Transcription of ALTERNATIVE INVESTMENT SUITABILITY …
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ALTERNATIVE INVESTMENT SUITABILITY …
Revised 01/04/2013 ALTERNATIVE INVESTMENT SUITABILITY guidelines NOTE: MUST FOLLOW STATE AND PROSPECTUS CONCENTRATION guidelines IF MORE RESTRICTIVE THAN GRID BELOW ALTERNATIVE INVESTMENT guidelines CLIENT UNDER 70 OLDRisk Tolerance < 1 Million Net Worth 1-5 Million Net Worth >5 Million Net Worth Conservative **(not appropriate for clients with a Preservation of Capital objective) 5% of investable assets 5% of investable assets 5% of investable assets Moderate Conservative 10% of investable assets 10% of investable assets 10% of investable assets Moderate 15% of investable assets 20% of investable assets 25% of investable assets Moderate Aggressive 20% of investable assets 25% of investable assets 25% of investable assets Aggressive 25% of investable assets 30% of investable assets 30% of investable assets ALTERNATIVE INVESTMENT guidelines CLIENT 70 AND OLDERRisk Tolerance < 1 Million Net Worth 1-5 Million Net Worth >5 Million Net Worth Conservative **(not appropriate for clients with a Preservation of Capital objective)
revised 01/04/2013 alternative investment suitability guidelines . note: must follow state and prospectus concentration . guidelines if more restrictive than grid below
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