Confidential Investor Profile

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The development of an effective investment plan requires that our Investment Consultant be able to know certain things about your current financial situation, such as investment experience, risk tolerance and how your assets are currently invested. The following questions are designed to allow both our computerized analysis programs and the experience of our staff to determine the most suitable allocation of investments for your portfolio. It is important that you answer these questions thoughtfully and completely. Failure to do so could result in an investment proposal that does not address all of your needs.

Please be assured that this information will be kept strictly CONFIDENTIAL. Halbert Wealth Management will never sell or otherwise share your personal information with anyone.

Section 1 - About You

1.01 Your Name:      1.02 Spouse's Name:
1.03 Daytime Phone Number: ()
1.04 Address:
City: State: Zip:
  Email:
1.05 Your Birth Date:       1.06 Spouse's Birth Date:
1.07 Number of Dependents (excluding spouse):
1.08 To help us better evaluate your suitability for our recommended investments, please indicate to what portion of your portfolio the answers to the following questions apply:

1.09 The level of life insurance coverage I carry:




1.10 Which group describes your total household income?




1.11 Which group describes your total household net worth excluding your primary residence?





1.12 What is the approximate value of your primary residence?
1.13 Please mark the statement below which most closely describes your current income:




Section 2 - Your Goals and Objectives

2.01

Please rank, in order of importance, the following financial goals as they pertain to you (#1 will be your most important goal, #2 the second most important, etc.)

  A financially secure retirement
  College for children/grandchildren
  Home purchase
  Build an estate
  Quality care for aging parents
  Other:

2.02 Expected Returns: Indicate below the level of investment returns you expect your investment portfolio to produce:




2.03 Please indicate the extent to which you want to be actively involved in the management of your assets: (Choose only one.)




2.04 Selet the one answer that best reflects your return expectation:




The development of an effective investment plan requires that our Investment Consultant be able to know certain things about your current financial situation, such as investment experience, risk tolerance and how your assets are currently invested. The following questions are designed to allow both our computerized analysis programs and the experience of our staff to determine the most suitable allocation of investments for your portfolio. It is important that you answer these questions thoughtfully and completely. Failure to do so could result in an investment proposal that does not address all of your needs.

Please be assured that this information will be kept strictly CONFIDENTIAL. Halbert Wealth Management will never sell or otherwise share your personal information with anyone.

Section 3 - Your Time Frame

3.01 When do you expect to need the money you are considering investing in this account?




3.02 I have an existing cash reserve equal to:




The development of an effective investment plan requires that our Investment Consultant be able to know certain things about your current financial situation, such as investment experience, risk tolerance and how your assets are currently invested. The following questions are designed to allow both our computerized analysis programs and the experience of our staff to determine the most suitable allocation of investments for your portfolio. It is important that you answer these questions thoughtfully and completely. Failure to do so could result in an investment proposal that does not address all of your needs.

Please be assured that this information will be kept strictly CONFIDENTIAL. Halbert Wealth Management will never sell or otherwise share your personal information with anyone.

Section 4 - Your Risk Tolerance

4.01 The worst loss I would be comfortable accepting in my portfolio is:




4.02 The stock market (and your portfolio) just declined by 15%. What action would you be most likely to take? (Choose only one.)




4.03 The best strategy to employ during a "bear" (declining) market is: (Choose only one.)




4.04 The optimum portfolio, in your opinion, should be like which of the following: (Choose only one.)




The development of an effective investment plan requires that our Investment Consultant be able to know certain things about your current financial situation, such as investment experience, risk tolerance and how your assets are currently invested. The following questions are designed to allow both our computerized analysis programs and the experience of our staff to determine the most suitable allocation of investments for your portfolio. It is important that you answer these questions thoughtfully and completely. Failure to do so could result in an investment proposal that does not address all of your needs.

Please be assured that this information will be kept strictly CONFIDENTIAL. Halbert Wealth Management will never sell or otherwise share your personal information with anyone.

Section 5 - Your Investing Experience

5.01 Have you ever invested in any of the following? (Choose all that apply.)




5.02 My attitude regarding trading activity is:



5.03 How would you describe your level of investment knowledge?




The development of an effective investment plan requires that our Investment Consultant be able to know certain things about your current financial situation, such as investment experience, risk tolerance and how your assets are currently invested. The following questions are designed to allow both our computerized analysis programs and the experience of our staff to determine the most suitable allocation of investments for your portfolio. It is important that you answer these questions thoughtfully and completely. Failure to do so could result in an investment proposal that does not address all of your needs.

Please be assured that this information will be kept strictly CONFIDENTIAL. Halbert Wealth Management will never sell or otherwise share your personal information with anyone.

Section 6 - Other Important Information

6.01 Is there any other information about your investment objectives, financial condition, or other investments that would help us better evaluate your financial situation? If so, please explain here (max. 500 characters):
6.02 Please list existing portfolio holdings:
Investment Name or Description Current Approximate Market Value
Cash (savings, money markets, etc.)  
Income Investments (CDs, fixed annuities, bonds, bond mutual funds, rental property)  
Growth Investments (stocks, stock mutual funds, variable annuities, real estate)  
Special Investments (precious metals, futures, limited partnerships, etc.)  
Other:  
6.03 Based on the following definition, are you an accredited investor (Yes or No)?:
An "accredited investor" is any natural person who 1) has an individual or joint net worth, excluding primary homestead, that exceeds $1,000,000; or 2) has income in excess of $200,000 in each of the most recent two years or joint income with spouse in excess of $300,000 in each of those years, and has a reasonable expectation of reaching the same income level in the current year.

The development of an effective investment plan requires that our Investment Consultant be able to know certain things about your current financial situation, such as investment experience, risk tolerance and how your assets are currently invested. The following questions are designed to allow both our computerized analysis programs and the experience of our staff to determine the most suitable allocation of investments for your portfolio. It is important that you answer these questions thoughtfully and completely. Failure to do so could result in an investment proposal that does not address all of your needs.

Please be assured that this information will be kept strictly CONFIDENTIAL. Halbert Wealth Management will never sell or otherwise share your personal information with anyone.

Electronic Signature Affirmation

By entering your initials and the completion date below, you are providing your electronic affirmation that the information you have provided is accurate as of the date listed, and fairly and completely represents your current financial condition. By signing, you also acknowledge that you understand the recommendation made by HWM will be based on this information, plus any subsequent information you may provide orally or in writing.

Enter your initials here:      Date of completion:

ELECTRONIC SIGNATURE AFFIRMATION
By submitting this form, I represent and certify that my foregoing statements and entered information are true and correct.

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