific level of skill or ability.
