ONE Risk Profile

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The risk tolerance assessment empowers you to better understand your risk profile based on your unique investing time horizon and specific investment goals. The risk assessment strives to align advisor and client expectations upfront, as well as inform better decision making during the financial planning process.

To calculate risk tolerance, please select one answer from each of the following questions.

1) Which of the following best describes your primary investment objective?(Required)

Wealth Accumulation Emphasis on continued capital appreciation in accordance with your overall risk tolerance.

Wealth Maintenance Emphasis on maintaining a desired lifestyle or level of financial security.

Wealth Distribution Emphasis on using wealth for living expenses.

2) Approximately how many years do you expect to continue to invest your assets in the stock market?(Required)

0-3 YR

3-5 YR

6-10 YR

11-15 YR

> 15 YR

Assuming you are investing $100,000 and can choose from the five hypothetical portfolios shown in the table below. The dollar values for each portfolio represent two possible returns – low and high – after one year. Assuming there is an equal chance of achieving either result (low or high), indicate which portfolio represents the maximum risk/return trade-off you would be willing to accept.

Hypothetical Risk

Choice	Possible High	Possible Low
A	$160,000	$55,000
B	$150,000	$65,000
C	$135,000	$75,000
D	$125,000	$85,000
E	$115,000	$95,000

3) Hypothetical Risk Selection(Required)

4) Please indicate the level of risk with which you are most comfortable (0 – No Risk, 10 – High Risk)(Required)

5) How long are you prepared to wait for your account to return to its original value after a down market?(Required)

< 18 Months

18 MO – 2 YR

2-3 YR

3-5 YR

>5 YR

6) My current income and future income (salary, pension, etc.) is:(Required)

Very Secure/Stable

Mostly Secure/Stable

Secure/Stable

Somewhat Secure/Stable

Not Secure/Stable

7) How able are you to handle financial emergencies with assets outside of your investment account(s)?(Required)

Very Able

Mostly Able

Able

Somewhat Able

Not Able

This assessment is designed to ensure your investment strategy fits your goals, risk tolerance, and circumstances. Our aim is to help you pursue your goals confidently.

Please select one of the following:(Required)

This is an initial assessment

I am an established client of One Wealth Management

8) How do you best describe your investment knowledge and experience for the following assets?

8a) Your experience with Stocks(Required)

Extensive

Moderate

Limited

None

8b) Your experience with Bonds(Required)

Extensive

Moderate

Limited

None

8c) Your experience with Mutual Funds(Required)

Extensive

Moderate

Limited

None

8d) Your experience with ETFs (Exchange Trade Funds)(Required)

Extensive

Moderate

Limited

None

The portfolio should be structured to meet financial objectives over a period of(Required)

1 to 3 years

4 to 7 years

8 to 10 years

More than 10 years

9) How much of your portfolio is required as income now?(Required)

No need for current income

Less than 2% per year

2% – 4% per year

Greater than 4%

Approximate amount of assets to be initially placed under management(Required)

Up to $5,000,000

$5,000,000 to $15,000,000

$15,000,000 to $30,000,000

$30,000,000 to $50,000,000

$50,000,000 and over

Have there been any changes to your financial situation?(Required)

Yes

Please indicate the changes below (may select more than one)(Required)

Annual Household Income

Estimated Net Worth

Liquid Net Worth

Federal Income Tax Rate

Income Need

Major Life Changes (e.g. Relocation/new home, new baby, new job, recently married/divorced)

Additional Comments

Have there been any changes to your risk exposure, time horizon or investment objective?(Required)

Yes

Provide Details

Did you have any lifestyle changes in the past year, or are there anticipated lifestyle changes within the next year?(Required)

Yes

Provide Details

Name(Required)

First Last

Address

Street Address Address Line 2 City State / Province / Region ZIP / Postal Code Country

Mobile Phone

Email(Required)

DOB

Month

Day

Year

Company

Investable Net Worth

Annual Household Income

Spouse Name If Married

First Last

If Referred, Enter Name

First Last

Do you know your advisor?

Yes

No, this is a general inquiry

Advisor Name

Upload Statements

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I attest the individual submitting this form is the same individual as named in the form.(Required)

Yes

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