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Business Plan Template for Asset Managers

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Creating a solid business plan is essential for asset managers looking to thrive in today's competitive landscape. With ClickUp's Business Plan Template for Asset Managers, you can easily outline your strategies, financial goals, investment portfolios, and more—all in one place!

This template empowers asset management firms and financial institutions to:

• Clearly define their target markets and establish a strong value proposition
• Develop robust risk management procedures to protect investments and enhance returns
• Streamline communication and collaboration with stakeholders through a centralized platform
• Efficiently allocate resources and track progress towards financial objectives

Don't let planning and communication hurdles hold your asset management firm back. Get started with ClickUp's Business Plan Template for Asset Managers today and set yourself up for success!

Business Plan Template for Asset Managers Benefits

A business plan template for asset managers offers numerous benefits for asset management firms and financial institutions, including:

• Streamlined strategic planning and goal-setting process
• Clear communication of investment strategies to stakeholders
• Comprehensive understanding of target markets and client segments
• Effective risk management procedures and protocols
• Efficient allocation of resources and investment portfolios
• Increased transparency and accountability to stakeholders
• Enhanced decision-making and alignment with organizational objectives
• Improved operational efficiency and effectiveness
• Facilitated compliance with regulatory requirements
• Better positioning for attracting and retaining investors.

Main Elements of Asset Managers Business Plan Template

ClickUp's Business Plan Template for Asset Managers provides a comprehensive framework for asset management firms and financial institutions to efficiently plan and communicate their strategies. Here are the main elements of this template:

• Custom Statuses: Track the progress of different sections of your business plan with statuses such as Complete, In Progress, Needs Revision, and To Do.
• Custom Fields: Use custom fields like Reference, Approved, and Section to add relevant information and streamline your business plan.
• Custom Views: Access different views to effectively manage your business plan, including Topics, Status, Timeline, Business Plan, and Getting Started Guide.
• Collaboration and Communication: Utilize ClickUp's collaboration features like task assignments, comments, and file attachments to ensure seamless communication and collaboration with stakeholders.
• Document Management: Leverage ClickUp's Docs feature to create and edit your business plan directly within the platform, ensuring easy access and version control.

How To Use Business Plan Template for Asset Managers

If you're an asset manager looking to create a comprehensive business plan, the Business Plan Template in ClickUp is the perfect tool to help you get started. Follow these four steps to effectively use the template and develop a solid plan for your asset management business:

1. Define your business objectives and strategies

Begin by clearly defining the objectives and strategies for your asset management business. What are your long-term goals? How do you plan to achieve them? Consider factors such as target market, investment strategies, and competitive analysis. This step will lay the foundation for your business plan.

Use the Goals feature in ClickUp to create and track your business objectives and strategies.

2. Conduct a thorough market analysis

To create a successful business plan, it's crucial to have a deep understanding of the market in which you operate. Conduct a thorough analysis of the asset management industry, including trends, opportunities, and potential risks. Identify your target market and analyze the competitive landscape to determine your unique value proposition.

Use the Table view in ClickUp to organize and analyze market research data.

3. Develop a financial plan

A comprehensive financial plan is essential for any business. Use the Business Plan Template in ClickUp to outline your revenue projections, expenses, and anticipated growth. Consider factors such as operating costs, fees, and potential sources of funding. This step will help you assess the financial viability of your asset management business.

Utilize the custom fields feature in ClickUp to track financial data and calculations.

4. Create an implementation and monitoring strategy

Once you have defined your objectives, conducted a market analysis, and developed a financial plan, it's time to focus on implementation and monitoring. Outline a clear strategy for executing your business plan, including specific actions, timelines, and responsibilities. Establish key performance indicators (KPIs) to track progress and regularly review and adjust your plan as needed.

Use the Automations feature in ClickUp to set reminders and notifications for important milestones and deadlines.

By following these four steps and utilizing the Business Plan Template in ClickUp, you'll be well-equipped to create a comprehensive and effective business plan for your asset management business.

Get Started with ClickUp’s Business Plan Template for Asset Managers

Asset managers in the financial industry can use the Business Plan Template for Asset Managers in ClickUp to effectively outline their strategies, financial goals, and operational framework for their firm.

To get started, hit “Add Template” to sign up for ClickUp and add the template to your Workspace. Designate the appropriate Space or location in your Workspace for this template.

Next, invite relevant team members or guests to your Workspace to start collaborating.

Now you can take advantage of the full potential of this template to create a comprehensive business plan:

• Use the Topics View to organize your business plan by different sections such as strategies, financial goals, target markets, and risk management procedures.
• The Status View will help you track the progress of each section of your business plan, with statuses like Complete, In Progress, Needs Revision, and To Do.
• The Timeline View will provide a visual representation of your business plan's milestones and deadlines.
• The Business Plan View will give you a holistic overview of your entire plan, allowing you to easily navigate between sections.
• The Getting Started Guide View will provide step-by-step instructions on how to use the template effectively.

Additionally, customize your business plan template with these custom fields:

• Use the Reference field to link relevant documents or external resources to specific sections of your plan.
• The Approved field can be used to track the approval status of each section.
• The Section field will help you categorize and organize different sections of your business plan.

With these features, you can create a comprehensive and well-structured business plan for your asset management firm while ensuring effective planning and communication with stakeholders.

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A CEO’s Guide for How to Build an Asset Management Firm

Fundamental global founder kyle cerminara left point72 in 2012 to start his own firm. here’s how he did it..

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Click on Kyle Cerminara’s Twitter page and you’ll find an image of him and Warren Buffett smiling into the camera. Scroll down to his pinned tweet, and there’s another photo with Buffett — but this time, Cerminara is hunched over, with Buffett’s arm locked around his neck.

The caption: “When Warren Buffett puts you in a headlock at a football game...”

For Cerminara, founder and CEO of Fundamental Global, relationships with other investors and industry professionals are critical to his success, a point he made clear in a series of tweets last week. In the thread, Cerminara offered “some unsolicited advice on how to build a multi-billion dollar asset management firm (from someone who did it).”

His first tip: “You will likely not succeed if you do it all yourself.”

Cerminara started Fundamental Global in 2012 with help from Joe Moglia, the former chairman of the board at TD Ameritrade. Moglia is now the chairman of the firm.

“People try to do too much all at once,” Cerminara told Institutional Investor . “I really wanted to focus my time and effort on investing. We brought in an exciting financial advisors team.”

Looking to set his firm apart from other asset management firms, Cerminara decided to make its financial advisory team client-facing.

“A lot of asset management companies these days are buying exchange traded funds or indexing,” he said. “And, quite frankly, anybody can do index funds, so I didn’t understand why that was of value to people. I thought that we could create something using active management.”

To turn this vision into a reality, the firm built an advisory team in a 50/50 joint venture with a firm called Capital Wealth Advisors. Under this structure, advisors met face-to-face with clients and reviewed their risk-reward parameters and liquidity needs, Cerminara said.

“It really freed me up to really be able to invest the money,” he said.

Cerminara has an interesting pedigree: He started his career as an equity research analyst at T. Rowe Price, where he worked his way up to a portfolio management role before leaving in 2007 to work for celebrity hedge fund manager Steven Cohen . Cerminara worked with Cohen over the next five years, taking a brief hiatus in 2010 to run a portfolio for Tiger Management descendent Highside Capital Management.

There was nothing particularly special about 2012 that prompted him to start his own firm. It was just the right time in his career, Cerminara said. Together, he and Moglia built an investment team from the ground-up, pulling talent from their former firms.

“In 2012 when I was starting my own firm, [Moglia] decided to bet big on me,” Cerminara said. “He initially gave us $30 million of capital to manage and became a partner of the firm.”

In December 2020, FG divested its interest from Capital Wealth Advisors. By then, Cerminara said the firm was handling about $2 billion in assets under management. In 2021, Cerminara sold his stake in the asset manager. He now spends his time building public companies, including working as a sponsor for special purpose acquisition companies.

Cerminara said his relationships with his mentors, specifically Moglia and Cohen, “compounded over time,” producing a rolodex of investors and partners for him throughout his career.

“Networking is critical,” he said. “I think some people that are great investors can sometimes undervalue that.”

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Investment Company Business Plan

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How to Write An Investment Company Business Plan?

Writing an investment company business plan is a crucial step toward the success of your business. Here are the key steps to consider when writing a business plan:

1. Executive Summary

An executive summary is the first section planned to offer an overview of the entire business plan. However, it is written after the entire business plan is ready and summarizes each section of your plan.

Here are a few key components to include in your executive summary:

Introduce your Business:

Start your executive summary by briefly introducing your business to your readers.

Market Opportunity:

Products and services:.

Highlight the investment company services you offer your clients. The USPs and differentiators you offer are always a plus.

Marketing & Sales Strategies:

Financial highlights:, call to action:.

Ensure your executive summary is clear, concise, easy to understand, and jargon-free.

