Risk Profile Questionnaire

We view risk assessment as highly qualitative, and consider the Risk Profile Questionnaire below as a crucial component of the process. We generate an Investment Policy Statement based on your responses to help you gain a fuller understanding of risk. This is both helpful in building a relationship with you and increases the likelihood of selecting a model portfolio that accurately reflects your comfort level. While each client portfolio is tailored, selecting the “best-fit” model aims to reduce the risk of having to re-direct you to a more conservative portfolio after losses have already occurred.

Please familiarize yourself with our important disclosures found in our ADV and form CRS on this page.

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Please Note/Questionnaire Limitations:  The responses set forth on this Risk Tolerance Questionnaire are intended to elicit information from you to assist in identifying your investment need(s)/objective(s) and risk parameters, which will then be considered when preparing the Investment Policy Statement that will govern the management of your designated investment assets by Valeo Financial Advisors, LLC (“Valeo”).  The Investment Policy Statement shall be prepared by Valeo and presented to you for review/adoption.  Valeo will rely upon the Investment Policy Statement in managing your account(s) until you advise Valeo, in writing, to the contrary.

Please Also Note: The response to any one or series of questions on this Questionnaire should not be construed, nor will serve, as a mandate that will govern the investment advisory engagement unless specifically agreed upon in writing between Valeo and the client and set forth on the Investment Policy Statement.

Please Remember: Past performance is no guarantee of future results.  Different types of investments involve varying degrees of risk.  Therefore, it should not be assumed that future performance of any specific investment or investment strategy (including the investments and/or investment strategies recommended and/or undertaken by Valeo) will be profitable or achieve any specific performance levels.  At any point or over any period of time, investment losses can, and will, occur.

Please Also Remember: Valeo shall rely upon your responses above. Please remember that it remains your responsibility to advise Valeo, in writing, if there are any changes in the responses provided above, including any change in your personal/financial situation, or if you would like to impose, add, or to modify any reasonable restrictions to Valeo’s investment advisory services.

If you would prefer to complete a paper version, please click here. You may deliver the completed Risk Profile Questionnaire to your advisor, or by fax at (317) 218-6010.

Your Name
Years experience investing in: (whole numbers only)
   Mutual Funds?
   Alternative Investments?

1. In how many years do you estimate that you will begin to need the money you are investing?

You may add additional comments in the space provided below each question.

2. Once you begin making withdrawals, over how many years do you expect to draw down assets from this portfolio?

3. If you will be adding to your portfolio, what percentage of your current portfolio’s value will you expect to add annually over the next five years?

4. Do you generally find yourself more comfortable investing in things that have done well the last few years?

5. If a unique circumstance were to require an amount of capital equal to at least one-fourth the value of this portfolio, where would you obtain the money?

6. If you use withdrawals from your portfolio for living expenses, what lifestyle changes (if any) would you make if your portfolio declined substantially?

7. When you review your portfolio, do you focus more on the individual positions or the overall portfolio?

8. You are given a choice between two portfolios. The total values of BOTH portfolios fluctuate by roughly the SAME amount, but the fluctuation in value of the individual positions is much wider. Which portfolio would you be most comfortable with?

9. Which is closest to the largest percentage amount you ever lost on a single investment?

10. Which of the following statements best describes what you did during the most recent investment losses you suffered?

11. Which best describes how you felt about steep losses you experienced?

12. There have been previous market conditions during a bear market where investors experienced steep losses in excess of 30%. Did this experience, or would this experience, impact your willingness to accept risk?

13. Consider two investments. An expert, whom you trust, tells you they are equally risky. If one of those investments is more difficult to understand, are you likely to view it as riskier?

14. Which of the following best describes your expectations for performance?

15. Investments generate returns in different ways. Which of the following more closely describes your view?

16. How would you most likely react to losses in your portfolio?

17. Describe the kind of risk with which you are comfortable?

18. In terms of magnitude, indicate the level of the likely worst-case return you could accept in pursuit of above-average returns?

19. Valeo is periodically presented with illiquid, riskier, private investment opportunities. Each opportunity has unique attributes that each client must evaluate relative to their objectives, liquidity, time horizon, risk tolerance, and portfolio. Would you like to receive disclosure documents associated with such opportunities? (If you select yes, we will email you a separate disclosure document).

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