For Sole Proprietorship. I confirm that there is no bankruptcy petition or order against me.
For Sole Proprietorship. Total Value of Plan Annual Income Cash Securities Real Estate Other (specify) Total Net Worth Annual Income Liquid Net Worth Customer Acknowledges receipt of JRL Privacy Notice and Business Continuity Plan Disclosure Customer Acknowledges that they have received a complete copy of this Advisory Agreement Customer Acknowledges that JRL does not carry Errors & Omission or Malpractice Insurance. Limited Service Advisory Agreement 8. Form ADV.001-LS 1/20 This notice is being provided on behalf of JRL Capital Management Group, and the following subsidiaries and affiliates: JRL Capital Corporation (Broker/Dealer) Golden Lion Capital Capstone Wealth Planning JRL Capital Advisors, LLC (RIA) Xxxxxxx Xxxxxx & Associates. LLP In this notice, JRL Capital Management and the above listed subsidiaries, non-related affiliates, or advisor DBAs are referred to collectively as “JRL Affiliates”, “us”, or “our” and individually as “JRL”. JRL Affiliates strongly believe in protecting the confidentiality and security of information we collect about individuals. This notice describes the privacy policy followed by each JRL Affiliate regarding: how we treat information we receive (“Information”) about individuals who apply for or obtain our products or services (“Individuals”); and the third parties with whom we may share this Information.
For Sole Proprietorship. Total Value of Plan Annual Income Cash Securities Real Estate Other (specify) Total Net Worth Annual Income Liquid Net Worth PLEASE INITIAL: Please describe your overall investment objectives and what you would like to achieve from this account: What is the approximate amount to be invested in your managed account? $ What percentage of your entire investable assets will this portfolio represent? 75% to 100% 50% to 74% 25% to 49% Less than 25% Which of the following is the investment time horizon most appropriate for this Account? 5 to 10 years 3 to 5 years less than 3 years While the value of your investment is expected to increase over the long term, in the short term the value of any portfolio will fluctuate. This up and down movement is called volatility. Which of the following statements best matches your tolerance for volatility? Can tolerate up to several years of negative absolute returns through difficult phases in a market cycle. Can tolerate only 1 to 2 years of negative absolute returns through difficult phases in a market cycle. Can tolerate only occasional, very moderate losses through a market cycle. Typically, achievement of the stated investment objective is a long-term goal for the account. These investment objectives are overall objectives for the entire account and may be inconsistent with account performance or a particular holding at any given time. From those described below, the ratio between equity and fixed income positions may deviate due to special market situations, short-term market fluctuations, or other circumstances which may apply. The terms equity and fixed income refer to individual securities and mutual funds containing this type of security. Capital Preservation: This is the most conservative investment objective. It is designed as a longer-term accumulation account with an emphasis placed on generation of current income and prevention of capital loss. This account should be invested in approximately 75% in conservative fixed income and 25% in conservative equities. Income and Moderate Growth: Emphasis is placed on generation of current income with a secondary concentration in moderate capital growth. This account should be invested in approximately 60% in fixed income and up to 40% in primarily income-oriented equities. Growth and Income: Emphasis is placed on modest capital growth with some focus on generation of current income. This account could be invested up to 75% in high quality equities and 25% in fixed income....