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2. Business Overview

The business overview section of your business plan offers detailed information about your company. The details you add will depend on how important they are to your business. Yet, business name, location, business history, and future goals are some of the foundational elements you must consider adding to this section:

Business Description:

Describe your business in this section by providing all the basic information:

Describe what kind of investment company you run and the name of it. You may specialize in one of the following investment businesses:

• Mutual fund companies
• Venture capital funds
• Private equity funds
• Asset management companies
• Pension fund managers
• Describe the legal structure of your investment company, whether it is a sole proprietorship, LLC, partnership, or others.
• Explain where your business is located and why you selected the place.

Mission Statement:

Business history:.

If you’re an established investment company, briefly describe your business history, like—when it was founded, how it evolved over time, etc.

Future Goals:

This section should provide a thorough understanding of your business, its history, and its future plans. Keep this section engaging, precise, and to the point.

3. Market Analysis

The market analysis section of your business plan should offer a thorough understanding of the industry with the target market, competitors, and growth opportunities. You should include the following components in this section.

Target market:

Start this section by describing your target market. Define your ideal customer and explain what types of services they prefer. Creating a buyer persona will help you easily define your target market to your readers.

Market size and growth potential:

Describe your market size and growth potential and whether you will target a niche or a much broader market.

Competitive Analysis:

Market trends:.

Analyze emerging trends in the industry, such as technology disruptions, changes in customer behavior or preferences, etc. Explain how your business will cope with all the trends.

Regulatory Environment:

Here are a few tips for writing the market analysis section of your investment company business plan:

• Conduct market research, industry reports, and surveys to gather data.
• Provide specific and detailed information whenever possible.
• Illustrate your points with charts and graphs.
• Write your business plan keeping your target audience in mind.

4. Products And Services

The product and services section should describe the specific services and products that will be offered to customers. To write this section should include the following:

Describe your services:

Mention the investment company services your business will offer. This list may include services like,

• Portfolio management
• Financial planning
• Investment research and analysis
• Wealth management
• Mutual funds and exchange-traded funds

Investment advisory services:

Additional services:.

In short, this section of your investment business plan must be informative, precise, and client-focused. By providing a clear and compelling description of your offerings, you can help potential investors and readers understand the value of your business.

5. Sales And Marketing Strategies

Writing the sales and marketing strategies section means a list of strategies you will use to attract and retain your clients. Here are some key elements to include in your sales & marketing plan:

Unique Selling Proposition (USP):

Define your business’s USPs depending on the market you serve, the equipment you use, and the unique services you provide. Identifying USPs will help you plan your marketing strategies.

Pricing Strategy:

Marketing strategies:, sales strategies:, customer retention:.

Overall, this section of your investment company business plan should focus on customer acquisition and retention.

Have a specific, realistic, and data-driven approach while planning sales and marketing strategies for your investment business, and be prepared to adapt or make strategic changes in your strategies based on feedback and results.

6. Operations Plan

The operations plan section of your business plan should outline the processes and procedures involved in your business operations, such as staffing requirements and operational processes. Here are a few components to add to your operations plan:

Staffing & Training:

Operational process:, equipment & software:.

Include the list of equipment and software required for investment business, such as servers & data storage, network equipment, trading platforms, customer relationship management software, portfolio management software, etc.

Adding these components to your operations plan will help you lay out your business operations, which will eventually help you manage your business effectively.

7. Management Team

The management team section provides an overview of your investment business’s management team. This section should provide a detailed description of each manager’s experience and qualifications, as well as their responsibilities and roles.

Founders/CEO:

Key managers:.

Introduce your management and key members of your team, and explain their roles and responsibilities.

Organizational structure:

Compensation plan:, advisors/consultants:.

Mentioning advisors or consultants in your business plans adds credibility to your business idea.

This section should describe the key personnel for your investment company, highlighting how you have the perfect team to succeed.

8. Financial Plan

Your financial plan section should provide a summary of your business’s financial projections for the first few years. Here are some key elements to include in your financial plan:

Profit & loss statement:

Cash flow statement:, balance sheet:, break-even point:.

Determine and mention your business’s break-even point—the point at which your business costs and revenue will be equal.

Financing Needs:

Be realistic with your financial projections, and make sure you offer relevant information and evidence to support your estimates.

9. Appendix

The appendix section of your plan should include any additional information supporting your business plan’s main content, such as market research, legal documentation, financial statements, and other relevant information.

• Add a table of contents for the appendix section to help readers easily find specific information or sections.
• In addition to your financial statements, provide additional financial documents like tax returns, a list of assets within the business, credit history, and more. These statements must be the latest and offer financial projections for at least the first three or five years of business operations
• Provide data derived from market research, including stats about the industry, user demographics, and industry trends.
• Include any legal documents such as permits, licenses, and contracts.
• Include any additional documentation related to your business plan, such as product brochures, marketing materials, operational procedures, etc.

Use clear headings and labels for each section of the appendix so that readers can easily find the necessary information.

Remember, the appendix section of your investment firm business plan should only include relevant and important information supporting your plan’s main content.

The Quickest Way to turn a Business Idea into a Business Plan

Fill-in-the-blanks and automatic financials make it easy.

This sample investment company business plan will provide an idea for writing a successful investment company plan, including all the essential components of your business.

After this, if you still need clarification about writing an investment-ready business plan to impress your audience, download our investment company business plan pdf .

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Frequently asked questions, why do you need an investment company business plan.

A business plan is an essential tool for anyone looking to start or run a successful investment business. It helps to get clarity in your business, secures funding, and identifies potential challenges while starting and growing your business.

Overall, a well-written plan can help you make informed decisions, which can contribute to the long-term success of your investment company.

How to get funding for your investment company?

There are several ways to get funding for your investment company, but self-funding is one of the most efficient and speedy funding options. Other options for funding are:

Small Business Administration (SBA) loan

Crowdfunding, angel investors.

Apart from all these options, there are small business grants available, check for the same in your location and you can apply for it.

Where to find business plan writers for your investment company?

There are many business plan writers available, but no one knows your business and ideas better than you, so we recommend you write your investment company business plan and outline your vision as you have in your mind.

What is the easiest way to write your investment company business plan?

A lot of research is necessary for writing a business plan, but you can write your plan most efficiently with the help of any investment company business plan example and edit it as per your need. You can also quickly finish your plan in just a few hours or less with the help of our business plan software .

About the Author

Upmetrics Team

Upmetrics is the #1 business planning software that helps entrepreneurs and business owners create investment-ready business plans using AI. We regularly share business planning insights on our blog. Check out the Upmetrics blog for such interesting reads. Read more

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How to Develop and Write an Asset Management Strategy

This guide will e xplain the difference between an asset management policy and a strategy and share the information you will need to write your strategy with real-life examples.

Where does the asset management strategy sit in the document hierarchy?

Businesses use an asset management strategy to describe the high-level goals they need to achieve in order to meet the company’s asset ownership, use, and care requirements. The document usually includes a business case showing the potential benefits the company can achieve by following the outlined strategy.

The image below illustrates where the asset management strategy sits in the asset management document hierarchy.

Here are quick explanations to help differentiate between a policy, strategy, and plan:

• Asset Management Policy : The policy outlines the company’s objectives and requirements for asset ownership, use, and care. It provides guiding principles for asset management, including applicability, responsibility, high-level procedures, and a clear statement of the company’s overall approach to maintenance. 
• Asset Management Strategy: A strategy document takes the company objectives and requirements from the policy, and turns them into specific focus areas for the next three to five years. It outlines the current state of asset management within the company and its goals for improvement. It often includes a business case that predicts potential benefits of pursuing the strategy.
• Asset Management Plans : A plan takes the high-level aspirations and goals in the strategy document and turns them into shorter-term, actionable tasks. One strategy document will result in many plans, usually one for each department or business unit.

Now that we know its purpose, let’s see what it takes to create a proper asset management strategy.

The Essential Guide to CMMS

The steps for developing your asset management strategy

There are clearly many details and considerations that go into creating an effective asset management strategy. So how does an organization create one? 

By taking the following steps, you’ll end up with an asset management strategy that captures all the necessary details, fits the needs of your company, and sets the stage for effective asset management that supports your business plan.

Step #1: Identify a project sponsor

Creating an intricate, strategic approach to improving your asset management processes is a waste of time if nobody acknowledges or follows the guidelines. 

Appointing a senior manager as a project sponsor provides several benefits:

• Their involvement gives authority to the strategy production and provides line of sight to its impact across departments.
• Active involvement by the sponsor removes organizational roadblocks and helps with work prioritization — which keeps the strategy on track.
• A member of senior management will facilitate buy-in and decision-making from other leaders and ensure accountability for the strategy.

Step #2: Identify the project leader

The project leader manages the development of the asset management strategy. In this role, they are responsible for:

• Ensuring the process gets completed within time and budget constraints. 
• Liaising with the project sponsor to brief them on progress.
• Considering all relevant data and other company information necessary for a thorough and thoughtful outcome. 

In a small company, the project leader may also perform the data collection and writing of the strategy document. Larger companies may use a small team, which the project leader will manage.

Step #3: Assemble and analyze all data and documents

This is a time-intensive step that often requires data from multiple departments including engineering, maintenance, finance, procurement, and production. 

You will analyze this data to evaluate the effectiveness of your current asset management strategy and how well it meets business objectives. We will discuss more details of data analysis in a later section.

