1. What is the current total of your investment portfolio? *

Understanding you may have multiple account types, IRA, brokerage, etc. What is the estimated total of assets?

Under $100k

$100k to $300k

$300k to $500k

$500k to $750k

$750k o $1 million

$1 million to $3 million

$3 million to $5 million

>$5 million

2. Which answer best describes your view on adding money to the portfolio? *

Systematic monthly or quarterly

The timing is unclear but I intend to add more money during each year

Once a year at minimum

Additions are more impulse driven than planned

I do not plan on adding to my portfolio at this time

3. What long-term goals are you investing your money for? *

Click all that apply

Kids college

Retirement

Leaving money or assets to kids and/or grandkids

Buying a house or rental property

Rainy day fund

Other

4. Understanding that "life happens and plans sometimes change", how long do you intend to keep the money invested for? *

If you have multiple accounts with different time horizons, click all that apply

8+ years

5-8 years

3-5 years

1 - 3 years

5. Understanding that all of these choices are likely important, what's most important to you? *

Choose a max of 2 options. This helps identify what your overall needs are and what will likely drive your decisions during pivotal times over your investment lifetime

Strong returns are all that matter and I judge my investments and/or advisor based on these calendar returns.

Reasonable returns over time with as smooth a ride as possible along the way

Adding new investment allocations that have low correlation to my current roster of investments

Predictable, reliable, attractive income on a periodic basis

I need to know what I own and why. I'm not as comfortable being a passive observer.

6. How does it make you feel seeing large daily swings in stocks and bond prices? *

I don't love the volatility but I'm a long-term investor so I'm comfortable riding through it with my plan in tact

I tend to use volatility to my advantage to build bigger positions at better prices

The frequent swings in prices create a lot of anxiety for me

Not only do I get anxiety with big swings, I tend to want to make shifts in my portfolio when they happen

7. Understanding that things can change, what percent of your total investable assets would you be comfortable putting into strategies that are not readily accessible because they are invested for a long-term period? *

FYI, the largest institutions, like Endowments hold a high percent of portfolio in less liquid, private market strategies because they tend to outperform fully liquid public market peers with lower volatility. They also use them to gain exposure to asset classes not typically available through public markets.

I feel more comfortable having all of my assets in highly liquid investments even if it means giving up some excess returns through illiquid assets

Between 1 and 5%

Between 5% and 10%

Between 10 and 20%

At least 30%

8. Generally speaking, private market, illiquid or partially liquid strategies have a history of outperforming their public market, liquid peers and/or with lower volatility. Would placing a portion of your assets there make sense to you assuming you understood & preferred the strategy? *

Absolutely

I'm just not comfortable having a portion of my assets unavailable to me right now

I would be open to the conversation but would need to understand how this works before making a decision

9. How would you describe your understanding of your current investment portfolio with regard to all your holdings? *

Please choose the option that best describes you. You can choose up to 2 choices. This helps us understand how engaged you are with your portfolio, and the process of building it. This flows into how likely you are to stick with the plan when storm clouds appear.

Generally, I don't understand markets or all the potential investments, which is why I work with a trusted advisor.

I absolutely love the portfolio because I understand what we own and why we own it. Knowing this helps me not panic at the wrong time.

I would consider myself pretty hands-on with regard to building the portfolio and conceptionally the investments make sense even if I dont know what each investment is actually investing in.

Generally, I don't really understand why each investment has been implemented which creates some frequent angst, during volatile periods.

I prefer to make all the investment decisions myself. I feel comfortable doing the research and identifying appropriate options.

At the current time, I don't really have a portfolio but am in the process of figuring out the plan to build one.

10. From a behavioral temperament perspective, what are you more wired to do when markets get volatile? *

Make portfolio changes to allow me to take advantage of market distress to build bigger positions in my favorite assets

I'm more of a "set the portfolio allocations and sit tight" kind of investor

I tend to prefer raising some cash when my anxiety levels go above a comfortable level & I'm willing to miss potential upside for the perceived safety allocation

I tend to keep the portfolio intact and add more money to the account(s) when prices come down

11. From an ongoing communications perspective, which apply most to meeting your needs? *

Please choose up to 2 that apply. This helps to identify how best to keep you engaged along the way which flows into ultimate goal achievement.

