Strategy Change Form
Applications can be processed by e-mail or traditional mail.
E-mail: [email protected]
Mail: 1700 Woodlands Dr. Suite 100
Maumee, OH 43537
Phone Number: Toll Free: (855) 277-3863
Office: (419) 794-0538
Fax: (419) 794-7194
Updated 06/08/2016
CAM A233
1 TableofContents
Outcome Discovery ............................................................................................................................................................ 3 Investor Risk Profile/Time Horizon Assessment ............................................................................................................... 4 Investor Risk Profile/Risk Tolerance Assessment ............................................................................................................... 5 Risk Assessment Results .................................................................................................................................................... 6 Portfolio Selection ............................................................................................................................................................... 7 Camelot Philanthropist Program (Optional) ....................................................................................................................... 9 Comprehensive Plan Check Up ......................................................................................................................................... 10 Schedule A – Fee Agreement ............................................................................................................................................ 11 Account Fee Election (Optional) ....................................................................................................................................... 12 2 OutcomeDiscovery
We believe that all investing is done to provide a future stream of cash flow that supplements a stated outcome. By identifying and quantifying your outcomes, we can develop a person benchmark that is specific to your desired outcomes. This will allow us to also design a portfolio that is specific to your outcomes. Please communicate your desired outcomes with your advisor to the best of your ability. Outcome Example: Supplement Retirement Income Example: Daughter’s Wedding Annual Expense One‐Time Expense Target Year Confidence of Success (1‐10) $100,000 n/a 2025 8 n/a $20,000 2021 6 Total: Cash Flow Benchmark Inputs *Represents mandatory fields
*Target Retirement Year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . _______________ *Value of all accounts to be managed by Camelot Portfolios . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . _______________ *Total Target Annual Retirement Cash Flow (from chart above) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . _______________ *Target Annual Contributions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ______________ Annual Social Security Estimate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . _______________ Annual Pension Estimate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . _______________ Other Annual Retirement Income Estimate (Do not include Camelot Accounts) . . . . . . . . . . . . . . . . . _______________ 3 InvestorRiskProfile/TimeHorizonAssessment
Discovery Questionnaire Total Value of this account: ____________________________________________________ Total Value of all Investable Assets: _____________________________________________ What year do you anticipate beginning to take income from this account: ______________ or _____Never How much income do you anticipate taking on an annual basis: ____________________ __ or _____None Estimated Tax Bracket: ______ 25% or above ______Below 25% Risk Assessment: Part 1 1. My current age is:
_____ Over 75 (0 points)
_____66‐75 (2 points)
_____56‐65 (4 points)
_____45‐55 (6 points)
4. What is the primary goal for these assets?
_____To avoid losses (2 points) _____To grow slightly (4 points) _____To grow moderately (6 points) _____To grow significantly (8 points) _____To grow aggressively (10 points) _____Under 45 (10 points)
2. Do you expect you will need to withdraw 25%
or more of this portfolio at one time for any
reason?
_____Yes, in less than 2 years (0 points)
_____Yes, in 3‐5 years (2 points)
5. I consider myself to be in the following category
when it comes to this account:
_____ I currently need to draw income from both interest and principal (0 Points) _____I currently need to draw income from interest only (2 points) _____Yes, in 5+ years (4 points)
_____It is possible but not planned (6 points)
_____It is highly unlikely (10 points)
3. I feel my knowledge of investments is:
_____None (0 points)
_____ I do not need to draw income now, but plan to in the next 5 years (4 points) _____ I do not need to draw income now, and do not plan to for at least 5 years (6 points) ____ I do not think I will ever need to draw income from this account. (10 points) _____Below Average (2 points)
_____Average (5 points)
_____Above Average (8 points)
Add up the total points from questions 1‐5 (Part 1) Part 1 Score: ________ _____Expert (10 Points)
4 InvestorRiskProfile/RiskToleranceAssessment
6. Which best describes how you evaluate the success of your investment account/s?
Risk Assessment: Part 2 _____ I compare my account’s performance vs. an index in shorter than 1 year periods and make changes based on my analysis. (0 points) _____ I compare my account’s performance vs. an index in longer than 3 year periods and make changes based on my analysis. (4 points) _____ I measure success relative to my specific goals, but do not consult with my advisor when I am considering making a change. (6 points) _____ I consider my account relative to my specific goals and consult with my advisor before making any changes. (8 points) 7. Understanding that volatility has historically been present when investing, what is the maximum amount of volatility you can
accept over a 1 year period and continue to remain invested?
