Trident Advisors

This questionnaire is a specialized tool that can help you and your Financial Advisors examine your risk tolerance to help ensure your investments are in-line with your expectations. This form is not intended to be a substitute for firm records. If a change to your stated objectives/tolerance for risk or other information is required, please contact your Financial Advisor to update your official client profile that is part of your account records.

Please fill out all the questions on this questionnaire and return it to us at your convenience:

Asset allocation cannot eliminate the risk of fluctuating prices and uncertain returns. This report is designed to analyze a specific aspect of your financial needs, but does not provide a comprehensive analysis of your long-term financial needs.

Investment Objective Summaries:

Conservative Income investors seek the maximum amount of income consistent with a modest degree of risk. They are willing to accept a lower level of income in exchange for lower risk. Equities and high-yield bonds will typically not be a large percentage of the account.

Moderate Income investors seek some increase in the value of their investments while maintaining a high level of protection for their capital. These investors require more income than growth and have a moderate time frame. Since the majority of the portfolio assets are in bonds and cash, risk avoidance is the primary objective. This strategy also seeks to enhance performance through exposure to both large-and mid-capitalization equity investments. Conservative Growth and Income investors have dual objectives of capital appreciation and current income while controlling risk. These investors, having a moderate time frame, look for growth of assets while maintaining safety of principal. This strategy aims to accomplish this objective by maintaining the majority of assets in fixed income investments and broadly diversified equity exposure. Long-Term Income investors seek a significant level of income, and, due to their long-term time horizon or other factors, they employ higher-risk, more aggressive strategies that may offer higher potential income. Equities and high-yield bonds may be a significant percentage of the account.

Moderate Growth and Income investors seek to balance potential risk with higher potential growth and income. Equities are typically a significant portion of the account and will typically pay dividends.

Conservative Growth investors want capital appreciation while controlling risk. These investors, having a moderate time frame, look for growth of assets while maintaining safety of principal. This strategy aims to accomplish this objective by maintaining assets in fixed income investments and broadly diversified equity exposure.

Long-Term Growth and Income investors seek a significant level of growth and income, and their long-term time horizon and/or other factors allow them to pursue higher risk, more aggressive strategies that may offer higher potential returns. Equities are typically the primary asset in the account and will typically pay dividends.

Moderate Growth investors pursue growth of principal. These investors will tolerate some volatility in pursuit of their portfolio objective. This strategy provides growth potential through the domestic and international equity components, while relying on the fixed income portion to temper risk.

Long-Term Growth investors seek capital appreciation as their primary investment goal. A moderate to long-term time horizon and no need for income typically allows these investors to tolerate fluctuations in the value of their portfolios. With a substantial allocation to a diversified equity portfolio, this strategy is designed to offer considerable return potential within defined risk parameters.

The models associated with the risk score ranges represent a broad-based asset allocation consistent with the general financial needs, time horizon and risk tolerance selected in this questionnaire. For assets earmarked to achieve a specific investment goal or assets in an individual account, the allocation or investment advisor selection may differ from the model scored on this questionnaire.