I prefer to have monthly & quarterly updates so I can keep up with markets and my progress

I tend to only focus on my portfolio when markets are volatile so my conversations with my advisor tend to be timed around market turmoil

I check my account(s) regularly so as long as the values are moving in the right direction, I tend not to need portfolio updates very often. When markets are down, I tend to need reassurances

I prefer to have various forms of content (written, zoom calls, personal visits, video updates) so I can keep up with markets and portfolio allocations

It's all over my head honestly, so I don't pay that much attention day to day because I'm investing for long periods of time

12. If there's a compelling investment opportunity that requires more paperwork than simply buying a stock, ETF, bond, or mutual fund, does that keep you from considering the opportunity? *

Yes, I like things as simple as possible and paperwork keeps me from implementing things historically

Not at all, as long as my advisor explains the process and helps me with the paperwork, I'm fine doing the extra work

It would have to be a very compelling opportunity for me to add extra paperwork to my life

Yes, but I need to see the data showing me why something with more paperwork is better than easier options in a similar peer group

13. Which types of investment accounts do you currently have? *

This helps get a complete picture of your investments which flows into the type of recommendations across asset types

Taxable brokerage - only one

Taxable brokerage - -multiple

IRA - only one

IRA - multiple IRA's and Rollover IRA's

Kids college savings account(s)

Trust account(s)

Dedicated "trading" account where no real structured plan is in place

Partial ownership in 1 or more private companies as an angel, seed, or follow-on investor.

Other

14. If you were building a portfolio from scratch without help from anyone, which assets resonate with you best for inclusion in the portfolio? *

Choose all that apply

Individual stocks

Individual bonds

Thematic & mega trend strategies so I can invest in the trends I think are important

Money market accounts

Mutual funds

ETFs

Private assets like: Private Equity, Private Credit, Private Real Estate, Private Infrastructure, Energy Transition, Hedge Funds etc.

Sector investing

International investing

Income-focused investments

Growth of capital investments

Investing directly in early stage or start-up companies creating something I beleive in.

Other

15. Are you an accredited investor? *

This qualification helps determine which strategies are available and potentially appropriate for an investor. Here's the checklist to check if you qualify as an accredited investor: Net worth >$1 million, excluding primary residence (individually or with spouse or partner), or Income over $200k (individually) or $300k (with spouse or partner) in each of the prior two years, and reasonably expects the same for the current year. Or, investment professionals in good standing holding the general securities representative license (Series 7), the investment advisor rep license (Series 65), or the private securities offering license rep license (Series 82) or a director, executive officer, or general partner (GP)of the company selling the securities or any family client of a family office that qualifies as an accredited investor. Also, if an entity owns investments or assets in excess of $5 million.

Yes

No

15 A. Are you a qualified purchaser? *

This qualification helps determine which strategies are available and potentially appropriate for an investor. A qualified purchaser is: A person holding $5 million or more in investments, or a company holding $5 million or in investments owned by close family members, or a trust, albeit not one formed specifically for the investment in question, holding $5 million or more in investments, or an investment manager with $25 million or more under management, or a company holding $25 million or more in investments.

Yes

No

16. Generally speaking, what is more important to you with regard to your investment portfolio? *

Choose the top 3 that apply

The cost of managing the portfolio and the internal costs of the investments I have

Beating the market each year overall

Generating a reasonable rate of return for the risk tolerance I have chosen

Having exposure to investments that many smart institutional investors tend to utilize

Having as little volatility in my account as possible understanding I'm trying to generate a solid return

Having a portion of my assets in investments that have more shallow daily swings so I can sleep at night.

I need to understand and approve of each investment where its mission is concerned. I prefer to invest in things I believe in and understand versus selecting investments by track records

Having everything I own invested in fully liquid, easily accessed investments

Having some exposure to start-ups or early stage companies that I believe in.