_____ Any decrease in value would concern me (0 points) _____ Up to 10% downside ($100,000 falls to $90,000) (4 points) _____ Up to 20% downside ($100,000 falls to $80,000) (6 points) _____ Up to 30% downside ($100,000 falls to $70,000) (8 points) _____ I would not worry about performance for that short of a period (10 points) 8. How would you expect this account to perform over a 7 year period compared to the S&P 500 (the “market”)?
_____I expect my account to have some gains, but it is more important that I preserve the balance (0 points) _____I expect only conservative gains and would not expect to compare to the market (2 points) _____I expect my account to trail the market because I am taking less risk (4 points) _____I expect to perform in line with the market because I am taking market‐like risk (6 points) _____I expect to outperform the market and that my account will be more volatile at times (8 points) 9. Which hypothetical scenario would you feel most comfortable with for your investments over a 10 year period?
Points: ____0 ____2 ____4 ____6 ____8 ____10 ____ 12 ____ 14 ____ 16 ____ 18 ____20 Disclosure: This is no guarantee that performance in the future will meet or even approach these figures, including both return and downside performance. These figures are presented solely as a basis to assist in determining a client’s risk tolerance. Add up total points from Part 2 Part 2 Score: ________ 5 RiskAssessmentResults
Part 1 Score:_________ Part 2 Score:________ Part 2 Score Part 1 Score 0‐8 10 12 14 16 18 20 22 24 26 28 30 32 34 36 38 40 42 44 46 P P C C C C C C C S S S S S S M M M M 0‐4 P 6‐10 P C C C C C C C S S S S S S M M M M M G 10‐16 P C C C C C S S S S S S S M M M M G G G 18‐24 C C C C C S S S S S S S M M M M G G G A 26‐30 C C C C S S S S S S M M M M M G G G G A 32‐36 C C C S S S S S S M M M M M G G G G A A 38‐42 C C C S S S S S M M M M M G G G G A A A 44‐50 C C S S S S S M M M M G G G G A A A A A Preservation
Moderate Conservative
Growth Stable
Aggressive Preservation: Clients in this portfolio are generally concerned with limiting fluctuations of their account value. The main objective for this portfolio is to preserve the principal value. Conservative: Clients in this category want some growth or income but are more concerned with limiting their exposure to risk. This client understands that their portfolio has limited upside potential but is willing to accept smaller gains for lower volatility. Stable: This client would like to achieve modest gains but with limited volatility in their account. They tend to still favor risk reduction investments over equities but are comfortable with about half of their account being exposed to market‐like risk. Moderate: This client wants to grow their account in a balanced manner by having some exposure to risk‐reducing investments but more exposure to growth focused investments. They understand that they will likely not achieve market‐like returns in the long run but they would expect to also experience less volatility than the general market over that same period. Growth: This client’s main goal is to grow their assets over time. They can handle market‐like volatility in their account and are not as concerned about short term fluctuations in their account. They would be comfortable with 80‐100% equity exposure at times. Aggressive: This client is comfortable taking risks and with potentially large short term changes in their account. The main objective for this client is long term growth and this client measures success over a 5‐7 year timeline. The descriptions on page 5 and 6 of this application are intended to be demonstrative in nature, and not intended to be viewed as strict guidelines for a given strategy. For example, a strategy that is described as having 20‐40% in equity may have more than 40% at any given time in equity, and strategies with similar descriptions as far as asset class ranges will differ in actual weightings as times, and may at other times be the same as a counterpart strategy. Accordingly, clients should focus on the objectives stated for each strategy, including which objective is listed first, when choosing the right strategy for the client. 6 Which investment approach appeals to you the most? (Select One) PortfolioSelection
Portfolio Selection _____ Income: This category is designed for clients that would like to generate income within their given risk tolerance. Clients in this category are typically taking income from their account. _____ Balanced: This category is designed for clients that have an objective to grow their portfolio in a balanced manner; using income investments to reduce risk in some cases. Clients in this category typically take little to no income from the account, instead excess income is reinvested. _____ Total Return: This category is designed for clients that would target total return given their stated risk tolerance. Clients in this category are not taking income, although income producing investments may be used at times. Please select the portfolio that you would like to be invested in by checking the appropriate box. If your selection does not match the risk assessment you will need to sign the additional consent at the bottom of the page. If left blank the Camelot Portfolios Team will use the information from your risk profile to assign a portfolio. Tax Sensitivity (Non‐qualified accounts only) Camelot Portfolios has Tax Sensitive Portfolios for non‐qualified accounts. Our Tax Sensitive Portfolios are designed to reduce taxable income. These portfolios may still produce some taxable income in cases where additional diversification is needed