1. BFM Questionnaire
Congratulations on your decision to develop a customized financial strategy!
The purpose of this questionnaire is to get to know you a little better and understand your situation, your needs and what you would
like to accomplish. It may also help you define important factors including the length of time you have to invest, your tax
considerations, and your ability to withstand downside risk that may affect the value of your investment. Your feelings about
investing and taking risks are also very important. Your answers will help build the base of information needed for the development
of an appropriate asset allocation policy and financial plan.
The information you provide is strictly confidential and will not be disclosed to anyone without your consent. Our goal is to
understand which personal and financial measures are most important to you, and to exceed them.
This document is also a tool to help you review your whole financial situation and get a better vision of where you stand today.
Please keep in mind that we can also construct this review together if you have any doubts about some of the elements listed
below. If you are unsure of a certain response, please use a close estimate.
For the initial consultation and the financial review, you may bring your financial materials (retirement/brokerage accounts
statements, tax return, benefit statements from Social Security or employers, estate planning documents, insurance policies,
mortgage and other loan statements,...).
Our value proposition to you is to help you find out what is important to you and accomplish it. We look forward to providing you and
your family with your customized financial plan.
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2. Your (and your spouse) information
Date
Name
Date and Location of Birth
Address
Home phone
Mobile phone
Email
Occupation
Business name
Business address
Business phone
When did you start there
Preferred way to contact you
Other members of your family
Name Date and Location of Birth Relationship Tax Dependent (yes/no)
Other information
Do you receive other financial or legal advice? (Optional)
Name Address Phone Number / E-mail
Personal Attorney
Business Attorney
Accountant
Insurance Advisor
Investment Advisor
Other
May we have your permission to contact your advisors, if needed?
Have you been unhappy with the recommendations of an advisor before? Why?
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3. Qualitative / Behavioral Questions
How are you feeling about these days?
What are your top 3 values (Happinness, Safety, Wealth, Friendship,
Family…)?
Tell us how are you handling your finances?
What do you have in place for managing your wealth?
How successful has this approach been so far? Any areas you would
like to improve?
What are your hopes and dreams?
Are you happy with your career? Any career change plans?
Envision us meeting in about three or five years in the future. What
has happened between then and today, to have made you happy
about your progress?
Ultimately, what do you want your wealth to accomplish?
Describe your perfect calendar, your first year of retirement after
achieving your wealth objectives.
How disciplined are you in funding a retirement plan?
What keeps you up at night?
What’s a good adviser-client relationship ?
What is the most painful experience or lesson you had in the
financial area?
What are your experiences with other advisers?
What three things would cause you to leave BFM?
What would you do with infinite money and free time?
How do you visualize your life in 10 - 30 years?
When do you expect to start drawing income?
- I wouldn't worry about losses in that time frame - One year means nothing
Which of these statements would best describe your attitudes about
- If I suffered a loss of greater than 25%, I'd get concerned
the next twelve months' performance of your assets? (select one
- I can only tolerate small (10%) short-term losses
sentence)
- I'd have a hard time stomaching any losses
- To generally keep pace with the stock market
- To slightly trail the stock market, but make a good profit
Assuming normal market conditions, what would
- To trail the stock market, but make a moderate profit
you expect from your asset over time? (select one sentence)
- To have some stability, but make modest profits
- To have a high degree of stability, but make small profits
What are you looking forward to with excitement?
How often do you exercice / go to the gym
How would you know that you pick the right financial planner in 5
years from now?
How did you react in the past to market ups and downs (in 2001-
2002 and in 2008)?
Imagine you awaken tomorrow and magically it’s 2020-you are
leading your ideal life-Describe your ideal life at that time-what’s
bringing you joy, satisfaction, and meaning. What are the 3 major
areas where we should develop goals, and incorporate them into
financial plan?
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4. Investment Goals and Concerns
Think about your ideal life in the future. What are the three major areas where we should develop goals, and incorporate
them into a financial plan? What leads you to select each of these three? Tell us about your timeframe for meeting your
goals.
1
2
3
What would you expect from BFM? How do you see us helping you?
How many years of investment experience do you have?
What is your investment horizon (in years)?
What does money mean to you? If freedom, why freedom is important to you?
How often do you wantus to call you or meet you per year?
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5. Please rate the following investment goals (High/Neutral/Low) and quantify if possible
Your priority can be High/Medium/Low and you can quantify with any figure that is relevant (amount, percentage, other in How Much?) and
estimate time frame (By When?).