Data collection and analysis is considerably easier if your company uses a centralized database like an asset management software, a computerized maintenance management system (CMMS) , or an enterprise resource planning system (ERP).

Step #4: Outline the strategy

After analyzing the data, you should have clear insights into your current asset management practices, their effectiveness, and their efficiency. The data will point you to:

• Current activities and processes that deliver less than desirable results.
• High-level changes and initiatives to include in your strategy to work toward improvement.
• Potential benefits of pursuing those high-level changes and shifts in strategy.

During this process, the project sponsor will be a key resource providing guidance, insight, and support from management and other departments.

Step #5: Write the strategy

At this stage, you should have all the necessary pieces to formalize the strategy. 

The writing process should present a narrative explaining the current state of asset management in your company and the benefits of making a change. It should also outline general actions, deadlines, and targets. 

This can sound a little abstract. In the following sections, we will look at a few real-life examples, show you how to structure the document, and review what to include.

Step #6: Get approval from top management

Top management must review and accept the proposed language for your new asset management strategy to ensure it aligns with business objectives. Approval from decision-makers means it is ready for implementation and employees will be held accountable for carrying it out.

Enter the document into your quality system for revision and amendment control. Any major changes should require resubmission for further approval. 

Step #7: Implement the strategy

Sending out the document and expecting compliance will not work. There is an education component to implementation. Ensure all employee groups are trained and fully understand the goal of the strategy and their role in achieving it.

While they might have helped you gather data in previous steps, this is probably the first time they’re seeing the final strategy. They need to buy into the final product and believe it will be an improvement if you want it to be fully embraced and followed.

The data collection process

The data you collect in step four will be used for a gap analysis. This analysis will show the “gap” between how efficient your assets are today, and how efficient they could be at their best. It will also shed light on the operational and capital costs they incur. 

There are two components to consider for the gap analysis: current performance and theoretical maximum efficiency.

Benchmarking current performance

Find out what key performance indicators (KPI) your production team uses to measure their efficiency and effectiveness. Examples include equipment downtime (or uptime) and setup time.

Many of these measures will be in percentages. However, we recommend translating them into actual, data-driven outputs — whether the numbers of products, frequency of stock turns, or the count of non-conforming products. 

Remember, raw data is easier to relate to!

Identifying theoretical maximums

What could your plant achieve if everything ran like clockwork? 

To answer that question, gather original equipment manufacturer data or the asset performance results from similar plants that are an example of best practice. 

For example, if the KPI you are using is OEE (overall equipment effectiveness) , an often-quoted best OEE rating for a pure manufacturing plant is 85%. That would require equipment availability, performance, and quality metrics to be in the mid to high 90-percent range. 

If your OEE rate is 68%, you know the performance management gap you need to close through asset strategy management.

Capturing operational and capital costs

By capturing data on the cost of your current performance, you have a baseline against which you can compare future costs. Comparing these over time will show you the financial impact of the changes you implemented as part of your updated strategy.

Consider operational budgets — like engineering, maintenance, and spares turnover. Capital costs for asset replacements may also be important, as poor asset life cycles or frequent modifications require more capital spending, and thus can reduce profitability. 

Revenues, cost savings, and operating costs will be key to measuring production efficiency.

Developing your asset management strategy

With the gap analysis done, you must define the strategies that will close the gap between current and desired performance. These will become the basis for your strategy document.

Articulate an operational vision

Define a clear production goal for the business. It should be a stretch goal with measurable targets on a five to ten-year horizon.

For example, you may choose to:

• Reduce maintenance costs by V%
• Improve cycle time by W%
• Increase production capacity to X units
• Increase equipment reliability to 93%
• Move the factory to total productive maintenance (TPM)

Define the required high-level actions

Identify the broad practices the organization must change or implement to achieve the goals. These action plans should span three to five years due to the impact on employee workload, the available resources, and the budget.

Stay away from operational details and optimization . Leave that to the people writing the asset management plans .

Establish a business case

The effect of the changes on costs and production will have to be explained in order to justify the strategy. The business case you present should lay out the financial and operational justification and the expected change in key performance indicators .

Structuring your asset management strategy document

While the layout of such documents varies widely across industries and countries, the following list provides a basic key components that you may want to include in yours.

The summary should come first in the document to allow senior management to review the document’s findings without wading through all the details. It must be concise, highlighting the strategy’s key points, costs, benefits, and outcomes.

2. Purpose and scope

Describing the purpose and scope in-depth establishes strategic alignment with business needs. 

Describe why an asset management strategy is required and what it seeks to achieve. The strategy’s scope should explain the affected business areas and the time period — in years — to which the document applies.

3. Current assessment

This chapter summarizes the outcomes of the data analysis. Show how a world-class production environment in your industry performs in terms of output, delivery, or cost. Then describe how your business compares, based on your findings. 

Cover maintenance and reliability comparisons, including: 

• Overall equipment effectiveness (OEE) rates
• Reliability performance
• Cost per unit produced 

This chapter should also clarify why effective asset management is important, why changes are required, and how far the business has to go to achieve best-in-class operations.

4. Vision for future operations

When crafting the vision, describe what the business could look like in five or ten years. Be sure to focus on more than just production and maintenance metrics. Illustrate: 

• How the company culture may have changed
• What the organizational structure may have evolved into
• How roles and responsibilities will have altered
• Any physical changes or modifications that may have occurred to the structure of the business.

Avoid making unbelievable statements. 

If your business is in the third or fourth quartile for industry benchmarks, promising world-class performance in three years undermines the document and the analysis that supports it. You’ll struggle to gain buy-in, and your strategy is likely to fail. 

What creates support are realistic, continuous improvement targets, and a real business case that acknowledges the difficulty of the journey .

5. Strategic focus

Outline the key areas the organization needs to focus on over the timeframe covered by the strategy document. You had hundreds of areas for improvement to choose from. Yet, you selected only six to eight of them. Explain why.

Having clarified the focus, describe the expected outcomes. These must logically align with and help close the gaps between actual and theoretical performance. 

Finally, outline the processes to follow. 

For example, assume you have identified OEE as one focus area. Explain that the targets for improvement are equipment availability and performance, and the processes to be implemented will include reliability-centered maintenance and root cause analysis techniques .

6. Business case

This is the part of the document where you’ll need to make assumptions about the year-over-year improvements, the costs required to implement the changes, and the resulting benefits. 

Remember to include financial costs and benefits, as well as cultural, political, environmental, or technological gains. 

The business case is a justification for the strategy based on what the company expects to earn from improved production efficiency .

This section is your project plan. It outlines major milestones and timelines, indicating the required resources and the expected deliverables. It becomes the guideline for managers tasked with writing asset management plans.

8. Responsibilities and KPIs

The company’s asset management strategy will affect a wide cross-section of the organization. Therefore, the stakeholders and roles that are pivotal to the plan’s success must have clearly defined responsibilities.

It should also include key metrics, describing what will be measured, how to calculate KPIs, and the results expected over the strategy’s life.

Examples of public asset management strategies

Most privately owned companies do not publish their asset management strategies, given the confidential information they contain. But many public entities like councils or government organizations must publish theirs. 

Here are three examples,  along with some notes on what they do right.

• South Australian Government : This asset management strategy works at the right level, without dipping into unnecessary detail. It describes areas of focus and gives guidance on things to consider when individual agencies formulate their plans. Great examples are the life-cycle costing and asset register chapters on page nine.  
• Eastleigh Borough Council : This council’s strategy has a good example of a forward plan , describing key strategic objectives. 
• Kent County Council : This comprehensive plan has a good introduction, context, and purpose section. The vision and mission descriptions are first-class, and the strategy breakdown into thematic chapters is a great example of clear communication.

Start sooner rather than later

An asset management strategy drives improvements by comparing actual with ideal performance. By highlighting this performance gap and identifying priorities, best practices, and problem areas, the strategy sets goalposts for maintenance and other middle managers. 

It provides a clear case for change and sets expectations on timelines and results, providing a map for the organization to follow in the next three to five years. 

When done well, it supports constant incremental improvement for businesses that are intent on maintaining competitiveness through best-practice asset utilization.

To learn more about asset management and maintenance, keep browsing the Limble blog .

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Featured Asset Management

Creating a strategic asset management plan (samp) with five handy steps.

Manaswini Rao

An asset management strategy is a high-level, strategic plan that defines the framework for accomplishing asset management objectives in an organization. It includes asset acquisition, planning, and maintenance.

An effective asset management strategy helps asset managers optimize the value and performance of tangible and intangible assets throughout the asset lifecycle .

As a result, you can reduce asset downtime, save on repair costs, increase productivity, and boost profitability.

By the end of this article, you will learn how to develop a strategic asset management plan and ways to simplify it with a computerized maintenance management system (CMMS) .

Why is an asset management strategy important?

An asset management strategy helps you create a long-term asset maintenance plan which eases asset condition assessment and optimization.

The result is a better return on asset (ROA), improved decision-making, and efficient resource allocation.

