Financial Planning Fundamentals Questionnaire

Personal Information

1. My marital status is best described as: Married Unmarried in a long-term partnership Single

2. I am filling out this form in collaboration with my spouse or partner: Yes No Not applicable

3. Gender: Male Female Prefer not to say

4. Regarding retirement: I am retired I expect to retire at age ___ I plan to work as long as I am able

Planning Goals

6. How would you like a financial planner to manage your relationship? As an educator providing teaching, discussion, and advice As a partner providing advice, recommendations, and some execution As the decision-maker providing direct management of my financial affairs

7. As you imagine yourself preparing to pursue your financial goals, as if preparing for a hike up a mountain, how involved would you like your financial planner? One-time conversation about the journey Pre-trip guidance and at the bottom, explaining directions Walking alongside me, as a partner In front, leading me by the hand Behind me, pushing

Financial Statistics

8. Approximate net worth ($): (assets minus liabilities)

9. Please type in the approximate percent of your net worth in the following asset-classes?

Cash or money-market %

Bonds and fixed income %

Equities and stock options %

Real estate (including primary residence) %

Commodities and futures (including precious metals) %

Collectibles (including art and wine) %

Private business equity %

10. Approximate annual active income from salary: ($)

11. Approximate annual passive income (earnings from interest, dividends, royalties, etc.): ($)

12. Is your income stable from year-to-year? Yes No Somewhat

13. Do you own your primary residence? Yes No

14. How many dependents do you support currently?

15. Are you currently paying for or anticipating any of the following major expenses? (select all that apply) Children's education (e.g. school tuition) Parental support (e.g. elder care expenses) Alimony or child support (e.g. as the result of a divorce) Mortgage payments

Financial Stresses

Investment Objectives

17. Please rank the following financial objectives in order of importance to you, 1 through 3 (1 = most important):

Savings — Accumulating assets

Growth — Increase the value of my assets

Security — Protect my existing assets

18. Your investment knowledge is at what level? Expert Comprehensive Moderate Amateur Novice

19. On average, how many hours per week do you spend managing your assets? More than 20 10 to 20 5 to 10 1 to 5 Less than 1