Financial Assessment Questionnaire

Personal Information

First Name *

Last Name *

Email *

Age Range

Financial Assets & Liquidity

Total Investable Assets *

Include stocks, bonds, mutual funds, CDs, and other investment accounts (excluding primary residence)

Current Cash Reserves

Emergency funds, savings accounts, money market accounts

Anticipated Cash Needs (Next 2 Years) *

Major purchase (home, vehicle, etc.)

Education expenses

Business investment/expansion

Family support/gifts

Retirement income needs

No significant cash needs expected

Expected Cash Need Amount

Investor Accreditation

Are you an Accredited Investor? *

Yes, I am an accredited investor

No, I am not an accredited investor

I’m not sure

Generally requires $1M+ net worth (excluding primary residence) or $200K+ annual income ($300K+ joint)

Annual Income Range

Alternative & Illiquid Investments

Interest in Illiquid Securities *

Very interested – seeking higher returns despite illiquidity

Somewhat interested – willing to allocate a small portion

Not interested – prefer liquid investments

Alternative Investment Preferences

Private Equity

Private Real Estate/REITs

Hedge Funds

Commodities/Natural Resources

Business Development Companies (BDCs)

Oil & Gas Partnerships

None of the above

What percentage of your portfolio would you consider allocating to illiquid investments?

Advanced Planning Needs

Estate Planning Interests

Tax minimization strategies

Wealth transfer to heirs

Charitable giving strategies

Trust structures

Business succession planning

Do you own a business?

Yes, I own a business

Yes, I’m a partner/partial owner

No

Tax Planning Priorities

Current year tax reduction

Retirement tax efficiency

Capital gains management

Income shifting strategies

Investment Goals & Risk Tolerance

Primary Investment Objective *

Capital preservation

Current income generation

Balanced growth and income

Long-term capital growth

Aggressive growth

Investment Time Horizon

Risk Tolerance

Conservative – Prefer stable returns, minimal risk

Moderate – Accept some volatility for better returns

Aggressive – Comfortable with high volatility for growth potential

Additional Information

Additional Goals or Concerns

Preferred Contact Method

Email

Phone

In-person meeting