Managed Questionnaire | Gold Coast Financial Group

Managed Account Questionnaire

Client Name

Account Number

1. Please rank your top two items of relative importance to you from the following choices: Rank as #1 your most important item and #2 as your second most important item. (Enter Single Digit Numbers Below)

Liquidity (ability to convert assets to cash within a short time)

Inflation Protection (rate of return required to offset inflation over time)

Current
Income

Income then Capital Appreciation

Capital Appreciation then Income

Substantial Capital Appreciation

2. For this portfolio, you would like to invest in assets that offer (choose one)

Current Income with modest fluctuation in value

Competitive total return (appreciation and some income)

The potential for high capital appreciation with the possibility of substantial fluctuation in principal

3. Which of the following hypothetical Long-Term Investment scenarios most appeals to you (check A, B or C)

A. Return Goal 10%, Return During a Positive Year 40%, Return in a Negative Year -25%, Chance of Losing Value in a Year 30%;

B. Return Goal 8%, Return During a Positive Year 30%, Return in a Negative Year -15%, Chance of Losing Value in a Year 25%;

C. Return Goal 6%, Return During a Positive Year 20%, Return in a Negative Year -10%, Chance of Losing Value in a Year 20%;

4. If your portfolio declined 20% (commonly known as a Bear Market Correction), choose the answer that matches your market outlook? (Choose one)

Concerned, but able to accept cyclical downturns and realize that fluctuations may occur

Mildly concerned, knowing that occasional fluctuations may occur, but still interested in long-term growth

Not concerned, may accept temporary declines in order to receive long-term growth

View it as a buying opportunity to invest further

5. What is your expectation for annual returns over time (on average)? Percentages are purely hypothetical for informational purposes only

Less than 5%

6-7% Moderate

8-9% Aggressive

9%+ Very Aggressive or Speculative

6. Which of the following would you prefer?

Potential for low return with low volatility

Potential for moderate return with moderate volatility

Potential for high return with high volatility

7. How many years are you willing to leave your investments untouched to allow strategies to come to fruition?

Less than 1 year

1-3 years

3-5 years

More than 5 years

8. In an upmarket, you are most likely to...

Hold the present portfolio

Consider rebalancing any over-weighted investments

Sell profits and convert to cash

9. Are there assets “held away” we should consider when managing this portfolio? (Check any that apply)

Stock Options/Restricted stock provided by employer or other entity

Large Real Estate investment

Annuity or other insurance contract

Alternative product/Private placement/Physical commodities/Mutual funds held at sponsor

10. Are there any personal, professional or regulatory constraints the advisor should be aware of in order to effectively manage the portfolio?