Marlatt - Your Financial Wealth Experts

Risk Profile Survey

We want to get to know you and your investment outlook better. To make our first meeting together more productive, take a few minutes to complete and print this questionnaire.

1. What is your investment horizon — when will you want to use your invested money?

3-5 years 6-10 years 11-15 years 16-25 years 25-30 years

2. What is your most important investment goal?

I want my investments to be secure. I also need my investments to provide me with income now, or to fund a large expense within the next few years. I want my investments to grow, but I also want them to provide some income. I am comfortable with moderate market fluctuations. I am more interested in having my investments grow over the long-term. I am less concerned about income, and I am comfortable with short-term return volatility. I want long-term aggressive growth and am willing to accept significant short-term market fluctuations.

3. If you owned an investment that fell by 20% over a short period, what would you do?

Sell all of the remaining investment. Sell a portion of the remaining investment. Hold the investment and sell nothing. Buy more of the investment.

4. Choose a scenario that best describes the way you monitor your investments.

I look forward to reviewing my portfolio on a daily basis. I make it a point to review my portfolio regularly and at least once a month. I review my portfolio on a quarterly basis. I only review my portfolio once a year.

5. Would you invest in a financial product based solely on a brief conversation with a friend, relative,or co-worker?

Absolutely not. Probably not. Probably. Absolutely.

6. Given the four potential outcomes below, how would you invest $10,000?

The potential of earning between $420 and $3500 on your investment. The potential of earning up to $5070, but the risk of losing up to $400. The potential of earning up to $7070, but the risk of losing up to $1050. The potential of earning up to $9050, but the risk of losing up to $1690.

7. If you could improve your chances of increasing your investment returns by taking more risk, would you:

Be unlikely to take more risks. Be willing to take a little more risk with some of your overall portfolio. Be willing to take a lot more risk with some of your overall portfolio. Be willing to take a lot more risk with your entire overall portfolio.

8. What type of investor are you?

You may be reaching retirement or simply prefer to take less risk. Security of capital is your biggest concern. You may be close to retirement or prefer to take less risk. Security is quite important to you. You want a balance between growth and security. You are willing to accept some risk for potential higher returns over time. Growth is important but security is still a factor. You are willing to accept risk for potential higher returns over time. The growth of your money is your main concern and you plan to be invested for a long time. You are very comfortable with riding out the ups and downs of the market for potential higher long-term results.

1540 Cornwall Road, Suite 206 Oakville, Ontario L6J 7W5 | Tel: 905.844.1412 | Fax: 905.844.6141 | life@marlatt.ca
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