IPQ Form

Investor Profiling Questionnaire

Investment Objectives

1. What is the primary purpose of your portfolio? Select the most appropriate response.

2a. What is the primary objective for your investments? Select the most appropriate response.

2b. What amount of after-tax income from all sources (including pensions) do you anticipate needing at retirement that you would require for the duration of your life?

2c. Would you like additional income during the earlier years of retirement while you are younger and presumably have higher lifestyle needs?

2d. Do you have any large capital expenditures (e.g. business or property) planned with your investment assets?

2e. Do you have sources of income outside of your investable assets? (Pension plans etc.)

2f. Do you wish to have residual portfolio values at death? (To provide an estate for beneficiaries or for charitable giving)

This will also determine the amount of capital encroachment on your investment portfolio that you would be willing to accept throughout your lifetime.

Personal Information

3a. Please indicate which range includes your current age?

3b. What is (are) your date(s) of birth?

4a. Which of the following ranges best represents your current annual family income from all sources (including pensions) before taxes?

4b. What is your annual gross income from all sources?

4c. How would you describe your current/future household income sources?

5a. Which one of the following ranges best represents your immediate family’s overall net worth (total assets minus total liabilities)?

5b. Which one of the following ranges best represents your immediate family’s overall liquid assets (assets readily redeemable to cash)?

5c. The investments you intend to place with Eastport, represent approximately what percentage of your net worth?

5d. Do you have any assets that do not form part of your current investment portfolio (e.g. home or business) that you would anticipate using for income needs at some future date?

Asset 1

Asset 2

Asset 3

Asset 4

Asset 5

Investment Horizons

Investors often have distinct phases in their investment plans. The initial phase is savings and growth. During this time, an investor builds up a portfolio toward a future goal. The second phase is typically the use of funds, either for a specific purchase or for income.

6a. When do you anticipate using these funds?

6b. In what year do you wish to commence using your investment assets?

7. What is your anticipated withdrawal schedule for your funds?

8a. What is your plan regarding deposits and withdrawals from your portfolio over the next five (5) years?

8b. List any savings and accumulation strategies you currently implement or would be willing to implement prior to you withdrawing these funds.

Account 1

Account 2

Account 3

Account 4

Account 5

8c. Will you be borrowing money to fund any of your investments with Eastport?

Attitude Towards Risk

9. How would you describe your level of investment knowledge?

10a. Stock and bond markets will experience periodic downturns of various magnitudes and durations. In the event of a significant loss, how long are you prepared to hold your existing investments in anticipation of a recovery in value?

10b. From September 2008 through November 2008 North American stock markets lost over 30%. If a similar situation occurred today, where your $500,000 investment dropped to $350,000 over a three-month period, for this account you would?

11a. Assuming that you are investing $500,000 for the long term, what is the maximum drop in your portfolio’s value that you could comfortably tolerate in any given year?

11b. What is the largest decline in your portfolio (if any) that you would be willing to accept over the following longer investment horizons?

3 Years

5 Years

10 Years

12. Which of the following statements would you feel most closely describes your investment beliefs?

13. When you are faced with a major financial decision are you more concerned about the possible losses or the possible gains?

Portfolio Volatility

Investment portfolios aimed at providing higher returns tend to have greater swings in value (providing both gains and losses.) The more aggressive your portfolio, the more pronounced these swings become, and the more often short-term losses can occur.

14a. A portfolio is a basket of different investments. The returns earned by a specific portfolio depend on the mix of investments that make up the portfolio. The following graph shows the probable range of returns (best, worst and average) of five hypothetical portfolios over a one-year period. In which of these portfolios would you prefer to invest?

14b. Briefly describe why this portfolio was preferred to the other portfolios shown:

Some investors are more willing than others to accept periodic declines in the value of the portfolio as a trade-off for potentially higher long-term returns. Which response best represents your feelings towards the following statement?

15. I am willing to experience larger and more frequent declines in the value of my investment if it increases the likelihood of achieving higher long-term returns.

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