• Improved decision-making: An asset management strategy equips you with critical asset information to inform decisions like asset shutdown, turnaround, and outage (STO) to repair or replacement to operating expense (OpEx) prioritization. So, you’re better able to combine financial and non-financial strategies for decision-making and meeting the asset management objectives of the organization.
• Reduced costs: An asset management strategy also puts checks in place to track under-used, duplicate, or overused assets. This knowledge of asset utilization drives your understanding of equipment health. For example, overused assets are more likely to experience breakdowns at frequent intervals and go through costly repairs. Linking preventive maintenance with an asset management strategy helps you ensure cost savings and reduce the total cost of ownership (TCO).
• Better resource allocation: An asset management strategy helps you identify which assets cause bottlenecks, those that need upgrades or replacements, and how you can use the assets at your disposal to reach facility goals and objectives with maximum efficiency.

What is strategic asset management?

Strategic asset management (SAM) is a top-down equipment management framework for long-term maintenance and operation planning.

This approach prioritizes long-term physical asset investments while balancing capital and operational expenditure from a total expenditure (TOTEX) standpoint.

An SAM framework provides a holistic view of current asset needs and what you’ll need 5, 10, or 20+ years down the line.

This framework gives you the data you need to make asset decisions that align with the company’s goals, instead of relying on budget and guesswork to manage assets.

Read  More: Integrate asset and energy management for real-time building performance

What does an asset management strategy include?

SAM dives deep into the following areas to help you maximize the return on every dollar you spend.

Asset inventory

Understanding the assets you own, their state, energy utilization, useful life, and whereabouts helps you create a single source of truth for all decisions.

If you’ve been using pen-and-paper inventory or spreadsheets to assign unique ID numbers and maintain asset records, it’s time to migrate to an asset management system.

An infrastructure asset management system simplifies the upkeep of asset information. Plus, it helps you form a basis for maintenance planning, resource allocation, and continuous assessment.

Asset prioritization

Assessing assets and how critical they are for smooth business operations is vital to asset management success. To rank assets, you need to answer two questions:

• What are the chances of any asset experiencing failure?
• What are the consequences of asset failure?

Set parameters to define the probability and consequences of an asset's failure. This will allow you to establish risk tolerance levels and rank assets by criticality. Also, concentrate on the most critical assets to get the most out of your investment.

Maintenance plans

Create maintenance schedules for each asset based on manufacturer recommendations, location, condition, and impact on operations.

For example, production assets running infrequently will benefit from corrective maintenance , whereas highly critical assets need total productive maintenance to stay in good shape.

Life cycle management

Prioritize maintenance for assets based on risk, energy consumption, cost of replacement, or whichever factor matters most to you.

This eases day-to-day resource management and reliability engineering for assets. Additionally, it helps you figure out the capital budget for asset upkeep as per operation and maintenance (O&M) manuals .

Performance monitoring

Your SAMP should also include a reliability-centered maintenance process that monitors asset conditions.

ISO 55000, the international asset management standard, requires you to report on asset performance and the effectiveness of the asset management system.

The best way to meet this requirement is to leverage both reactive and proactive monitoring.

• Reactive monitoring uses periodic audits to spot existing nonconformities in an asset management system and find asset deterioration, or failures.
• Proactive monitoring incorporates procedures in your asset monitoring process to find what’s affecting asset performance and reliability.

You can also use leading and lagging metrics, like energy usage per unit or labor hours per unit, to understand what needs breakdown maintenance or how to reduce failure-centric deficiencies.

SAMP is essential to determine which goals are realistic, or if you’ll have sufficient funds to maintain assets for the desired level of service.

Maintaining an asset register with asset-related transactions also helps you tackle fixed asset depreciation and asset revaluation for fiscal reporting.

Risk management

Define a risk tolerance policy to measure safety and environmental risks to inform contingency plans to address specific risks.

These elements help you consistently meet service levels, manage utilities without service interruptions, and generate predictable revenues.

Is your CMMS doing enough to keep your assets in excellent shape? 

Your legacy cmms is probably costing you time, productivity, and money., what are the pillars of an asset management strategy.

A good asset management strategy relies on five key pillars to boost asset productivity while minimizing asset costs.

• Asset classification involves registering and sorting assets systematically based on their properties and attributes for easy asset management.
• Centralized asset information means you have all important asset data in one place. Companies using spreadsheets to manage asset information often struggle with data redundancy. Using an enterprise asset management system improves your asset management efficiency.
• Asset indicators offer real-time insights into asset performance. Common maintenance KPIs include mean time to repair, mean time between failures, availability, and downtime. They tell you which assets are more reliable and which have the longest downtimes.
• Maintenance plan usually combines preventive, corrective, and predictive maintenance techniques.

You can leverage a CMMS to plan and automate key maintenance tasks like:

• Preventive maintenance scheduling
• Unplanned and planned maintenance management
• Work order management
• Asset inventory tracking
• Real-time asset performance monitoring
• Energy consumption tracking
• Maintenance reporting
• Asset calibration involves scheduling, planning, executing, and analyzing equipment calibrations. Consider setting and meeting due dates for internal and external calibrations.

Now that you know the what , let's focus on the how .

5 steps to develop an asset management strategy

As you build or refine your asset management strategy, use these steps to reduce expenses and maximize asset performance.

1. Review the organization’s structure

Start by understanding how your organization operates or makes investment decisions. Then, you can focus on creating asset management goals that align with business objectives. Consider presenting strategic ideas to management and staff to win their confidence and support.

2. Conduct an asset condition assessment

Periodic asset monitoring gives you crucial data on the condition of each asset in your facility. This data tells you if the asset needs preventive maintenance to reach its expected useful life.

3. Prepare and implement an asset management action plan

These asset management initiatives altogether help you create an action plan. This implementation plan must support the current business cycle.

4. Review and monitor your progress

With an asset management system, you can capture data about asset performance and use it to optimize investment decisions.

Progress monitoring also reveals critical areas that you should prioritize in the next enterprise asset management strategy planning cycle.

5. Get feedback from all stakeholders

Conduct panels and focus groups with staff to hear their thoughts on existing asset management processes. This feedback lets you develop more effective solutions to meet organizational expectations.

Creating, enforcing, and m0nitoring the effectiveness of your strategic asset management plan is simple with a CMMS software .

Leverage a CMMS to streamline and automate 360° asset lifecycle management

A CMMS centralizes asset maintenance and performance data so you can easily track asset utilization, improve ROA, and stay compliant.

Modern maintenance management software like Facilio’s Connected CMMS also use IoT and machine learning to understand asset health and performance, and proactively maintain them to keep them performing at their peak, and prolong useful life.

Further, it simplifies asset condition assessment and digitizes compliance to realize improved asset value. It also gives data-driven insights for optimizing performance, health, and energy efficiency for different assets.

Overtime, using machine learning algorithms, it understands the faults and failures an asset is prone to, and determines failure modes to help you proactively tend to its maintenance needs.

The mockup shows how, by analyzing root cause of failure and automatically creating work orders, Facilio helps you eliminate unplanned equipment downtimes.

If you’d like to learn more about how Facilio’s Connected CMMS can help your organization switch from reactive to proactive maintenance, and keep your assets healthy and productive, our product experts are only a click away!

Keeping your assets humming along is simple with Facilio.

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• Equipment Financing
• Posted on December 31, 2022
• Kortney Murray

The first step in asset planning is, of course, to create the plan . An asset management plan will serve as a road map for you and your company to carry out your asset management strategy.  Not sure how to get started?

In this article, we will lay out five essential steps to building an asset management plan for your organization. 

What is an Asset Management Plan (AMP)?

But first, what exactly is an asset management plan (AMP)? An AMP is an organizational plan that defines the actions that will be taken to develop, operate, maintain, upgrade, and dispose of company assets. It will also define what resources will be applied to carry out these objectives.

All of this will be done most cost-effectively through the analysis of all the costs, risks, and performance attributes associated with the assets.  An AMP can be created for an individual asset, a portfolio of assets, a group of assets, or a class of assets.

It should keep in mind all timelines of each asset to extract as much value from each.  In simple terms, with an AMP, you will summarize the goals of each asset’s life cycle, then break down weekly, monthly, and yearly tasks to help achieve those goals.

So why should you create an AMP? Well, not only does it act as a guide for important decision-making processes, but you will also find there are many benefits to your business. 

Benefits of Asset Management

Here are some of the most common benefits companies will experience when undergoing asset management processes: 

• Reduction of customer complaints
• Increases customer value
• Improves efficiency
• Helps create a budget for the future
• Ensures compliance with regulations and industry standards
• Assets are well-maintained
• Reduces loss
• Prevents theft

Sounds good? Great! But what if you don’t have the organizational skills to come up with an AMP? You can consult an asset management firm to help you. These experts can provide you with more information to help organize and manage your assets. 

But if you are ready to dive in yourself, check out the following 5 steps to building an asset management plan for your business. 

1. Come Up With A Strategy

If your organization does not already have one in place, you will first want to come up with an asset management strategy. To do so, you will need to:

• Assess stakeholder needs: Identify and prioritize the people who will be affected by your AMP. Then do a stakeholder analysis to assess how stakeholder interests should be addressed in your plan. 
• Do a SWOT analysis/risk assessment: Analyze SWOT (strengths, weaknesses, opportunities, and threats) in your organization. This will help you identify and analyze the factors that can shape current and future operations. 

