Investor Risk Profiling Questionnaire
Investor Risk Profiling Questionnaire
Client Name: _________________________________________________
The following questionnaire is designed to help you understand your capacity and willingness to accept investment risk.
Your answers to these 8 questions will help us determine which funds are suitable for your risk appetite and investment objectives.
1. What is your age?
|20 – 35 |36 - 50 |51 - 65 |> 65 |
2. What is your occupation?
|Employee |Entrepreneur |Private Income |Retiree |
3. Of your total liquid assets, what percentage does the amount you plan on investing represent?
|< 25% |25% - 50% |50% - 75% |> 75% |
4. When you invest money, what is your primary goal?
| |Preserve the value of my investments. I want to minimize the risk of investments losing value. |
| |Generate regular cash inflows. However, I would also like to build the value of my investments gradually over |
| |time, as a secondary objective. |
| |Have the value of my investments grow over time. However, I would also like to generate some regular cash |
| |inflows, as a secondary objective. |
| |Have the value of my investments grow substantially over time. I do not need to generate regular cash inflows. |
5. When is the earliest you anticipate needing all or a substantial portion of your investment assets?
|< 1 year |1 to 2 years |2 to 5 years |> 5 years |
6. In the past, which of the following products or instruments have you invested in (select all)?
|Time Deposits |Peso government securities |Dollar government or corporate |Stocks |
|Money Market funds |Peso corporate bonds |bonds |Equity UITFs |
| |Peso bond UITFs or mutual funds |Dollar bond UITFs or mutual |Derivatives |
| | |funds | |
7. With how much investment volatility (fluctuations in the value of your investment) are you comfortable?
| |As little as possible. I want to focus on current income and stability of value even if it means that my total |
| |returns are relatively small |
| |Some. I am willing to accept occasional losses in value as long as my investments have some potential for growth |
| |over time |
| |Moderate. I am willing to take moderate risk as long as my investments have a greater potential for growth over |
| |time |
| |A considerable amount. I am willing to take substantial risk in pursuit of higher total returns |
8. How large a drop in the value of your investment portfolio (unrealized or paper loss) would you be prepared to see before you start feeling very uncomfortable?
|< 25% |25% to 50% |50% to 75% |> 75% |
Thank you for taking the time out to answer this questionnaire. The information you provided will be treated with the utmost confidentiality.
----------------------------------------------------- ---------------------
Customer Signature Over Printed Name Date
|Total Score |Risk Category |
|25 to 49 |Conservative (Low) |
|50 to 74 |Balanced (Medium) |
|75 to 100 |Aggressive (High) |
For Philequity Use Only
Total Score: _________ Equivalent Risk Profile: ( Low ( Med ( High
Existing Client: ( Yes ( No
Referred by: ________________
BDO: _________________
SCORING GUIDE
1. What is your age?
|20 – 35 |36 – 50 |51 - 65 |> 65 |
|5 POINTS |3 POINTS |1 POINT |0 POINTS |
2. What is your occupation?
|Employee |Entrepreneur |Private Income |Retiree |
|5 POINTS |3 POINTS |1 POINT |0 POINTS |
3. Of your total liquid assets, what percentage does the amount you plan on investing represent?
|< 25% |25% - 50% |50% - 75% |> 75% |
|10 POINTS |8 POINTS |5 POINTS |2 POINTS |
4. When you invest money, what is your primary goal?
| |Preserve the value of my investments. I want to minimize the risk of investments losing value. 11 POINTS |
| |Generate regular cash inflows. However, I would also like to build the value of my investments gradually over |
| |time, as a secondary objective. 14 POINTS |
| |Have the value of my investments grow over time. However, I would also like to generate some regular cash |
| |inflows, as a secondary objective. 17 POINTS |
| |Have the value of my investments grow substantially over time. I do not need to generate regular cash inflows. |
| |20 POINTS |
5. When is the earliest you anticipate needing all or a substantial portion of your investment assets?
|< 1 year |1 to 2 years |2 to 5 years |> 5 years |
|2 POINTS |6 POINTS |8 POINTS |10 POINTS |
6. In the past, which of the following products or instruments have you invested in (select all)?
|Time Deposits |Peso government securities |Dollar government or corporate |Stocks |
|Money Market funds |Peso corporate bonds |bonds |Equity UITFs |
| |Peso bond UITFs or mutual funds |Dollar bond UITFs or mutual |Derivatives |
| | |funds | |
|2 POINTS |6 POINTS |8 POINTS |10 POINTS |
7. With how much investment volatility (fluctuations in the value of your investment) are you comfortable?
| |As little as possible. I want to focus on current income and stability of value even if it means that my total |
| |returns are relatively small 4 POINTS |
| |Some. I am willing to accept occasional losses in value as long as my investments have some potential for growth |
| |over time 9 POINTS |
| |Moderate. I am willing to take moderate risk as long as my investments have a greater potential for growth over |
| |time 14 POINTS |
| |A considerable amount. I am willing to take substantial risk in pursuit of higher total returns 20 POINTS |
8. How large a drop in the value of your investment portfolio (unrealized or paper loss) would you be prepared to see before you start feeling very uncomfortable?
|< 25% |25% to 50% |50% to 75% |> 75% |
|4 POINTS |8 POINTS |14 POINTS |20 POINTS |
Thank you for taking the time out to answer this questionnaire. The information you provided will be treated with the utmost confidentiality.
----------------------------------------------------- ---------------------
Customer Signature Over Printed Name Date
|Total Score |Risk Category |
|25 to 49 |Conservative (Low) |
|50 to 74 |Balanced (Medium) |
|75 to 100 |Aggressive (High) |
For Philequity Use Only
Total Score: _________ Equivalent Risk Profile: ( Low ( Med ( High
Existing Client: ( Yes ( No
Referred by: ________________
BDO: _________________
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