Aesop Advisor  
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Aesop Advisor - New Client Form

Do you want to start Navigator or Compass? * 🛈

Thank you for your interest in Aesop Navigator. Your responses to the questions on this form will be used by Aesop to make financial recommendations and to prepare new account documents for submitting to the qualified account custodian(s). Information in addition to what is included on this form may be required by the account custodian(s) when submitting new account documents.

Thank you for your interest in Aesop Compass. Your responses to the questions on this form will be used by Aesop to make financial recommendations.

Marital Status *
 +

Employment *
Employer * 🛈
 Info
Type of Business
Your Job Title
Time at Job

Do you want financial recommendations made on an individual basis or on a household basis? * 🛈
 +
Employment *

If you would like, you can list debts. We will use this information to help build a debt management plan. 🛈
 Type of DebtTotal Amount OwedAmount You Pay MonthlyInterest RateFinal Payment Date
1
2
3
4
0/100 characters
0/100 characters
If you want to name a beneficiary for your retirement account, please provide their info. 🛈
 Primary Beneficiary Info
Name
Relationship
Percentage
DOB
Address/Phone
Per Stirpes? (Yes/No)
Additional Info * 🛈
 NoYes
Are any owners of this account or are any immediate family members of an owner a director, 10% shareholder, senior officer or control person of a publicly traded company?
Are any owners of this account or are any immediate family members of an owner affiliated with a broker-dealer or FINRA member firm?
Are you or is anyone with an interest in this account a senior military, governmental, or a political official in the U.S. or in a non-U.S. country, or closely associated with an immediate family member of such an official?
Is this an account for a Foreign Financial Institution (e.g. non-U.S. bank; non-U.S. bank branch; broker-dealer; futures merchant; commodities broker; mutual fund; money transmitter or currency exchanger)?
Is this account a Private Banking Account as defined under the USA PATRIOT ACT? , i.e., an account that is established or maintained for the benefit of one or more non-U.S. persons, requires a minimum aggregate deposit of funds or other assets of not less than $1,000,000, and is assigned to a bank employee who is a liaison between the financial institution and the non-U.S. person?
Is this an account for a Foreign Bank as defined under the USA PATRIOT ACT?
If you checked yes to any item above, please provide all relevant information.
 Additional Info
Individual Name
Company Name/Stock Symbol/Address
Official Name/Office/Country

Please answer these last questions about your risk tolerance, which will help us select your investments. There are no right or wrong answers!

In general, how would your best friend describe you as a risk taker? * 🛈
You are on a TV game show and can choose one of the following. Which would you take? * 🛈
You have just finished saving for a "once-in-a-lifetime" vacation. Three weeks before you plan to leave, you loose your job. You would: *
You unexpectedly received $20,000 to invest, what would you do? *
In terms of experience, how comfortable are you investing in stocks or stock funds? *
When you think of the word "risk" which of the following words comes to mind first? * 🛈
Some experts are predicting prices of assets such as gold, jewels, collectibles, and real estate (hard assets) to increase in value; bond prices may fall, however, experts tend to agree that government bonds are relatively safe. Most of your investment assets are now in high interest government bonds. What would you do? *
Given the best and worst case returns of the four investment choices below, which would you prefer? *
In addition to whatever you own, you have been given $1,000. You are now asked to choose between: * 🛈
In addition to whatever you own, you have been given $2,000. You are now asked to choose between: *
Suppose a relative left you an inheritance of $100,000, stipulating in the will that you invest ALL the money in ONE of the following choices. Which one would you select? *
If you had to invest $20,000, which of the following investment choices would you find most appealing? *
Your trusted friend and neighbor, an experienced geologist, is putting together a group of investors to fund an exploratory gold mining venture. The venture could pay back 50 to 100 times the investment if successful. If the mine is a bust, the entire investment is worthless. Your friend estimates the chance of success is only 20%. If you had the money, how much would you invest? *

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New Client form