Priority How much? By when?
Investment objectives
Maximize long term investment income.
Diversify investment portfolio.
Establish an emergency fund.
Protect assets against inflation erosion.
Reduce debt.
Invest in own business.
Other?
Lifestyle
Establish a family budget.
Provide a college education for our children.
Be able to retire at a chosen lifestyle.
Make a large purchase (car, house, etc.).
Travel.
Assist your parent financially.
Other?
Income Tax
Reduce amount paid in income taxes.
Manage and minimize future income tax liabilities.
Protection
Protect family lifestyle in the event of death.
Protect family lifestyle in the event of disability.
Protect against a major catastrophe.
Other?
Estate Planning
Accumulate an estate in order to pass to heir.
Provide assets for a surviving spouse and family.
Giving
Make gifts of particular property.
Maintain/Increase giving.
Other
Do you feel optimistic about the future? (From 1-pessimistic to 10-very optimistic)
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6. Do you want to minimize losses (1) or maximize accumulation regardless of risk (10)?
What do you do with your time away from work?
When did you take risks in your life?
How would you rate your knowledge of the stock market?
(From 1-minimal to 10-expert)
If you have $100,000 in January, what would be the worst amount you would accept in December?
$ 60 000 $ 75 000 $ 90 000 $ 100 000
What Return on Investment do you expect (% per year) ?
Have you ever made investment decisions (No - Rarely - Ofen - Very Often)?
What ressources do you rely on for your investment decisions? (If applies)
Newspapers Own research / models
Education Friends' recommendations
Other?
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7. Assets and Liabilities
Please provide in a separate document, the name, tickers, and amount for each investment in your taxable and non taxable accounts. We will
also need the funds tickers that are available in your 401k. For each asset listed, designate ownership (husband = H, wife = W, joint = J,
community property = CP).
Bank Accounts and Investment
Category Institution Amount Ownership
Checking Accounts
Savings Accounts
Other Bank Accounts
Certificates of Deposit
Stocks/Equity Funds
Bonds Funds
Hybrid Funds
Hedge Fund / Private Equity
Company Stocks/Options
Business Ownership
Cash/Equivalents
Furnishing/Art
Other
Real Estate
Description Cost Date of Purchase Current Value Ownership
Personal Residence
Secondary Residence
Real Estate Investment
Other
Liabilities
Category Date Institution Original Value Rate/Duration Current Value Monthly Ownership
Mortgages
Credit Card
Auto/School
Other
Insurance
Category Institution Insured Beneficiary Cash Value Premium Ownership
Life Insurance
Medical Insurance
Long Term Care
Disability Insurance
Other
Who will take care of you if you become ill or disable?
If it applies, at what age your parents have passed away?
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8. Planning for your future
Retirement Planning
Category Institution Annual Contribution Present Amount Ownership
401k-403b
Traditional IRA
Roth IRA
Other
Annual Expected Benefits from your Pension Plan / Defined Benefit Plan (if you have one)
Expected Year of Retirement
Ideal Plan
Current Annual Income needed
Expected Annual Income needed
Pension/Defined Benefits Income Expected
Beneficiaries
Education Planning
Savings
Category Institution Amount
College Savings
Other
Estimated Costs
Year Institution Annual Cost
Estate Planning
Category Existing Description Amount
Will
Trusts
Power of Attorney
Health care proxy
Gifting strategies
Tax strategies
Other
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9. Your Financial Situation
Annual Income and Expenses (After Tax)
Salary Housing (Rent, Mortgage, Insurance)
Bonus Utilities
Interests Medical Expenses
Other Insurance premiums
Car payments
Savings/Retirement (401k, IRA, Other)
Education costs
Charitable giving
Other Expenses*
TOTAL $ - TOTAL $ -
CASH FLOW $ -
* Food, Clothing, Transportation, Children activities, etc.
Income projections (estimates)
Average Last 5 Years Year-End Next 5 Years
Salary
Bonus
Interest
Other
Do you expect an inheritance or major gift?
Assets and Liabilities
Assets Value Liabilities Value
Assets (excluding Real Estate) Total Liabilities (excluding Mortgages)
Liquid Net Worth $ -
Real Estate Current Value Mortgages
Real Estate Equity $ -
Estimated Total Net Worth $ -
Name: Signature:
Date:
This
ques'onnaire
contains
9
pages.
The
client
has
to
sign
all
the
pages
must
understand
and
read
all
the
content
before
signing.
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Financial
Management,
LLC.
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