ACCOUNT INVESTMENT PROFILE Sample Clauses

ACCOUNT INVESTMENT PROFILE. Annual Income Net Worth Liquid Net Worth Risk Tolerance Tax Bracket  Under $25,000  $25,001 - $50,000  $50,001 - $100,000  $100,001 - $200,000  $200,001 - $500,000  $500,001 - $1 million  Over $1 million (specify)_____________ (excluding residence)  Under $50,000  $50,001 - $100,000  $100,001 - $500,000  $500,001 - $1 million  $1,000,001 - $3 million  Over $3 million (specify)_______________  Under $25,000  $25,001 - $50,000  $50,001 - $100,000  $100,001 - $200,000  $200,001 - $500,000  $500,001 - $1 million  $1,000,001 - $3 million  Over $3 million (specify)_______________  Low  Moderate  Aggressive  Speculative  0%  10%  15%  25%  28%  33%  35%  39.6% Estimated Value of Investments Liquidity Needs Time Horizon Annual Expenses Special Expenses  under $10,000  up to $24,000  up to $50,000  up to $200,000  up to $500,000  over $500,000  less than 1 year  1 – 5 years  5 – 10 years  10 – 15 years  Over 15 years  Not applicable  Undefined  less than 1 year  1 – 5 years  5 – 10 years  10 – 15 years  Over 15 years  $50,000 and under  $50,001 - $100,000  $100,001 - $250,000  $250,001 - $500,000  Over $500,000  $50,000 and under  $50,001 - $100,000  $100,001 - $250,000  $250,001 - $500,000  Over $500,000 Timeframe  Within 2 years  3 – 5 years  6 – 10 years Investment Knowledge  Limited  Good  Excellent Investment ObjectiveCurrent Income (A) - Preservation of capital with a primary consideration on current income  Balanced (F)- A balance between capital appreciation and current income with the primary consideration being current income  Growth & Income (G) - A balance between capital appreciation and current income with the primary consideration being capital appreciation  Growth (H) - Capital appreciation through quality equity investment and little or no income  Maximum Growth (I) - Maximum capital appreciation with higher risk and little to no income.  Speculation (J)- Maximum total return potential, involving a higher degree of risk through investment in a broad spectrum of securities. Investment Experience Investment Years of Experience Transactions per year Mutual Funds/Exchange Traded Funds  0  1 - 5  Over 5  0 - 5  6 - 15  Over 15 Individual Stocks  0  1 - 5  Over 5  0 - 5  6 - 15  Over 15 Bonds  0  1 - 5  Over 5  0 - 5  6 - 15  Over 15 Options  0  1 - 5  Over 5  0 - 5  6 - 15  Over 15 Securities Futures  0  1 - 5  Over 5  0 - 5  6 - 15  Over 15 Annuitie...
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ACCOUNT INVESTMENT PROFILE. Annual income Net Worth (excluding residence) Liquid Net Worth Tax Bracket  Under $25,000  Under $50,000  Under $25,000  0%  $25,001 - $50,000  $50,001 - $100,000  $25,001 - $50,000  15%  $50,001 - $100,000  $100,001 - $500,000  $50,001 - $100,000  28%  $100,001 – $200,000  $500,001 - $1,000,000  $100,001 - $200,000  31%  $200,001 - $500,000  $1,000,001 - $3,000,000  $200,001 - $500,000  38%  $500,001 - $1,000,000  Over $3,000,000 (specify)  $500,001 - $1,000,000  Above 38%  Over $1,000,000  $1,000,001 - $3,000,000  Other (specify) (specify)_______________ _______________________  Over $3,000,000 (specify) _____________ _____________ Risk Exposure Investment Knowledge Liquidity Needs Annual Expenses  Low  Moderate  Aggressive  Speculative  Limited  Good  Excellent  less than 1 year  1 – 5 years  5 – 10 years  10 – 15 years  Over 15 years  Not applicable  $50,000 and under  $50,001 - $100,000  $100,001 - $250,000  $250,001 - $500,000  Over $500,000 Special Expenses Time Horizon Investment Objective  $50,000 and under  $50,001 - $100,000  $100,001 - $250,000  $250,001 - $500,000  Over $500,000 Timeframe for special  Undefined  less than 1 year  1 – 5 years  5 – 10 years  10 – 15 years  Over 15 years  Current Income Preservation of capital with a primary consideration on current income  Balanced A balance between capital appreciation and current income with the primary consideration being current income  Growth & Income A balance between capital appreciation and current income with the primary consideration being capital appreciation  Growth Capital appreciation through quality equity investment and little or no income  Maximum Growth Maximum capital appreciation with higher risk and little to no income.  Speculation Maximum total return potential, involving a higher degree of risk through investment in a broad spectrum of securities. expenses  Within 2 years  3 – 5 years  6 – 10 years Individual Stocks  0  1 - 5  Over 5  0 - 5  6 - 15  Over 15 Options  0  1 - 5  Over 5  0 - 5  6 - 15  Over 15 Bonds  0  1 - 5  Over 5  0 - 5  6 - 15  Over 15 Mutual Funds/ETFs  0  1 - 5  Over 5  0 - 5  6 - 15  Over 15 Insurance/Annuities  0  1 - 5  Over 5  0 - 5  6 - 15  Over 15 Securities Futures  0  1 - 5  Over 5  0 - 5  6 - 15  Over 15 Alternative*  0  1 - 5  Over 5  0 - 5  6 - 15  Over 15 Margin  0  1 - 5  Over 5  0 - 5  6 - 15  Over 15 Investment Experience Inv...
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Related to ACCOUNT INVESTMENT PROFILE

