Managed Account Application
and Investor Profile Questionnaire
The-Adviser.com
Our Reputation is Never for Sale
100% UNBIASED
100% OBJECTIVE
100% INDEPENDENT
100% CONFIDENTIAL
AMERICA’S INDEPENDENT-ADVISER
1-800-ADVISER
Follow our easy instructions.
STEP 1 / Complete Application and QuestionnaireOur Managed Account Application is designed into several easy to-fill out sections:
Terms of ServiceThis document describes our services and acts as our engagement letter
BackgroundYou provide information such as name, age, children, plans and goals
RetirementYou provide retirement goals and objectives
Risk ProfileWe use this section to help determine your risk level.
HoldingsWe use this section to review your current investment holdings.
Note
Quicken & Microsoft Money users can attach a printout of your net worth & portfolio holding report. You can provide original or copies of your last brokerage and retirement holdings. With delivery of your investment statement, The-Adviser.com will return all original information.
STEP 2 / Review
Please double-check your application and questionnaire to ensure that it is filled out to the best of your knowledge. Remember - all information is confidential and will never be sold to any third parties. We only use it to enable your Financial Adviser to suggest an investment strategy and to provide specific-buy-sell-hold recommendations.
STEP 3 / Send
Your completed application can be sent to
The Independent Adviser Corporation
9 Willets Avenue
Syosset NY 11791
Fax to 516-682-8295.
From the time we receive your application, we have a target turnaround time of 24 Hours. If you have any questions relating to the status of your account, at any time, please contact our account department at .
Personal Section
First name
Middle initial
Last name
Social security number / Information is used
Birth date / for security
Mother’s maiden name / purposes
Street address
City
State
Zip Code
Telephone number
E-mail address
Current occupation / The-Adviser.com does not
Current annual salary / sell, distribute or give any
Years at present job / information to any third parties
First Name______
Last Name______
Street Address______
City and State______
Zip Code______
Telephone Number______
Current occupation______
Current annual salary______
Years at present job______
Total years worked at all jobs______
Family Information
Are you married, engaged or have a relationship with someone that you are planning to support through retirement? If no, skip this question. If yes, indicate the following:
Spouse’s First Name ______
Spouse’s Last Name ______
Spouse’ occupation ______
Spouse’ current annual salary ______
Years at present job ______
Total years worked at all jobs ______
Do you have any children? If no, skip this question. If yes, indicate the following,
How many children do you have?______
How many of them are between 1 month and 5 years old ? ______
How many of them are between 5 years and 15 years old? ______
How many of them are between 15 years and 21 years old? ______
How many of them are older than 21?______
Will you provide support for your children’s education? ______
Describe eventuating family situations (i.e., grandchildren you support, live in mother, etc.)
______
______
______
______
Financial Planning Objective
Indicate the following relative importance of each of the following:
Short Term Long Term
Very Important Important Not Very Important Important Not
I like to save regularly
I like to minimize my personal tax rate
I like to make gifts to charity
I like to make gifts to relatives
Investment Strategies
Indicate the following relative importance of each of the following:
Short Term Long Term
Very Important Important Not Very Important Important Not
I like dividends or interest to spend
or reinvest
I like the ability to quickly convert my
investments into liquid cash
I like capital appreciation over the long term
I like my investments safe with little or no danger
of losing my principal
I like my investments to minimize tax
I like to make riskier investments in hopes of
obtaining higher than average returns
Short Term Goals
Describe short term goals in order of priority (1 to 3 years) (i.e., Purchase of house, car, etc.)
______
______
______
______
______
Describe long term goals in order of priority (i.e., Purchase of house, save for kid’s college, etc..)
______
______
______
______
Retirement Planning Section
YouSpouse (Other)
Indicate yearly contribution in $ to 401(K) plan
Indicate total yearly savings except for 401(k) plan
Indicate amount in $ of any pensions you will receive
Indicate amount of $ in tax-deferred annuities, if any
Do you know how much social security benefits you will
receive? If so, indicate yearly amount in $
Will you move to another place upon retirement?
Describe short term goals in order of priority (1 to 3 years) (i.e., Purchase of house, car, etc.)
______
______
______
Describe long term goals in order of priority (i.e., Purchase of house, save for kid’s college, etc..)
______
______
______
Other Information (see instructions or attach other information as you like)
______
______
______
Key Retirement Questions
Expected retirement age______
Desired retirement age______
Do you plan to work part time when retired? ______
What do you plan to do when retired? (travel, fish, buy vacation home, etc..)
______
______
______
______
Real Estate Section
Do you own a home? ______
Value of home______
Will you sell your home to
fund retirement? ______
Other information (see instructions or attach other information as you like)
______
______
______
Business Section
Do you own a business? ______
Value of business if sold today______
INVESTMENT SECTIONS (See Instructions And Or Attach Recent Account Statements
List Market Value Of Current Investments
Bonds______
Stocks______
Mutual Funds______
Bank Deposits______
Annuities______
Trusts______
Emergency Funds______
Total Value______
List Approximate % Allocation Of Investments
Us Or Domestic______
International______
Must Equal 100%
Approximate % Allocation Of Investments
High Risk______
Growth______
Income______
Index Funds______
High Risk______
Must Equal 100%
Indicate whether or not you believe the following?
My current investments are too aggressive
I should have earned more money in the current market than I have?
I previously made investment decisions because a friend recommended them to me?
Are you participating in the following programs?
Dependent care account
Medical Deferral tax accont