portolacreek A California-Registered Investment Advisor Client Questionnaire

Transcription

1 portolacreek A California-Registered Investment Advisor Client Questionnaire

2 Our Impact The purpose of this introductory questionnaire is to begin learning about your unique preferences in regard to the Environmental, Social, and Governance ratings of the companies we consider for your custom portfolio. The questionnaire may also spark deeper thought within you and should provide a great foundation for our next conversations. Portola Creek is bringing transparency and purpose to our investments, while removing the conflicts of interest that have long dominated our industry. Are you ready? Let s begin! Client Questionnaire 1. How long have you been interested in ESG? Just Beginning About a Year or Two Several Years The Greater Portion of My Investing Years I Have Never Been Interested in ESG Investing 2. What is the name of a company (or companies) that you feel aligns with your values? 02 Client Questionnaire

3 3. Which issues in our world matter the most to you? (1=Highest Importance, 5=Lowest Importance) Climate / Clean Technology (solar energy, hybrid technology, etc) Environmental / Ecological Causes (forestry initiatives, clean water, etc) Community Investing and Development (affordable housing, urban projects, etc) Micro-Financing (providing funds to people and projects that cannot receive traditional financing) Corporate Social Responsibility (executive compensation, independent and diverse Board of Directors, etc) Humanitarian Causes (medical assistance to poor, child labor, etc) Women s Issues (domestic violence, fair compensation, etc) Workers Rights (diversity, equal opportunity, etc) 4. How would you characterize your current investment risk profile? Conservative Moderate Risk Aggressive 5. Are there any areas or types of companies that you prefer NOT to invest in? 6. What is your favorite city (or country) to visit and why? 7. If there are any foreign countries that are unattractive to you as an investor, which and why? 8. What are some of your special interests, passions, or hobbies? 03 Client Questionnaire

4 9. If you were/are financially independent, and did/do not need earned income, what passions would you pursue? 10. Where do you currently find information about sustainable investments? 11. In regard to climate change, which of the following factors (if any) are important to you? Please mark all that apply. Carbon Emissions Energy Efficiency Product Carbon Footprint Financing Environmental Impact 12. In regard to natural resources, which of the following factors Water Stress Biodiversity & Land Use Raw Material Sourcing 13. In regard to pollution and waste, which of the following factors Toxic Emissions & Waste Packaging Material & Waste Electronic Waste 04 Client Questionnaire

5 14. In regard to environmental opportunities, which of the following factors Opportunities in Clean Tech Opportunities in Green Building Opportunities in Renewable Energy 15. In regard to human capital, which of the following factors Labor Management Health & Safety Human Capital Development Supply Chain Labor Standards 16. In regard to product liability, which of the following factors Product Safety & Quality Chemical Safety Financial Product Safety Privacy & Data Security Responsible Investment Health & Demographic Risk 17. In regard to social opportunities, which of the following factors Access to Communications Access to Finance Access to Health Care Opportunities in Nutrition & Health 05 Client Questionnaire

6 18. In regard to corporate governance, which of the following factors Board Compensation Ownership Accounting 19. In regard to corporate behavior, which of the following factors Business Ethics Anti-Competitive Practices Corruption & Instability Financial System Instability 06 Client Questionnaire

7 Portola creek capital, LLC 44 Tehama Street San Francisco, CA Call us: us: Learn more by visiting our website portolacreek.com 2017 Growth Capital Strategies, LLC. This report is presented by Portola Creek Capital, LLC ( Portola Creek ) for informational purposes only and should not be read as an offer or solicitation to invest in any particular portfolio, securities or investment strategies. All investment programs may be volatile and can involve the risk of loss to your principal. Past performance is no guarantee of future returns. Any projected returns are estimates based on proprietary assumptions and in no way represent a guarantee of future performance. The opinions expressed in this report are subject to change without notice. The information and statistics that may be contained in this presentation are from sources believed to be reliable, but are not warranted by Portola Creek to be accurate or complete. Not all investments are suitable for all investors and you should consult with your investment professional prior to investing or embarking on any investment strategy. The information contained herein is not intended to provide legal or tax advice. Portola Creek is a registered investment advisor with the SEC. More complete information may be obtained by requesting a copy of our most current ADV or by visiting our website.