Investor Objectives Statement | Austerra Wealth Management LLC

Name

First

Last

Investment Experience:

Inexperienced
Somewhat experienced
Very experienced

Which type(s) of investments have you owned? (please check all that apply)

Other

Approximately what percentage of your total investable assets are you placing with Austerra Wealth Management (excluding real estate)?

Less than 25%
25% to 50%
51% to 75%
76% to 100%

What is your approximate investment time frame?

Short-term (0-5 years)
Intermediate-term (5-10 years)
Long-term (10+ years)

Your investment objective is best described as follows:

Preservation – Preservation of capital is my/our most important objective, more so than overall investment performance. I/we have no tolerance for risk. However, I/we understand that no investment vehicles utilized by Austerra Wealth Management LLC are guaranteed against loss.
Conservation – Preservation of capital and income are my/our most important objectives. I/we have a slight tolerance for risk. However, I/we understand that no investment vehicles utilized by Austerra Wealth Management LLC are guaranteed against loss.
Income – I/we seek high income from a quality portfolio consisting predominantly of fixed income and hybrid securities. I/we understand that no investment vehicles utilized by Austerra Wealth Management LLC are guaranteed against loss and am/are willing to accept the risk of the potential for loss of initial capital investment in exchange for the possibility of high income.
Balanced – Income with growth potential is my/our objective. I/we accept possible principal loss as a natural function of investment risk incurred in the pursuit of potentially higher returns. I/we understand that no investment vehicles utilized by Austerra Wealth Management LLC are guaranteed against loss and am/are willing to accept the risk of the potential for loss of initial capital investment in exchange for the possibility of higher returns over time.
Aggressive – I/we am/are willing to sustain losses on individual transactions in expectation that overall portfolio results could be substantial. I/we understand that no investment vehicles utilized by Austerra Wealth Management LLC are guaranteed against loss and am/are willing to accept the risk of the possibility of substantial losses in exchange for the possibility of substantial gains.

Forecasting financial obligations is often critical in determining the level of risk that you can undertake with your investments. Considering your financial obligations for the next three to five years, please indicate which of the statements below is most accurate:

Will sell all investments with your firm to meet any upcoming financial obligations.
Will sell just some investments with your firm to meet any upcoming financial obligations.
Will sell other investments to meet any upcoming financial obligations.
Will meet these financial obligations from current income.

Do you plan to make any additional contributions to your accounts?

No
Yes

Monthly amount (in dollars):

Quarterly amount (in dollars):

Annual amount (in dollars):

Other:

Do you have any specific requirements for withdrawals from your accounts?

No
Yes

Monthly amount (in dollars):

Quarterly amount (in dollars):

Annual amount (in dollars):

Other:

Indicate the length of time before funds are needed :

Short-term (0-5 years)
Intermediate-term (5-10 years)
Long-term (10+ years)

Do you have any large capital gains that we should be aware of?

No
Yes

Details:

Do you have any concentrated positions that we should be aware of?

No
Yes

Details:

Do you have any securities that you do not want sold?

No
Yes

Please list:

Do you have any other needs/restrictions we should be aware of?

No
Yes

Details:

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