Mutual Advisors, LLC Page 1 of 3 RAQ.20190823
RISK ASSESSMENT QUESTIONNAIRE
CLIENT NAME(S)
Primary Client (or Entity) Name Secondary Client Name Advisor Name/Number
The Risk Assessment Questionnaire is a series of questions designed to help determine your risk tolerance. For each question below, please select the most
appropriate answer. If there are any questions, please contact your advisor.
GOALS
1. What is the main goal for your investments? Preservation of current assets
Conservative generation of income
Balanced portfolio between growth and income
Growth of assets
Aggressive growth of assets
0
1
2
3
5
2. I expect to pull money from my investments in: Less than 1 year
1-4 years
5-10 years
11-20 years
Over 20 years
0
1
2
3
5
FINANCIALS
3. Select your current net worth (excluding primary residence): Under $100,000
$100,000 - $500,000
$500,000 - $1,000,000
$1,000,000 - $3,000,000
Over $3,000,000
0
1
1
2
3
4. Please indicate your current annual household income: Under $75,000
$75,001 - $125,000
$125,001 - $200,000
$200,001 - $350,000
$350,000+
0
0
1
1
2
5. What is the most complex investment you have owned, or would be
comfortable owning?
Money Markets/CDs
Mutual Funds/ETFs
Individual Stocks or Bonds
Hard Assets (gold, art, etc.)
Options, Futures or Unlisted Securities
0
2
4
7
10
RISK TOLERANCE
6. Which best describes your tolerance to risk: Seek stable investments to preserve my principal
Pursue modest increases in my investments, with low risk of loss
Aim for investment growth, accepting moderate risk of loss
Seek above-average growth in investments, accepting above-
average risk of loss
Reach for maximum returns, accepting significant risk of loss
1
2
3
4
5
7. The charts show the potential 1-year risk/return tradeoff of a
$100,000 investment. Which would you choose?
Option 1: $2,000 potential gain; $0 potential loss
Option 2: $9,000 potential gain; -$5,000 potential loss
Option 3: $20,000 potential gain; -$13,000 potential loss
Option 4: $31,000 potential gain; -$21,000 potential loss
Option 5: $37,000 potential gain; -$26,000 potential loss
1
2
3
4
5
8. Imagine that an investment you own lost 30% of its value in 3 days.
What would you do?
I don’t know
Sell all of my shares
Sell a portion of my shares
Do nothing
Buy more shares
1
2
3
4
5
Mutual Advisors, LLC Page 2 of 3 RAQ.20190823
9. You make an investment, planning to hold it for 5 years. It then loses
20% in its first year. How do you react?
I would sell my investment because of my concerns
I would consider selling part of my investment
I would wait to see how it continues to perform
I wouldn’t sell my investment, but would be concerned
I would buy more of the investment because of the discount
1
2
3
4
5
10. The following shows the potential performance of an investment over 10 years. Which would you choose?
Option A
Option B
Option C
Option D
Option E
1
2
3
4
5
Mutual Advisors, LLC Page 3 of 3 RAQ.20190823
TOTAL RISK SCORE
Total the scores for each question based on the answers selected in questions 1 through 10 above. The below table will show your applicable Risk
Category based on the Total Risk Score.
Total Risk Score
RISK CATEGORY RISK SCORE RANGE
Low 0 – 10
Moderately Low 11 – 20
Moderate 21 – 30
Moderately High 31 – 40
High 40 – 50
Based on the above risk assessment, do you agree with the score and applicable category assigned to you and your portfolio? Yes No
If you do not agree, what is the reason you do not agree with the above overall assessment score? (Please provide as many details for your decision as necessary.)
SIGNATURES AND DATES
I/we understand that the above-referenced Risk Assessment Questionnaire acts only as a guide to building an overall financial solution. I/we recognize that there
are other factors to consider besides my/our score on this questionnaire when making portfolio decisions and have disclosed all necessary financial and objective
information to my/our advisor so that he/she may make informed investment recommendations specific to my/our situation.
Print Primary Client/Authorized Individual Name First, M.I., Last Print Secondary Client/Authorized Individual Name First, M.I., Last
SIGN
Primary Client/Authorized Individual Signature Date MM-DD-YYYY
SIGN
Secondary Client/Authorized Individual Signature Date MM-DD-YYYY
For Internal Use Only
Investment Advisor No/Name Signature Date MM-DD-YYYY