17. How long have you been investing your capital? *

Choose the description that best describes you

< 3 years - I'm fairly new to investing but I'm anxious to learn as much as I can

5-10 years - I'm fairly experienced and follow along as time permits

>10 years - I have been investing for many decades and feel pretty dialed in to markets and asset prices

> 10 years - I've been investing for a long time but I wouldn't consider myself anything more than a passive observer generally. Mostly because I work with an advisor who I trust

18. Generally speaking, how would you describe your knowledge level of private asset classes like Private Equity, Private Credit, Real Estate, Hedge Funds, Venture Capital, Angel Investing, Private Lending etc? *

I know just enough to be dangerous

I really do not know that much about these kinds of assets so I probably would shy away from investing

I'm well versed in these assets and currently have exposure to some of these

I'm a pretty sophisticated investor overall but do not currently have any allocations in these asset types

I hire advisors to be the experts so I don't feel I need to know much more than the quick facts about the assets

19. Plans can change but for now, I plan on starting to take money from my investments... *

In 1 year or less

In less than two years

In 3-5 years

In 5-8 years

In more than 8 years

20. As of today, my current and future income streams are... *

Quite stable

Mostly stable

Unclear

21. Which 1 year scenario is most acceptable to you? *

Range #1: +10% and or -10%

Range #2: +20% and or -20%

Range #3: +30% and or -30%

22. The average annual equity decline intra-year is ~14%, if you experienced a 14%+ decline, what would you typically be inclined to do? *

Sit tight and stick to the plan

Sell a portion of the riskier positions and re-deploy into more defensive positions

Raise a significant amount of cash and wait for calmer seas

Sell some of my defensive positions to add to the "offense" side of the portfolio

23. Which 5 investments are you most interested in owning? *

Choose up to 5 investment categories

Dividend stocks

Growth stocks

Inflation beneficiaries

Thematic or mega trend investments

Value stocks

International stocks

Angel investing

International bonds

Smaller & Medium sized company stocks

Interest rate sensitive bonds

Credit sensitive bonds

Precious metals

Commodities

Downside protected, or hedged strategies

Private Equity

Venture Capital investing

Private Credit

Private Real Estate

Private Infrastructure & Income

Next-gen Energy Opportunities

Sector-based equities

Other

24. Broadly speaking, choose the 2 most important investment focuses for you from a big picture perspective. *

High current income

Overall stability of my current account balance. I'd like to avoid wild up/down swings if possible

Potentially higher growth of my capital understanding that requires being willing to tolerate bigger swings in short periods of time

Income goal is paramount but with some growth of capital

25. What might hold you back from adding partially liquid or illiquid assets in your portfolio? *

Please choose the 2 choices that best describe how you feel.

I have no experience with illiquid assets so it's more of a fear of the unknown

I may need access to the bulk of my capital so having illiquid assets run counter to that possibility

I'm not opposed to holding illiquid assets so long as I understand the strategies and why we are implementing them

I'm simply more comfortable having everything I own being fully liquid any time I need access to them

If holding illiquid assets can shield me from the day to day market volatility I welcome this conversation

26. What is your household combined income currently? *

This helps us identify how much savings can be used to help meet long-term goals

<$100k per year

$100-$250k

$250-$400k

$400k -$600k

$600k to $1 million

$1 million to $5 million

>$5 million

27. Which description best describes you currently with regard to supporting others? *

This feeds into your income and investment potential

Single and responsible solely for myself

Married and supporting a family

Married with dual household income

Single but supporting other people along with myself

28. Generally, what is your current view of markets and the investment climate? *

This helps us understand sentiment toward risk taking. Sentiment is linked to behavior which is linked to overall returns .

I don't really pay attention to the market environment or the swings because I'm invested for the long-term

The more I hear and read, the more nervous I am becoming

I'm pretty well researched and generally positive on the investment climate

I'm pretty well researched and generally pretty cautious at the current time

I'm outright negative (bearish)

I'm pretty negative about the outlook right now but that tends to give me great buying opportunities so I'm waiting patiently for the opportunities

29. Which description best describes you and/or your families current stance on discretionary spending? *

This information helps us with how consumers are thinking about their spending which flows into economic growth and the investment climate

I/we are spending no more or less than we normally spend in general

I/we are spending more than normal and I do not see an end to this new level of spending any time soon

I/we are spending less than normal and I do not see that changing any time soon

I/we are now making trade-offs where spending is concerned. Due to higher prices or a personal financial concern

30. Have you either re-connected with your advisor or reviewed your investment portfolio recently to make sure it's positioned according to the environment we are in? *

Yes

No

I don't have an advisor but I think I need some help analyzing the portfolio

Name or unique identifier to be used for privacy

First Name

Last Name

Advisors Name if applicable

First Name

Last Name