  • The Investment Account; Eligible Investments (a) Not later than the Withdrawal Date, the Master Servicer shall withdraw or direct the withdrawal of funds in the Custodial Accounts for P&I, for deposit in the Investment Account, in an amount representing:

  • Investment Accounts Schedule 2 sets forth under the headings “Securities Accounts” and “Commodity Accounts”, respectively, all of the Securities Accounts and Commodity Accounts in which such Grantor has an interest. Except as disclosed to the Administrative Agent, such Grantor is the sole entitlement holder of each such Securities Account and Commodity Account, and such Grantor has not consented to, and is not otherwise aware of, any Person (other than the Administrative Agent) having “control” (within the meanings of Sections 8-106 and 9-106 of the UCC) over, or any other interest in, any such Securities Account or Commodity Account or any securities or other property credited thereto;

  • Investment Promotion 1. Each Contracting Party shall promote investments in its territory by investors of the other Contracting Party and admit such investments in accordance with its legislation.

  • Investment Program The Subadviser is hereby authorized and directed and hereby agrees, subject to the stated investment objective and policies of the Fund as set forth in the Trust’s current Registration Statement and subject to the supervision of the Adviser and the Board of Trustees of the Trust, to (i) develop and furnish continuously an investment program and strategy for the Fund in compliance with the Fund’s investment objective and policies as set forth in the Trust’s current Registration Statement, (ii) provide research and analysis relative to the investment program and investments of the Fund, (iii) determine (subject to the overall supervision of the Board of Trustees of the Trust) what investments shall be purchased, held, sold or exchanged by the Fund and what portion, if any, of the assets of the Fund shall be held in cash or cash equivalents, and (iv) make changes on behalf of the Trust in the investments of the Fund. In accordance with paragraph 2(ii)(b), the Subadviser shall arrange for the placing of all orders for the purchase and sale of securities and other investments for the Fund’s account and will exercise full discretion and act for the Trust in the same manner and with the same force and effect as the Trust might or could do with respect to such purchases, sales or other transactions, as well as with respect to all other things necessary or incidental to the furtherance or conduct of such purchases, sales or transactions. The Subadviser will make its officers and employees available to meet with the Adviser’s officers and directors on due notice at reasonable times to review the investments and investment program of the Fund in light of current and prospective economic and market conditions. The Subadviser is authorized on behalf of the Fund to enter into agreements and execute any documents required to make investments pursuant to the Prospectus as may be amended from time to time. The Subadviser’s responsibility for providing portfolio management services hereunder shall be limited to only those assets of the Fund which the Adviser determines to allocate to the Subadviser (those assets being referred to as the “Fund Account”), and the Subadviser agrees that it shall not consult with any investment advisor(s) (within the meaning of the 0000 Xxx) to the Fund or any other registered investment company or portfolio series thereof under common control with the Fund concerning transactions for the Fund Account in securities or other assets such that the exemptions under Rule 10f-3, Rule 12d-3 and/or Rule 17a-10 under the 1940 Act would not be available with respect to the Fund. The Subadviser shall exercise voting authority with respect to proxies that the Fund is entitled to vote by virtue of the ownership of assets attributable to that portion of the Fund for which the Subadviser has investment management responsibility; provided that the exercise of such authority shall be subject to periodic review by the Adviser and the Trustees of the Trust; provided, further that such authority may be revoked in whole or in part by the Adviser if required by applicable law. The Subadviser shall exercise its proxy voting authority hereunder in accordance with such proxy voting policies and procedures as the Trust may designate from time to time. The Subadviser shall provide such information relating to its exercise of proxy voting authority hereunder (including the manner in which it has voted proxies and its resolution of conflicts of interest) as reasonably requested by the Adviser from time to time. In the performance of its duties hereunder, the Subadviser is and shall be an independent contractor and except as expressly provided for herein or otherwise expressly provided or authorized shall have no authority to act for or represent the Fund or the Trust in any way or otherwise be deemed to be an agent of the Fund, the Trust or of the Adviser. If any occasion should arise in which the Subadviser gives any advice to its clients concerning the shares of a Fund, the Subadviser will act solely as investment counsel for such clients and not in any way on behalf of the Trust or the Fund.