or tax equivalent yields are assessed by our management team as more favorable. We will automatically use our discretion whether or not a tax sensitive account should be used based on your account type, desired outcomes, and income needs. Preservation Conservative Stable Primary Objectives Capital Preservation Possible Growth Primary Objectives Capital Preservation Conservative Growth Primary Objectives Limit Volatility Modest Growth Allocation Equity 0‐10% Fixed 80‐100% Specialty 0‐10% Allocation Equity 0‐20% Fixed 80‐100% Specialty 0‐10% Allocation Equity 20‐40% Fixed 40‐60% Specialty 10‐30% _________ _________ _________ Moderate Growth Aggressive Primary Objectives Moderate Growth Balanced Volatility Primary Objectives Growth Reduced Volatility Primary Objectives Market Growth Market Volatility Allocation Equity 40‐60% Fixed 20‐40% Specialty 20‐40% Allocation Equity 60‐80% Fixed 0‐30% Specialty 10‐40% Allocation Equity 70‐100% Fixed 0‐20% Specialty 0‐30% _________ _________ _________ Misaligned Portfolio Consent: In the event that the portfolio selected above does not correspond to the risk tolerance information above, I understand that I have chosen a different portfolio despite the lack of alignment with risk tolerance and am comfortable with this choice and the risks associated with such choice, including the risk that I may lose principal. I further understand that it is my responsibility to communicate any changes in my circumstances, risk tolerance, or portfolio selection to my adviser. In addition, I will regularly review all account statements and reports from my adviser and alert my adviser if I have any questions, comments or concerns. Client Signature: ______________________________ Joint Account Owner Signature: _____________________________ 7 ________ Please refer to the proposal created for this account. Check this box if there was a proposal created for this account. Private Portfolio Management Allocation (To be completed for Private Portfolio Management clients only) ______ By selecting this box you are stating that that Private Portfolio Management is required to achieve your intended objectives. Private Portfolio Management may result in higher management fees and will require a review and approval from Camelot Portfolios before the final portfolio is implemented. Additional Portfolio Notes Final Trading Instructions ‐ To be complete by Camelot Portfolios Reviewed and Approved by: ________________________________________ Date: ________________________ Traded by: ________________________________________ Date: ________________________ 8 CamelotPhilanthropistProgram(Optional)
Camelot Philanthropist Program (Optional) Sign up for the the Camelot Portfolio’s Philanthropist Program and add a voluntary charitable management fee to your account. 100% of this optional fee is donated to one of several highly impactful non‐profit programs, or you can choose to list their favorite charity as a beneficiary. Other Benefits 
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Make regular gifts to charity without tapping into non‐investment cash flow.
Charitable dollars can be directed from your IRA pre‐retirement age without penalty through this program.
Potentially reduce your taxable income with fees from non‐qualified accounts each year. Clients will not receive
a charitable deduction for participating in this program. However, fees from taxable accounts may be tax
deductible for any excess beyond 2% of AGI. Please consult your accountant.
Charitable Beneficiary Options ______ Save A Life – Join the fight against malaria. Killing more than 700 children each day, malaria is also the #1 cause of death for pregnant women. Solutions to combat malaria provide a cheap and effective way to save lives. $100 provides 18 Long‐lasting Insecticidal Nets1
______Fight Poverty – More than 780 million people lack access to clean water, causing an estimated 3.4 million deaths per year. Help us provide water and other poverty fighting solutions. $100 provides 33 people with clean water for one year and 165 children with deworm vaccines.1
______Save A Soul – There are millions of internet searches relating to God and salvation each day. Help answer these questions by giving people access to the word of Jesus Christ and a network of online missionaries. $100 saves 243 souls.1 ______Go Rogue – Is there a cause that you are passionate about impacting? Go Rogue and list your favorite charity to benefit from this program. (10% of each Go Rogue program is donated to the PIF Foundation) 
Go Rogue Charity: ________________________________________________________________
By signing below you acknowledge that an additional charitable management fee will be assessed to your account in the amount indicated below, up to a 2.00% maximum account fee. (Management + Solicitor + Charitable = 2.00% Max Fee) ______Add the highest allotted charitable management fee so that my total fee is 2.00% ______ Add a Charitable Management Fee of__________% in addition to my regular account fees. Client/Authorized Signature: _____________________________________ Date: _____________ Joint Client/Authorized Signature: ________________________________ (If Applicable) Date: _____________ 1
Research provided by the PIF Foundation . Visit www.payitforward.foundation for full report. 9 ComprehensivePlanCheckUp
Comprehensive Plan Check Up As a part of our service to you, Camelot Portfolios offers complimentary reviews of the areas listed below. Please complete the following questionnaire to highlight the areas that may need additional attention: Risk Management Do you currently have life insurance? 