After these assessments, you can go about creating the following:

• Policy and Objectives: These should outline how your company will value, support, use, and implement asset management activities. Make sure the owner/most senior staff member signs off on this document!
• Strategic Asset Management Plan (SAMP): This organizational strategy document will highlight the objectives you want to achieve in your asset management strategy . Outline the tactics your organization will take to convert organizational objectives into asset management objectives. In the SAMP, focus on identifying your assets, defining stakeholders’ needs, and connecting these things to other plans or standards. 

2. Analyze and Record Current Assets

As you are completing your SAMP, you will also want to do a complete asset inventory of your current assets. This will bring an awareness of what exactly you’ll be managing. Your asset inventory should include the following information:

• Asset description
• Asset location
• Current asset value
• Purchase date
• Estimated useful life

Complete an asset register recording all your current assets. The asset register should outline how and what asset data should be collected throughout its lifecycle.  It is most helpful to input the register into an Enterprise Asset Management (EAM) system, or a Computerized Maintenance Management System (CMMS).

Having asset management software to keep track of your assets will save lots of time, keep you organized, and prevent errors from occurring.  As you record your assets, make sure to assess the condition of each item and how critical they are in implementing the company’s needs.

Having a grasp on the current state of your assets will allow you to schedule maintenance as needed. It can also help you specify how much you want to invest in each asset for the needs of your organization.  For instance, ask yourself how long you will allow the depreciation of your equipment until you renew or replace it.

If possible, circle back on an annual basis to best optimize each critical asset’s maintenance plan. This will help ensure the asset is getting the exact care and maintenance it needs to reach organizational objectives. And you’ll save some money in the long run. 

It is also helpful to be aware of how important each asset is. What would happen if it failed to perform its function? If it would upset the workflow of the whole business, you will need to prioritize it above other less important assets. 

3. Calculate Asset Costs

To figure out an asset’s value, not only will you need the asset’s purchase price, but you will also need to assess other asset life-cycle costs. This is a part of lifecycle management. Getting as accurate as possible with your asset costs will directly relate to an effective and efficient AMP. 

To calculate total asset costs, you will need to know things like:

• Maintenance costs
• If the asset is a capital asset or an expense
• Condition and performance modeling
• Disposal costs

From there, you can determine the cost, quality, quantity, efficiency, reliability, function, capacity, and safety of the services you will provide your assets. It is important that your AMP is able to match the level of service that assets provide to the customers’ expectations. You will need to find the balance between the cost to deliver the asset and the level required.

Think about the following: 

• How do the business’s goals impact the asset’s service levels?
• How do regulatory requirements impact service levels?
• What level of service is the asset currently getting?
• Does the service level meet the needs and expectations of the asset’s users?
• If that level of service could change, how, and if there is enough funding for it?
• How much does it cost to service the asset annually?

Once you’ve determined the levels of service you want to achieve, use a lifecycle modeling tool to help you come up with a financial plan for maintenance, renewal, or replacement for each asset.  Factor in any forecasted growth.

Is the demand for the assets expected to increase or decrease? What investments will you need in the future to reach the expected demand? Also, prepare for any possible contingencies.  With all of this information, create a five-year plan, a 10-year plan, or even a 20-year plan.

Include the following: 

• Background information: Include the asset’s age, size, capacity, condition, performance, current value, and previous management summaries. 
• Risk management plan: List any possible risks that can affect the service delivered by the asset. Do the risks threaten any of the business’s objectives? How will the risk be identified and evaluated? What measures will be taken to mitigate those risks?
• Operating plan: Define the strategies to maintain the required service levels, determine which operational tasks will be a priority, and summarize any possible future costs of operation. 
• Asset maintenance plans: Define the maintenance strategies necessary to maintain the required service levels, determine which maintenance tasks are a priority, and summarize any possible future costs of planned maintenance. Include any expenditures that will be for the restoration, replacement, or renewal of an existing to be restored to its original capacity. 
• Capital planning: Name any possible new investments that will create a new asset or upgrade or improve an existing one to a higher potential. If you need help with this section, you may want to consult an investment advisory service with registered investment advisors on staff.
• Disposal plan: Figure out in which ways you will want to dispose of an asset that has reached the end of its useful life. Will it be sold, demolished, or relocated? Consider when you will be disposing of these assets and how much it will cost to dispose of them. 

Make sure to keep this data up-to-date by reviewing and updating it quarterly. Then track any changes that have occurred every year. 

4. Implement Proactive Asset Management

Using the data collected from the previous steps, come up with an asset management plan that is the most cost-effective and proactive. Plan when to do preventative maintenance or repairs for each critical asset. Also, plan when to dispose of and replace the asset after its estimated life cycle is over.

Having a plan in place will inevitably increase asset performance long term. The Annual Works Plan will give you a short-term plan for those assets that need preventative maintenance. Make sure that you are following the guidelines of the manufacturer to ensure you follow the timeline of expected repairs.

There may also be some statutory requirements for the asset that you must follow.  You can, however, modify the expected plans in case it benefits your business in some way.  Once your Annual Works Plan is completed, you can establish work orders to carry out the scheduled maintenance.

This can be done on a daily or weekly basis, or as needed. It will be helpful to have some kind of planner or scheduler or staff member to keep up with these work orders.  After implementing your plan, take a step back to see if it is helping you achieve the outcomes you were looking for from your AMP.

Look closely to see if the plan helped shaved off any extra costs or avoided any risk. Are you getting the most efficiency and effectiveness possible out of your resources? It can help if you can establish a good working relationship with your contractor and procurement teams.

Ensure you are getting the best resources for each maintenance job. Be communicative about the work being done to improve the chances of it being done most effectively and efficiently.  To increase the ability of workers and staff to plan, assign, and carry out maintenance, use a mobile work order application .

If all members have the same application, this will be a far less hassle than sourcing data from completed jobs, then manually entering them into your current system. 

5. Make A Long-term Financial Plan

Having your asset management systems in place will help you plan your business’s finances long-term. With all the information accurate and organized, now is the time to look further down the line.

With a long-term financial plan, you will be able to speculate whether your current asset management objectives are feasible. Then you can make adjustments as needed. 

In your long-term financial plan: 

• Include and summarize all the financial requirements to manage assets
• Include cash flow forecasts for the next one to five years
• Provide in detail how assets should be treated in the long-term scenario (as capital or expense)
• Determine the best funding strategies and when to implement them 

If necessary, contact a financial advisor to help determine when and if you may need additional funding. They can also help you tweak your plan to have a more accessible financial flow. Need more financing ? Here at Coastal Kapital, we can help.

Road Map to Success

Asset planning may sound complicated. But if you break down the five steps we’ve laid out, you will find that once you’ve got a process in place, your company will turn into a well-oiled machine. Having a strategy will allow a unified vision for your staff to work from.

Then defining your assets in detail, calculating their life-cycle costs, and planning proactive management will ensure each asset is getting the level of care to perform at its best. And finally, completing the long-term financial plan will give you an idea of any roadblocks you may encounter along the way, allowing a clear road map to success (and profit !). 

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Every business has its own set of assets. Holding assets is a part of any enterprise in the public or private sector. It’s important that business owners know what theirs are as they need to know the best ways in which they can use them. You can also like management plans in PDF . In order for them to do that, they’ll also need to come up with a simple plan that will allow them to make full use of whatever business assets they happen to have. And that’s why this article is going to teach you how to come up with an asset maintenance plan template.

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How to write a business plan for a fund management company?

Creating a business plan for a fund management company is an essential process for any entrepreneur. It serves as a roadmap that outlines the necessary steps to be taken to start or grow the business, the resources required, and the anticipated financial outcomes. It should be crafted with method and confidence.

This guide is designed to provide you with the tools and knowledge necessary for creating a fund management company business plan, covering why it is so important both when starting up and running an established business, what should be included in your plan, how it should be structured, what tools should be used to save time and avoid errors, and other helpful tips.

We have a lot to cover, so let's get to it!

In this guide:

Why write a business plan for a fund management company?

• What information is needed to create a business plan for a fund management company?
• What goes in the financial forecast for a fund management company?
• What goes in the written part of a fund management company business plan?
• What tool can I use to write my fund management company business plan?

Understanding the document's scope and goals will help you easily grasp its structure and content. Before diving into the specifics of the plan, let's take a moment to explore the key reasons why having a fund management company business plan is so crucial.

To have a clear roadmap to grow the business

Small businesses rarely experience a constant and predictable environment. Economic cycles go up and down, while the business landscape is mutating constantly with new regulations, technologies, competitors, and consumer behaviours emerging when we least expect it.

In this dynamic context, it's essential to have a clear roadmap for your fund management company. Otherwise, you are navigating in the dark which is dangerous given that - as a business owner - your capital is at risk.

That's why crafting a well-thought-out business plan is crucial to ensure the long-term success and sustainability of your venture.

To create an effective business plan, you'll need to take a step-by-step approach. First, you'll have to assess your current position (if you're already in business), and then identify where you'd like your fund management company to be in the next three to five years.

Once you have a clear destination for your fund management company, you'll focus on three key areas:

• Resources: you'll determine the human, equipment, and capital resources needed to reach your goals successfully.
• Speed: you'll establish the optimal pace at which your business needs to grow if it is to meet its objectives within the desired timeframe.
• Risks: you'll identify and address potential risks you might encounter along the way.

