Risk Questionnaire

Mason & Associates Inc.

Personal Portfolio - Investment Risk Questionnaire

(Circle corresponding response.)

1. What is your approximate yearly household income?
$250,000 + $100,000 - $175,000
$100,000 - $200,000 $ Under $100,000
2. When do you plan to start withdrawing money from your investments for major needs?
In more than 10 years In 1 - 5 years
In 5 - 10 years In less than 1 year
3. Once you have achieved your primary investment objective and begin to withdraw funds from this account, over how long of a period do you anticipate the withdrawals to continue?
Short term - lump sum disbursement Between 5 and 10 years
Up to 5 years For more than 10 years
4. When do you expect to retire?
In more than 15 years Within the next 5 years
In the next 5 –15 years I already retired
5. Which of the following best describes the amount of money you are investing relative to your total investable assets - what percentage of cumulative assets will you be investing in this program?
Less than 20% Between 21% and 50%
Between 51% and 70% Greater than 71%
6. Will you utilize principal and/or income from this account to supplement your living expenses - what percentage of your total investment will you require annually?
This is not required Approximately 2% - 5%
Approximately 1% - 2% More than 5%
7. How experienced are you in managing your investments?
Very experienced Less experienced
Somewhat experienced Not experienced
8. Which of the following best summarizes your investment objectives?
Speculative - I enjoy taking changes designed investment strategy that offsets some of the risk Income - I use some of my investment on some long-shots within a well- earnings to meet everyday expenses
Growth - I want to outpace inflation and also enhance my net worth for the future Maintenance - I rely heavily on my investments to pay everyday expenses and recurring expenses
9. When you decide how to invest your money, which are you most concerned with?
Positioning my portfolio for maximum growth, even at the risk of watching its value widely fluctuate over time Providing consistent income for my current lifestyle
Accumulating wealth for my financial independence Preserving my net worth to help meet everyday expenses
10. Which of the following statements best describes your attitudes toward price fluctuations?
I am willing to accept a high level of volatility for the potential to realize maximum returns I don’t want my portfolio to fluctuate as much as the general financial markets, but I can withstand some up and down variances in my portfolio over time
I am willing to accept a modest amount of price fluctuation to attempt to achieve a return modestly higher than that available without risk of price fluctuations I am willing to forgo the potential of large returns for the stability of knowing my portfolio is protected against large decreases in value
11. Consider the following hypothetical one-year returns for a certain investment. Based on the range of possible outcomes shown, which best suits your investment philosophy?
Average Case = 13%, Best Case = 50%
Worst Case = -30%
Average Case = 9.5%, Best Case = 28%
Worst Case = -15%
Average Case return = 11%, Best Case = 43%,
Worst Case = -20%
Average Case = 8%, Best Case = 16%
Worst Case = -6%
12. Like most investments, the value of this account may fluctuate over time. Hypothetically, if you invested $100,000 and it was performing in line with the world markets, at what point would you sell?
I would not sell I would see when the value reached $80,000
I would sell when the value reached was less than $80,000 I would see when the value reached $90,000
13. Do you have funds saved for emergencies? If so, how long would those emergency funds last?
The funds would last more than a year The funds would last between 1 and 6 months
The funds would last between 6 and 12 months I don’t have an emergency fund
14. Which of the following statements best describes your feelings toward risk with respect to expected returns?
I would select a mix of investments with an emphasis on a low degree of risk, but with a small portion that might have high risk and associated return potential I would select only investments that offer the highest possible returns, accepting that there will be a high degree of risk associated with this approach
I would select a mix of investment with an emphasis on a high degree of risk, but with a small portion that might have a lower risk and associated returns I would only select investments that have a low degree of risk associated with them
15. How do you expect your household income to change over the next 3 years?
Increase 20% No Change
Increase 5-20% Decrease 5-20%
16. How do you expect household expenses to change over the next three years?
Decrease 5-20% No Change
Increase 5-20% Increase more than 20%

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Los Angeles, CA 90041

Phone: 323.254.3072
Toll Free: 888.988.401K
Fax: 323.395.0714

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