SURVEY | McKelvy Wealth MGMT

1. Which statement best describes you:

I am willing to take a greater amount of risk than the overall market to hopefully make a greater return

I want to find a balance of risk and return with the understanding that having a risk strategy can produce better returns

I want to primarily conserve what I have and make modest, incremental gains

2. The chart below shows the greatest 1-year loss and the highest 1-year gain on 3 different hypothetical investments of $10,000.* Given the potential gain or loss in any 1 year, I would invest my money in:

A. (loss of $164, gain of $593)

B. (loss of $1,020, gain of $1,921)

C. (loss of $3,639, gain of $4,229)

3. When the stock market declines more than 20% I would prefer:

To sell my riskiest assets to hold on to gains I have made

To not make any moves while there is volatility

To look for opportunities and be buying in the lower market

4. When you make an investment what would be your largest fear

That I will lose money on the investment in the near term from bad timing

That I will not make the long term gains I need to support my financial plan

I worry about both

5. Regarding Holding Individual Stocks:

I like the idea of being able to select individual companies for the control and no-carrying cost approach

I worry that owning a lot of individual stocks will be difficult to keep up with and properly maintain

6. Which statement best describes you and fund ownership:

I would like to only hold low cost index funds in my portfolio

I am happy to own managed mutual funds if they provide value with their strategy or approach

7. From time to time investments owned within a life insurance policy or annuity may present a worthwhile trade-off for risk, or tax purposes, or both. Before considering specifics of these vehicles, what is your general feeling towards these kinds of investments:

I am very skeptical of investments in insurance or annuities

I think, like mutual funds or stocks, there are probably good and bad insurance and annuity investments

I am open minded to hear how insurance and annuity strategies could work for me.

10. Our standard service model is to hold a review appointment once a year, to do a full internal review of your account quarterly, and to send the results of a mid-year check up with you. We will create a full financial plan, update you as needed in times of market changes, and hold open events for recreation and education. Does this feel like the correct level of ongoing service to you?

Yes

No, I probably won’t have time to examine everything I receive from your office

No, I would prefer to be contacted more regularly to check in and get the most out of your services

Investor Questionnaire