By going through this process regularly, you'll be able to make informed decisions about resource allocation, paving the way for the long-term success of your business.

To maintain visibility on future cash flows

Businesses can go for years without making a profit, but they go bust as soon as they run out of cash. That's why "cash is king", and maintaining visibility on your fund management company's future cash flows is critical.

How do I do that? That's simple: you need an up-to-date financial forecast.

The good news is that your fund management company business plan already contains a financial forecast (more on that later in this guide), so all you have to do is to keep it up-to-date.

To do this, you need to regularly compare the actual financial performance of your business to what was planned in your financial forecast, and adjust the forecast based on the current trajectory of your business.

Monitoring your fund management company's financial health will enable you to identify potential financial problems (such as an unexpected cash shortfall) early and to put in place corrective measures. It will also allow you to detect and capitalize on potential growth opportunities (higher demand from a given segment of customers for example).

To secure financing

Crafting a comprehensive business plan for your fund management company, whether you're starting up or already established, is paramount when you're seeking financing from banks or investors.

Given how fragile small businesses are, financiers will want to ensure that you have a clear roadmap in place as well as command and control of your future cash flows before entertaining the idea of funding you.

For banks, the information in your business plan will be used to assess your borrowing capacity - which is defined as the maximum amount of debt your business can afford alongside your ability to repay the loan. This evaluation helps them decide whether to extend credit to your business and under what terms (interest rate, duration, repayment options, collateral, etc.).

Similarly, investors will thoroughly review your plan to determine if their investment can yield an attractive return. They'll be looking for evidence that your fund management company has the potential for healthy growth, profitability, and consistent cash flow generation over time.

Now that you understand the importance of creating a business plan for your fund management company, let's delve into the necessary information needed to craft an effective plan.

Information needed to create a business plan for a fund management company

You need the right data in order to project sales, investments and costs accurately in the financial forecast of your fund management company business plan.

Below, we'll cover three key pieces of information you should gather before drafting your business plan.

Carrying out market research for a fund management company

As you consider writing your business plan for a fund management company, conducting market research becomes a vital step to ensure accurate and realistic financial projections.

Market research provides valuable insights into your target customer base, competitors, pricing strategies, and other key factors that can significantly impact the commercial success of your business.

Through this research, you may uncover trends that could influence your fund management company.

You could discover that your fund management company may need to focus more on digital marketing strategies, as research might reveal that more and more people are investing online. Additionally, research might indicate that investors may be looking for more diverse investment options, so you may need to adjust your offerings accordingly.

Such market trends play a significant role in forecasting revenue, as they offer valuable data about potential customers' spending habits and preferences.

By incorporating these findings into your financial projections, you can present investors with more accurate information, helping them make informed decisions about investing in your fund management company.

Developing the sales and marketing plan for a fund management company

As you embark on creating your fund management company business plan, it is crucial to budget sales and marketing expenses beforehand.

A well-defined sales and marketing plan should include precise projections of the actions required to acquire and retain customers. It will also outline the necessary workforce to execute these initiatives and the budget required for promotions, advertising, and other marketing efforts.

This approach ensures that the appropriate amount of resources is allocated to these activities, aligning with the sales and growth objectives outlined in your business plan.

The staffing and capital expenditure requirements of a fund management company

Whether you are starting or expanding a fund management company, it is important to have a clear plan for recruitment and capital expenditures (investment in equipment and real estate) in order to ensure the success of the business.

Both the recruitment and investment plans need to be coherent with the timing and level of growth planned in your forecast, and require appropriate funding.

A fund management company might incur the cost of hiring fund managers, portfolio managers, and administrative staff. Additionally, they may need to purchase financial software, analytical tools, and other equipment necessary for the efficient management of their funds.

In order to create a realistic financial forecast, you will also need to consider the other operating expenses associated with running the business on a day-to-day basis (insurance, bookkeeping, etc.). 

Once you have all the necessary information to create a business plan for your fund management company, it is time to start creating your financial forecast.

What goes into your fund management company's financial forecast?

The objective of the financial forecast of your fund management company's business plan is to show the growth, profitability, funding requirements, and cash generation potential of your business over the next 3 to 5 years.

The four key outputs of a financial forecast for a fund management company are:

• The profit and loss (P&L) statement ,
• The projected balance sheet ,
• The cash flow forecast ,
• And the sources and uses table .

Let's look at each of these in a bit more detail.

The projected P&L statement

The projected P&L statement for a fund management company shows how much revenue and profit your business is expected to make in the future.

A healthy fund management company's P&L statement should show:

• Sales growing at (minimum) or above (better) inflation
• Stable (minimum) or expanding (better) profit margins
• A healthy level of net profitability

This will of course depend on the stage of your business: numbers for a startup will look different than for an established fund management company.

The projected balance sheet of your fund management company

The balance sheet for a fund management company is a financial document that provides a snapshot of your business’s financial health at a given point in time.

It shows three main components: assets, liabilities and equity:

• Assets: are resources owned by the business, such as cash, equipment, and accounts receivable (money owed by clients).
• Liabilities: are debts owed to creditors and other entities, such as accounts payable (money owed to suppliers) and loans.
• Equity: includes the sums invested by the shareholders or business owners and the cumulative profits and losses of the business to date (called retained earnings). It is a proxy for the value of the owner's stake in the business.

Examining the balance sheet is important for lenders, investors, or other stakeholders who are interested in assessing your fund management company's liquidity and solvency:

• Liquidity: assesses whether or not your business has sufficient cash and short-term assets to honour its liabilities due over the next 12 months. It is a short-term focus.
• Solvency: assesses whether or not your business has the capacity to repay its debt over the medium-term.

Looking at the balance sheet can also provide insights into your fund management company's investment and financing policies.

In particular, stakeholders can compare the value of equity to the value of the outstanding financial debt to assess how the business is funded and what level of financial risk has been taken by the owners (financial debt is riskier because it has to be repaid, while equity doesn't need to be repaid).

The cash flow forecast

As we've seen earlier in this guide, monitoring future cash flows is the key to success and the only way of ensuring that your fund management company has enough cash to operate.

As you can expect showing future cash flows is the main role of the cash flow forecast in your fund management company business plan.

It is best practice to organise the cash flow statement by nature in order to show the cash impact of the following areas:

• Cash flow generated from operations: the operating cash flow shows how much cash is generated or consumed by the business's commercial activities
• Cash flow from investing activities: the investing cash flow shows how much cash is being invested in capital expenditure (equipment, real estate, etc.) either to maintain the business's equipment or to expand its capabilities
• Cash flow from financing activities: the financing cash flow shows how much cash is raised or distributed to financiers

Looking at the cash flow forecast helps you to make sure that your business has enough cash to keep running, and can help you anticipate potential cash shortfalls.

Your fund management company business plan will normally include both yearly and monthly cash flow forecasts so that the readers can view the impact of seasonality on your business cash position and generation.

The initial financing plan

The initial financing plan, also known as a sources and uses table, is a valuable resource to have in your business plan when starting your fund management company as it reveals the origins of the money needed to establish the business (sources) and how it will be allocated (uses).

Having this table helps show what costs are involved in setting up your fund management company, how risks are shared between founders, investors and lenders, and what the starting cash position will be. This cash position needs to be sufficient to sustain operations until the business reaches a break-even point.

Now that you have a clear understanding of what goes into the financial forecast of your fund management company business plan, let's shift our focus to the written part of the plan.

The written part of a fund management company business plan

The written part of the business plan is where you will explain what your business does and how it operates, what your target market is, whom you compete against, and what strategy you will put in place to seize the commercial opportunity you've identified.

Having this context is key for the reader to form a view on whether or not they believe that your plan is achievable and the numbers in your forecast realistic.

The written part of a fund management company business plan is composed of 7 main sections:

• The executive summary
• The presentation of the company
• The products and services
• The market analysis
• The strategy
• The operations
• The financial plan

Let's go through the content of each section in more detail!

1. The executive summary

The first section of your fund management company's business plan is the executive summary which provides, as its name suggests, an enticing summary of your plan which should hook the reader and make them want to know more about your business.

When writing the executive summary, it is important to provide an overview of the business, the market, the key financials, and what you are asking from the reader.

Start with a brief introduction of the business, its name, concept, location, how long it has been in operation, and what makes it unique. Mention any services or products you plan to offer and who you sell to.

Then you should follow with an overview of the addressable market for your fund management company, current trends, and potential growth opportunities.

You should then include a summary of your key financial figures such as projected revenues, profits, and cash flows.

Finally, you should detail any funding requirements in the ask section.

2. The presentation of the company

In your fund management company business plan, the second section should focus on the structure and ownership, location, and management team of your company.

In the structure and ownership part, you'll provide an overview of the business's legal structure, details about the owners, and their respective investments and ownership shares. This clarity is crucial, especially if you're seeking financing, as it helps the reader understand which legal entity will receive the funds and who controls the business.

Moving on to the location part, you'll offer an overview of the company's premises and their surroundings. Explain why this particular location is of interest, highlighting factors like catchment area, accessibility, and nearby amenities.