If yes, when was it last reviewed?
Do you currently have one or more annuities?
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If yes, when was the last review?
Do you have a Long Term Care Policy?

If yes, when was the last review?
_______Yes _______No ______/______/__________ _______Yes _______Never _______No ______/______/__________ _______Yes _______Never _______No ______/______/__________ _______Never Estate Planning Do you have an estate plan? 
_______Yes _______No If so, when is the last time you and/or an estate planning attorney reviewed the following aspects of
your plan?
______/______/__________ _______ Never
o Titling of Assets
o Beneficiary Designations
______/______/__________ _______Never
o Durable Financial Power of Attorney
______/______/__________ _______Never
o Medical Directives
______/______/__________ _______Never
o Last Will and Testament
______/______/__________ _______Never
o Revocable Trust
______/______/__________ _______ Never
Charitable Giving Do you write checks or give cash to church or charity for more than $100 per year? _______Yes _______No Do you have any charitable beneficiaries included in your Will or Trust? _______No _______Yes 16 *ScheduleA–FeeAgreement
SCHEDULE A 1. Account Assets. The assets that you wish Advisor to manage at this time are listed on the attached statement.
(Please attach a custodial or other inventory of assets) 2. Custody of Account Assets. The assets to be managed under this agreement will be held in a custodial account
established by you with one of the following custodians:
______Folio Institutional 8180 Greensboro Drive, 8th Floor McLean, VA 22102 ______Fidelity Investments 100 Crosby Parkway, KC1U Covington, KY 41015‐8010 ______ Schwab institutional ‐ Charles Schwab & Co., Inc. 1958 Summit Park Dr. #400 Orlando, FL 32810 3. Type of Account & Investment Advisory Fees. (Select accepted fee option)
Camelot Portfolios, LLC’s fees for services provided under this agreement will be as follows: Total Fee may not exceed 2.00% Camelot Fee Solicitor Fee Charitable Fee ______ Camelot Model Management 0.50% + ________ +
______ Private Portfolio Management ________ + ________ +
Total Fee
________
= ________ ________
= ________ (*Generally $1,000,000+ portfolio value) 4. Signature(s)
Client/Authorized Signature: _____________________________________ Date: _____________ Joint Client/Authorized Signature: ________________________________ (If Applicable) Date: _____________ 11 AccountFeeElection(Optional)
Adviser will pay Solicitor’s referral fee directly to Solicitor’s associated Broker Dealer or Registered Investment Advisor.
The Associated Broker Dealer or Registered Investment Advisor will pay Solicitor the referral fee in accordance with the selling agreement governing the payment of such referral fees. Account Fee Election (Optional) If we manage more than one account for you, you may elect to have all (or some) of your management fees taken from a single primary account, rather than from each account individually. Should I withdraw my fees from a single account? If you are unsure please consultant your accountant. 
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Fees from Non‐Qualified accounts may create a taxable deduction for the amount of your fees that exceed 2% of your
AGI each year.
Fees taken from a Traditional IRA act as a “tax free withdrawal”, so the fee is actually discounted by your current tax
rate.
Fees from Roth IRAs provide no advantage; therefore taking the fee from a different account can be advantageous.
To determine which fee situation is most advantageous consult your tax professional.
Account Fee Acknowledgement Please indicate which account/s you would like to have fee drawn from, and which account/s fees should be drawn for below. If any account as multiple owners, such as a Joint account, both owners will need to sign below in order for the request to be honored. Instead of Deducting Management Fees from: Account Type/s _____________________________
Deduct Management Fees from: Account Type ______________________________ Client/Authorized Signature: _____________________________________ Date: _____________ Joint Client/Authorized Signature: ________________________________ (If Applicable) Date: _____________ We will initiate and continue this billing recommendation unless it does not meet your approval; until you request a change; or, we recommend a change and you approve it. Should you want us to make a change and remove fees from a different account or proportionally from all accounts, please notify us in writing or with an e‐mail to [email protected]. Representative (Solicitor) Acknowledgement The undersigned acknowledges that they have delivered and reviewed the required information.
Representative Name: _______________________________________ Rep Number (If Applicable): ____________
Representative Signature: ____________________________________ Rep Broker Dealer: ___________________
Representative Social Security Number: ________________________
Rep D.O.B. _____________________ 12