Client-Risk-Profiling

Name

Age

Mobile NO

Address

Designation

1. Which of the following asset classes do you have an investment experience in (tick whichever is applicable)?

Fixed deposits and Debt Mutual Funds Equity oriented mutual funds Direct equities (stocks) Derivatives

2. What is your total equity investment experience?

No Prior Experience 0 to 3 years 3 to 5 years More than 5 years

3. What is your primary source of income?

Pension / Basic fixed income Salary from a private or government job Professional income or self-employed (CA, Doctor, Freelancer) Multiple income streams

4. How secured is your current income?

Not very secured Moderately secured Very Secured Multiple secured sources

5. Which of the following best describes your current family and financial responsibilities?

I have children who are getting married, and I also manage elder care or family obligations I have school or college-going children and may also support aging parents I support my parents and/or have very young children (school age) I am single with no dependents

6. Do you have adequate health and life insurance coverage?

None Basic health/life cover only Fully covered for health/life Fully covered + contingency funds

7. What portion of your monthly income do you save or invest?

I save up to 5% of my income I save around 5% to 10% of my income I save around 10% to 20% of my income I save more than 20% of my income

8. Assume your portfolio turns negative by 15% in three months, would you:

Sell all the investments Sell a portion of my portfolio and reinvest into more secure investment assets Hold the investment and sell nothing, expecting performance to improve Buy more to lower my average investment price

9. What’s the primary purpose of your investment?

Very short-term goal – Up to 1 year Short-term goals – 1 to 3 years Medium-term wealth creation – 3 – 5 years Long-term wealth creation – More than 5 years

10. What is your expectation of annual return on investments?

Low, between 6-10%
(I focus on protecting capital and steady income though it may be limited. I am not willing to take any risk). Medium, between 10-15%
(I am interested in generating moderate capital appreciation or regular income. I am willing to tolerate infrequent and moderate negative returns). High, between 15-20%
(I am interested in generating high capital appreciation. To do so, I understand that I will have to take high risk and accept probable high negative returns) Very High, more than 20%
(I am interested in generating very high capital appreciation. To do so, I understand that I will have to take very high risk and accept probable very high negative returns)

11. If you have ₹1 crore today, how would you allocate it?

100% in FD or debt 70% debt, 30% equity 50-50 equity and debt 100% equity/PMS/AIF/crypto

12. How would you describe your past experience with taxation?

I don’t file taxes or file nil returns I file using simple ITR-1/2 formats, mostly salaried I use a CA/tax consultant with multiple heads of income (e.g., capital gains, business) I manage taxes across multiple PANs, trusts, or family entities

13. What is your estimated annual income(approximate)?

risk_summary

Client Risk Profiling

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Client Risk Profiling

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