When describing the location of your fund management company, you may want to highlight the potential for growth in the area. You could mention the presence of a strong market with a wide range of businesses, as well as the availability of qualified professionals to help manage the fund. You could also emphasize the potential for access to capital from multiple sources, as well as the potential for long-term investments. Additionally, you might want to talk about the potential for a large, diverse customer base in the area. All of these factors could make the location an attractive choice for third-party financiers.

Finally, you should introduce your management team. Describe each member's role, background, and experience.

Don't forget to emphasize any past successes achieved by the management team and how long they've been working together. Demonstrating their track record and teamwork will help potential lenders or investors gain confidence in their leadership and ability to execute the business plan.

3. The products and services section

The products and services section of your business plan should include a detailed description of the offerings that your company provides to its customers. 

For example, your fund management company could offer services such as portfolio diversification, asset allocation advice, and portfolio risk analysis. These services would help customers to make informed decisions about their investments and provide them with the guidance and tools they need to manage their investments. Additionally, your fund management company could offer retirement planning services such as helping customers to create a retirement plan, retirement income planning, and Social Security benefits advice. These services would help customers plan and prepare for their retirement years.

When drafting this section, you should be precise about the categories of products or services you sell, the types of customers you are targeting and how customers can buy them.

4. The market analysis

When you present your market analysis in your fund management company business plan, it's crucial to include detailed information about customers' demographics and segmentation, target market, competition, barriers to entry, and any relevant regulations.

The main objective of this section is to help the reader understand the size and attractiveness of the market while demonstrating your solid understanding of the industry.

Begin with the demographics and segmentation subsection, providing an overview of the addressable market for your fund management company, the key trends in the marketplace, and introducing different customer segments along with their preferences in terms of purchasing habits and budgets.

Next, focus on your target market, zooming in on the specific customer segments your fund management company aims to serve and explaining how your products and services fulfil their distinct needs.

For example, your target market might include high net worth individuals. These are individuals with a net worth greater than $1 million or an annual income of more than $200,000. These customers have a large amount of liquid capital available and are willing to invest in funds that have the potential to generate high returns.

Then proceed to the competition subsection, where you introduce your main competitors and highlight what sets you apart from them.

Finally, conclude your market analysis with an overview of the key regulations applicable to your fund management company.

5. The strategy section

When writing the strategy section of a business plan for your fund management company, it is essential to include information about your competitive edge, pricing strategy, sales & marketing plan, milestones, and risks and mitigants.

The competitive edge subsection should explain what sets your company apart from its competitors. This part is especially key if you are writing the business plan of a startup, as you have to make a name for yourself in the marketplace against established players.

The pricing strategy subsection should demonstrate how you intend to remain profitable while still offering competitive prices to your customers.

The sales & marketing plan should outline how you intend to reach out and acquire new customers, as well as retain existing ones with loyalty programs or special offers. 

The milestones subsection should outline what your company has achieved to date, and its main objectives for the years to come - along with dates so that everyone involved has clear expectations of when progress can be expected.

The risks and mitigants subsection should list the main risks that jeopardize the execution of your plan and explain what measures you have taken to minimize these. This is essential in order for investors or lenders to feel secure in investing in your venture.

Your fund management company faces certain risks in its operations. One risk is the potential loss of assets due to a cyber attack. With the increasing sophistication of cyber criminals, your company could become a target of malicious actors. Furthermore, your company may face market risk due to fluctuations in the financial market. Economic downturns or market crashes could lead to a decrease in the value of the assets managed by your company.

6. The operations section

The operations of your fund management company must be presented in detail in your business plan.

Begin by addressing your staff, specifying the main roles and your recruitment plan to support the anticipated growth. Outline the qualifications and experience needed for each role and discuss your recruitment strategies, which may involve using job boards, referrals, or headhunters.

Next, clearly state your fund management company's operating hours, allowing the reader to gauge the adequacy of your staffing levels. Additionally, mention any considerations for varying opening times during peak seasons and your approach to handling customer queries outside regular operating hours.

The key assets and intellectual property (IP) required to run your business should also be highlighted. If you rely on licenses, trademarks, physical structures like equipment or property, or lease agreements, ensure they are well-documented in this section.

You may have key assets such as proprietary algorithms and software for fund performance analysis, as well as a database of customer and financial data. As for IP, you could have rights to unique investment strategies and fund management techniques, as well as valuable trademarks and logos. These assets and IP could be essential to success in the fund management industry.

Finally, provide a comprehensive list of suppliers you intend to collaborate with, along with a breakdown of their services and main commercial terms, such as price, payment terms, break clauses and contract duration. Investors often seek insight into the reasons behind your supplier choices, which may include a preference for higher-quality products or established relationships from past ventures.

7. The presentation of the financial plan

The financial plan section is where we will include the financial forecast we discussed earlier in this guide.

Now that you have a clear idea of what goes into a fund management company business plan, let's look at some of the tools you can use to create yours efficiently.

What tool should I use to write my fund management company's business plan?

In this section, we will be reviewing the two main options for writing a fund management company business plan efficiently:

• Using specialized software,
• Outsourcing the drafting to the business plan writer.

Using an online business plan software for your fund management company's business plan

Using online business planning software is the most efficient and modern way to create a fund management company business plan.

There are several advantages to using specialized software:

• You can easily create your financial forecast by letting the software take care of the financial calculations for you without errors
• You are guided through the writing process by detailed instructions and examples for each part of the plan
• You can access a library of dozens of complete business plan samples and templates for inspiration
• You get a professional business plan, formatted and ready to be sent to your bank or investors
• You can easily track your actual financial performance against your financial forecast
• You can create scenarios to stress test your forecast's main assumptions
• You can easily update your forecast as time goes by to maintain visibility on future cash flows
• You have a friendly support team on standby to assist you when you are stuck

If you're interested in using this type of solution, you can try The Business Plan Shop for free by signing up here .

Hiring a business plan writer to write your fund management company's business plan

Outsourcing your fund management company business plan to a business plan writer can also be a viable option.

Business plan writers are skilled in creating error-free business plans and accurate financial forecasts. Moreover, hiring a consultant can save you valuable time, allowing you to focus on day-to-day business operations.

However, it's essential to be aware that hiring business plan writers will be expensive, as you're not only paying for their time but also the software they use and their profit margin.

Based on experience, you should budget at least £1.5k ($2.0k) excluding tax for a comprehensive business plan, and more if you require changes after initial discussions with lenders or investors.

Also, exercise caution when seeking investment. Investors prefer their funds to be directed towards business growth rather than spent on consulting fees. Therefore, the amount you spend on business plan writing services and other consulting services should be insignificant compared to the amount raised.

Keep in mind that one drawback is that you usually don't own the business plan itself; you only receive the output, while the actual document is saved in the consultant's business planning software. This can make it challenging to update the document without retaining the consultant's services.

For these reasons, carefully consider outsourcing your fund management company business plan to a business plan writer, weighing the advantages and disadvantages of seeking outside assistance.

Why not create your fund management company's business plan using Word or Excel?

Using Microsoft Excel and Word (or their Google, Apple, or open-source equivalents) to write a fund management company business plan is a terrible idea.

For starters, creating an accurate and error-free financial forecast on Excel (or any spreadsheet) is very technical and requires both a strong grasp of accounting principles and solid skills in financial modelling.

As a result, it is unlikely anyone will trust your numbers unless - like us at The Business Plan Shop - you hold a degree in finance and accounting and have significant financial modelling experience in your past.

The second reason is that it is inefficient. Building forecasts on spreadsheets was the only option in the 1990s and early 2000s, nowadays technology has advanced and software can do it much faster and much more accurately.

And with the rise of AI, software is also becoming smarter at helping us detect mistakes in our forecasts and helping us analyse the numbers to make better decisions.

Also, using software makes it easy to compare actuals vs. forecasts and maintain our forecasts up to date to maintain visibility on future cash flows - as we discussed earlier in this guide - whereas this is a pain to do with a spreadsheet.

That's for the forecast, but what about the written part of my fund management company business plan?

This part is less error-prone, but here also software brings tremendous gains in productivity:

• Word processors don't include instructions and examples for each part of your business plan
• Word processors don't update your numbers automatically when they change in your forecast
• Word processors don't handle the formatting for you

Overall, while Word or Excel may be viable options for creating a fund management company business plan for some entrepreneurs, it is by far not the best or most efficient solution.

• Using business plan software is a modern and cost-effective way of writing and maintaining business plans.
• A business plan is not a one-shot exercise as maintaining it current is the only way to keep visibility on your future cash flows.
• A business plan has 2 main parts: a financial forecast outlining the funding requirements of your fund management company and the expected growth, profits and cash flows for the next 3 to 5 years; and a written part which gives the reader the information needed to decide if they believe the forecast is achievable.

We hope that this in-depth guide met your expectations and that you now have a clear understanding of how to write your fund management company business plan. Do not hesitate to contact our friendly team if you have questions additional questions we haven't addressed here.

Also on The Business Plan Shop

• How to write a business plan to secure a bank loan?
• Key steps to write a business plan?
• Top mistakes to avoid in your business plan

Do you know entrepreneurs interested in starting or growing a fund management company? Share this article with them!

