Client Portal

What is the name of this account?*
What is the goal this account?*
Please describe the goal as much as possible.
Type of Account:*
Email*
Account Number (Enter NA if new client)*
1. What is the time frame for your goal? If you have reached your goal (in retirement) please answer A.*
- A. Less than 5 years
- B. 5 to 9 years
- C. 10 to 14 years
- D. 15 years or more
2. What is your need for growth of principal?*
- A. I do not need growth. Safety of principal is more important.
- B. I need to keep up with inflation over time.
- C. I need growth, but do not care to take too much risk.
- D. I need growth, I prefer to keep up with or slightly less than the stock market over time.
- E. I need growth, I prefer to keep up with the stock market over time.
- F. I need growth, I prefer to beat the stock market over time.
3. What is your income or dividend needs from your investments (this account)?*
- A. Not Important
- B. Important
4. Select the maximum decline you are willing to accept to reach your goals for growth of principal over time.*
- A. -5% **Example: $100,000 decline to $95,000.
- B. -10% **Example: $100,000 decline to $90,000.
- C. -20% **Example: $100,000 decline to $80,000.
- D. -30% **Example: $100,000 decline to $70,000.
- E. -40% **Example: $100,000 decline to $60,000.
- F. -50% **Example: $100,000 decline to $50,000.
- G. -60% or more
Note: The U.S. stock market can and has declined over -50%. I understand that market fluctuation may happen at any time and diversified markets have always recovered, but the time frame of my investment account is crucial to my planning success.
5. What is your preference with the following investment instruments?*
- A. Individual diversified stocks and/or bonds – Ability to see individual holdings
- B. Mutual Funds – Commingled with other investors, actively managed
- C. ETFs (Exchange Traded Funds) – Traded on an exchange, passively or actively managed, low cost and tax efficient
- D. No preference – PlanRock will migrate toward ETFs due to their tax efficient and low-cost nature
6. What is your preference the types of investment strategies?*
- A. Dividend stock focus
- B. Low volatility stock focus
- C. Broad market stock focus
- D. Values Based (Faith Based) focus
- E. Environmental, Social and Governance (ESG) Focus
- F. I have no preference. PlanRock will choose High Dividend if there is a need for income, otherwise broad market will be chosen.
7. What is your preference for domestic investments or global investments?*
- A. Domestic Investments Only
- B. Global Investments (Domestic, Developed and Emerging Market Countries)
- C. I have no preference. PlanRock will choose global investment diversification if you have no preference.
8. What is your preference for advice and guidance? (All options include investment management and account support services)*
- A. I do not need advice or guidance, only investment management. I can handle financial planning myself. (Bronze service)
- B. I only need a minimal amount of advice. I can handle financial planning myself. An annual review would be preferred. (Silver service)
- C. I prefer periodic advice and guidance based on my circumstances. I need some guidance with financial planning. A semiannual review would be preferred. (Gold service)
- D. I prefer regular advice and guidance with my investments and guidance with my comprehensive financial and estate plane. A quarterly review would be preferred. (Platinum service)
- E. I prefer regular advice and guidance with my investments and guidance with my comprehensive financial and estate plan be completed and maintained by my financial advisor. A quarterly review would be preferred. (Platinum Concierge service)
Please sign this Investment Policy Statement - Questionnaire Past performance does not guarantee future results.
Date*
MM
DD
YYYY
Full Name*
Signature*
By placing your name in the Full Name box and/or electronically drawing your signature and pressing submit, you confirm that the answers to the above questions are based your goals and objectives. You also wish to have your investments for this account to be managed accordingly. You also understand that this form is not a guarantee of any results and past performance does not guarantee future results.

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Investment Policy Statement – Questionnaire