  • Investment Funds Unregistered general or limited partnerships or pooled investment vehicles and/or registered investment companies in which the Company (directly, or indirectly through the Master Fund) invests its assets that are advised by an Investment Manager.

  • Establishment of Custodial Account; Deposits in Custodial Account The Seller shall segregate and hold all funds collected and received pursuant to each Mortgage Loan separate and apart from any of its own funds and general assets and shall establish and maintain one or more Custodial Accounts (collectively, the “Custodial Account”), titled “PrimeLending, in trust for Redwood Residential Acquisition Corporation as Purchaser of Mortgage Loans and various Mortgagors.” Such Custodial Account shall be an Eligible Account established with a commercial bank, a savings bank or a savings and loan association (which may be a depository affiliate of the Seller) which meets the guidelines set forth by the FHFA, Fxxxxx Mxx or Fxxxxxx Mac as an eligible depository institution for custodial accounts. The Custodial Account shall not be transferred to any other depository institution without the Purchaser’s approval, which shall not unreasonably be withheld. In any case, the Custodial Account shall be insured by the FDIC in a manner which shall provide maximum available insurance thereunder and which may be drawn on by the Seller. The Seller shall deposit in the Custodial Account on a daily basis, and retain therein the following payments and collections received or made by it subsequent to the related Cut-off Date (other than in respect of principal and interest on the Mortgage Loans due on or before the related Cut-off Date):

  • Establishment of Custodial Accounts; Deposits in Custodial Accounts The Company shall segregate and hold all funds collected and received pursuant to each Mortgage Loan separate and apart from any of its own funds and general assets and shall establish and maintain one or more Custodial Accounts. The Custodial Account shall be an Eligible Account. Funds deposited in the Custodial Account, which shall be deposited within 24 hours of receipt, shall at all times be insured by the FDIC up to the FDIC insurance limits, or must be invested in Permitted Investments for the benefit of the Purchaser. Funds deposited in the Custodial Account may be drawn on by the Company in accordance with Section 4.05. The creation of any Custodial Account shall be evidenced by a letter agreement in the form shown in Exhibit B hereto. The original of such letter agreement shall be furnished to the Purchaser on the Closing Date, and upon the request of any subsequent Purchaser. The Company shall deposit in the Custodial Account on a daily basis, and retain therein the following payments and collections received or made by it subsequent to the Cut-off Date, or received by it prior to the Cut-off Date but allocable to a period subsequent thereto, other than in respect of principal and interest on the Mortgage Loans due on or before the Cut-off Date:

  • Establishment of and Deposits to Custodial Account The Company shall segregate and hold all funds collected and received pursuant to a Mortgage Loan separate and apart from any of its own funds and general assets and shall establish and maintain one or more Custodial Accounts, in the form of time deposit or demand accounts, titled "Countrywide Home Loans Inc. in trust for the Purchaser of Conventional Residential Conventional Residential Mortgage Loans, and various Mortgagors". The Custodial Account shall be established with a Qualified Depository. Any funds deposited in the Custodial Account shall at all times be fully insured to the full extent permitted under applicable law. Funds deposited in the Custodial Account may be drawn on by the Company in accordance with Section 4.05. The creation of any Custodial Account shall be evidenced by a certification in the form of Exhibit D-1 hereto, in the case of an account established with the Company, or by a letter agreement in the form of Exhibit D-2 hereto, in the case of an account held by a depository other than the Company. A copy of such certification or letter agreement shall be furnished to the Purchaser and, upon request, to any subsequent Purchaser. The Company shall deposit in the Custodial Account within two Business Days of receipt, and retain therein, the following collections received by the Company and payments made by the Company after the related Cut-off Date, (other than payments of principal and interest due on or before the related Cut-off Date, or received by the Company prior to the related Cut-off Date but allocable to a period subsequent thereto or with respect to each LPMI Loan, in the amount of the LPMI Fee):

  • Small Accounts The Trustees or their authorized agents may establish, from time to time, one or more minimum investment amounts for Shareholder accounts, which may differ within and among any Series or Class, and may impose account fees on (which may be satisfied by involuntarily redeeming the requisite number of Shares in any such account in the amount of such fee), and/or require the involuntary redemption of Shares held in, those accounts the net asset value of which for any reason falls below such established minimum investment amounts, or may authorize the Trust to convert any such Shares in such account to Shares of another Series or Class (whether of the same or a different Series), or take any other such action with respect to minimum investment amounts as may be deemed necessary or appropriate by the Trustees or their authorized agents, in each case upon such terms as shall be established by the Trustees or their authorized agents.

  • Multiple Accounts 3.2.1 Calculations, reporting and administration may be performed by us separately for each of your Accounts, so that (without limitation):

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