Skip to main content
Skip to footer
1-888-388-8303
webinfo@abscap.com
1.
Check Plan Eligibility
2.
Request Proposal
3.
Submit a Back Office Butler
Home
About
Our Firm
Leadership
Careers
Solutions
Workplace Investment Navigator
Investment Navigator Platform
Back Office Butler
News
Contact
Home
About
Our Firm
Leadership
Careers
Solutions
Workplace Investment Navigator
Investment Navigator Platform
Back Office Butler
News
Contact
Home
About
News
Solutions
Contact
Book A Demo
Home
About
News
Solutions
Contact
Book A Demo
1.
Check Plan Eligibility
2.
Request Proposal
3.
Submit a Back Office Butler
Home
About
Our Firm
Leadership
Careers
Solutions
Workplace Investment Navigator
Investment Navigator Platform
Back Office Butler
News
Contact
Book A Call
Add your offcanvas content in here
Book A Call
Request A Proposal
Request Proposal
Submit Proposal Request
Advisor Name
(Required)
Advisor Firm
(Required)
Advisor Email
(Required)
Client Name(s)
(Required)
Proposal Title (Example: Sally Smith 401(k) at ABCXYZ Company)
Approximate Investment Amount
For a 401(k), 403(b) or 457 account, who is the employer?
1. This graph shows the potential range of gains or losses of a $100,000 investment in each of seven hypothetical portfolios at the end of a 1-year period. The number to the right of each bar shows the best potential gain for that portfolio, while the number to the left of each bar shows the worst potential loss. Given that this is the only information that you have on these seven hypothetical portfolios, which one would you choose to invest in?
Portfolio A
Portfolio B
Portfolio C
Portfolio D
Portfolio E
Portfolio F
Portfolio G
2. You would describe your knowledge of investments as:
None
Limited
Average
Good
Extensive
3. Suppose that a substantial portion of your investment portfolio is invested in securities. If the stock market were to experience a prolonged down market, losing 50 percent of its value over a 3 year period, what would you do (assuming your securities behaved in a similar fashion)?
Sell all the securities in your portfolio. You are afraid that the stock market is in a downturn and you cannot afford the decrease in value.
Sell half of the securities in your portfolio. You think that the market may rebound, but you are not willing to leave all of your investment exposed to further loss.
Hold the securities in your portfolio. You understand that your investment may be subject to short-term price swings and are comfortable weathering the strom.
Buy more securities for your portfolio to take advantage of their low price. You are comfortable with market fluctuations and assume that the securities will potentially regain their previous value or increase in value.
4. Once again, assume you have a substantial portion of your investment portfolio in securities. If the stock market were to gradually decline at an average of 2 percent per month, eventually losing 24% of its value over a year, which of the following would you do?
Sell the securities in your portfolio and realize the 24% loss. You wish to avoid the risk of further loss.
Sell half of the securities in your portfolio. You are not willing to leave all of your investment at risk for further loss.
Do nothing. You are comfortable waiting for the securities to regain their previous value or to increase in value.
Invest more now because securities are selling for approximately 24% less than they were 12 months ago. You believe that the securities will potentially regain their value or possibly appreciate even higher over the long-term.
5. Aggressive investments have historically provided higher returns while exhibiting greater short-term price fluctuations and potential for loss. How do you feel about fluctuations in the value of your portfolio?
You want to minimize the possibility of loss in the value of your portfolio. You understand that you may be sacrificing the potential for higher long-term returns by holding investments that reduce the potential for short-term loss and price fluctuation.
You can tolerate the risk of moderate losses in order to pursue potentially favorable returns.
You can tolerate the risk of large losses in your portfolio in pursuit of greater potential gains.
6. What is the investment time horizon on these investable assets?
Less than 3 Years
3 - 5 Years
6 - 9 Years
10+ Years
7. Realizing that any market-based investments may move up or down in value over time, with which of the hypothetical portfolios below would you feel most comfortable?
Portfolio A
Portfolio B
Portfolio C
Portfolio D
Portfolio E
In the notes section below, please provide the plan name/employer for the workplace accounts, advisory fee changes and/or specific manager requirements, as well as any other notes on the account.
Upload Client Data (Optional: Client Statement Or Info Sheet
Drop files here or
Select files
Max. file size: 256 MB.