Founder & CEO at The Business Plan Shop Ltd

Guillaume Le Brouster is a seasoned entrepreneur and financier.

Guillaume has been an entrepreneur for more than a decade and has first-hand experience of starting, running, and growing a successful business.

Prior to being a business owner, Guillaume worked in investment banking and private equity, where he spent most of his time creating complex financial forecasts, writing business plans, and analysing financial statements to make financing and investment decisions.

Guillaume holds a Master's Degree in Finance from ESCP Business School and a Bachelor of Science in Business & Management from Paris Dauphine University.

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Business Plan for an Investment Company

DEC.20, 2022

1. Investment company Business Plan For Starting Your Own Business

The sample business plan for an investment company outlines the creation of an investment company. The company’s mission is to provide clients with access to a wide range of investment opportunities, including stocks, bonds, mutual funds, and alternative investments. The company will also provide financial planning and wealth management services, including portfolio design, asset allocation, and risk management strategies.

The Investment Company’s business plan includes strategies for marketing and advertising, financial projections, and a detailed description of the company’s services and fees. This is the business Plan for Investors who want to invest in a company with a significant probability of success.

2. Sources Of Financing For Investment Firms

In writing a business plan for an investment company, the sources of financing for investment firms typically include private investors, venture capital firms, angel investors, crowdfunding, and debt capital. Private investors are individuals or groups who invest in the company in exchange for equity or a portion of the profits. Venture capital firms provide financing and advice to companies in exchange for equity. Angel investors are wealthy individuals or groups who invest in companies in exchange for equity. Crowdfunding involves the collection of small amounts of money from a large group of people. Debt capital is a loan secured by the company’s assets and must be repaid with interest.

The most common sources of financing for investment firms are debt financing, equity financing, and derivatives. Debt financing involves loans from banks, other lending institutions, or private investors. Equity financing involves the issuance of stock to raise capital. Derivatives are contracts between two parties that derive their value from an underlying asset or benchmark.

The most important source of financing for an investment company in the business plan investment company is the capital that the company brings in from its own operations.

3. Executive Summary Of Investment Company Business Plan

The business.

The new investment company business plan for an Investment Company is designed to provide an overview of our company’s mission and objectives. We are a full-service investment firm that specializes in providing comprehensive financial advice and services to individuals, families, and business owners. We aim to maximize investment returns and increase our clients’ net worth.

We plan to provide a wide range of services, including portfolio management, asset allocation, retirement planning, estate planning, tax planning, and general financial planning.

Management Of Investment Company

The investment company business plan outlines the management team of experienced financial and legal professionals committed to providing the highest quality of investment management services. Our goal is to create a fully integrated, world-class investment company that provides our clients with a range of innovative and tailored investment solutions.

Customers Of Investment Company

In the investment company business plan template, the customers of our investment company will be individuals, small businesses, and institutions that are looking for a trusted financial partner to help them manage and grow their wealth. We will offer our clients a wide range of services, including portfolio management, retirement planning, estate planning, tax planning, and philanthropic planning. Our goal is to provide our clients with the best advice, products, and services to help them meet their financial goals.

Business Target

The business target for our investment company is to create long-term capital appreciation and wealth for our investors by making prudent investments in start-up and established businesses. Our goal is to be a reliable and trusted partner for our investors and maximize their investment return.

4. Investment Company Summary

Company owner.

Our investment company, JS Investment Group, is owned and operated by John Smith. John Smith is a highly experienced investor and entrepreneur who has successfully founded and managed several small investment company business plans. He deeply understands the investment industry and is passionate about helping others achieve success through strategic investments.

Why The Investment Company Is Being Started

The primary reason for starting an investment company in an investment company business plan sample is to provide clients with a safe and secure place to invest their money. With a wide range of investment options available, our team of experienced financial professionals can help clients make informed decisions about their investments. We also plan to provide clients with up-to-date market analysis and research.

How The Investment Company Will Be Started

The company will seek to raise capital through debt and equity financing. Equity financing will come from the founders and outside investors. The company will also seek to raise capital through debt financing, which will be used to fund the startup costs and ongoing operations of the company. In the business plan for the investment holding company, the company will focus on providing quality investment advice and services to its clients.

The Investment company owner John Smith estimates startup costs based on assets, investments, loans, and expenses in collaboration with financial experts.

JS Investment Group’s start-up requirements include total startup expenses, total assets, total start-up funding, total funding requirements, total assets, total liabilities, total planned investment, total capital, total liabilities, and total funding.

5. Services of Investment Company

The product description section in a business plan for an investment banking company includes services. However, below are the all services offered by our investment company include:

• Investment Advisory: Providing tailored advice and strategies to meet individual, business, and corporate clients’ investment goals.
• Investment Management: The business plan for an investment banking company provides services of designing, constructing, and managing bespoke portfolios for clients, as well as providing ongoing monitoring and rebalancing services.
• Mutual Fund Management: The business plan for an investment management company offers selecting and monitoring mutual funds for clients, as well as providing risk management and portfolio diversification services.
• Estate Planning: Developing strategies for both tax and non-tax-related estate planning objectives.
• Retirement Planning: Assisting clients with the creation of retirement plans and investments to meet their retirement income needs.
• Financial Planning: Helping clients to prepare for their financial future by creating strategies that integrate their investment, tax, insurance, and estate planning goals.
• Risk Management: Identifying and managing investment risks to help clients reach their financial goals.
• Portfolio Analysis: Examining and evaluating portfolios to ensure they are in line with the client’s investment objectives.
• Tax Planning: Developing strategies to minimize the client’s tax liability and maximize after-tax returns.
• Asset Allocation: Designing and implementing asset allocation strategies to help clients meet their long-term financial goals.

6. Marketing Analysis

A marketing analysis is an important part of a sample business plan for an investment company. This analysis provides information on the market in which the company operates, including the size and growth of the market, the competition, and potential growth opportunities.

The investment company market is highly competitive, as investors have a wide range of options when it comes to deciding where to invest their money.

The company will face competition from both traditional and online investment companies. Traditional investment companies offer services such as portfolio management and financial planning. Online investment companies offer services such as stock trading and portfolio management.

In addition to traditional investment companies, investors can choose from online brokers, mutual funds, and other alternative investments. As a result, it is important for an investment company to differentiate itself from the competition and to create a strong value proposition for its customers.

The investment industry is expected to continue to grow as people become more aware of the need for financial planning and the importance of investing.

Market Trends

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In order to compete effectively in the investment company market, it is important to understand the current market trends and identify areas of opportunity.

In the investment company business plan example, one of the most important trends to consider is the shift towards more technology-driven investment strategies. This trend is driven by advancements in technology and increased access to data, which has enabled more sophisticated portfolio management techniques.

Additionally, many investors are increasingly looking to alternative investments such as cryptocurrency, venture capital, and private equity as a way of diversifying their portfolios. Furthermore, an increasing number of investors are turning to online trading platforms as a way of managing their investments. Finally, it is important to consider the potential impact of environmental, social, and governance (ESG) investing on the industry, as ESG-focused investments are gaining traction in the financial markets.

Marketing Segmentation

In the private investment company business plan, the company will target a wide range of potential customers, including individual investors, high-net-worth individuals, family offices, and institutional investors. Each of these customer segments will require different strategies and services, so the company will tailor its marketing and services accordingly.

For individual investors, the company will focus on providing personalized services that are tailored to the specific needs and investment goals of each client. The company will also provide educational resources and tools to help clients make informed decisions about their investments.

For high-net-worth individuals, the company will focus on providing personalized portfolio construction and asset management services.

We plan to target high-net-worth, individuals and institutional clients who are looking for a more personalized approach to investing. We will use a combination of traditional and alternative investment strategies to provide our clients with the best return on their investments. We plan to use our extensive network of banks and other financial institutions to secure the most attractive terms for our clients.

We have identified three key areas of focus when it comes to our business plan. First, we plan to build a strong customer base by offering superior customer service and customer education. Second, we plan to develop our own proprietary financial products and services to offer our clients. Finally, we plan to focus on developing relationships with banks and other financial institutions to ensure that we can offer the best terms for our clients.

Product Pricing

JS Investment Group will use a combination of fixed fees and performance-based fees for our services. For our portfolio management and asset allocation services, we will charge a flat fee of 1% of the total assets under management. For our investment research and risk management services, we will charge a fixed fee of $250 per hour.

For our performance-based fees, we will charge a 20% fee on any profits earned by our clients. This fee will be applied on a quarterly basis and will be calculated based on the performance of the portfolio during that period.

7. Marketing Strategy Of Investment Company

Competitive analysis, eb5 business plan.

The business plan for an investment company covers the company analysis in which the company’s competitive landscape is large and diverse. There are a number of large and well-established firms that have been in the industry for many years. Additionally, there is a large number of small, independent firms that have emerged in recent years.

Sales Strategy

Our sales strategy is to target potential customers through a variety of outlets, including direct mail, email marketing, social media campaigns, and online advertising. We will focus our efforts on targeting potential customers who are likely to be interested in our services, such as high-net-worth individuals, small business owners, and those with an interest in investing. We will also work to build relationships with local financial advisors and other industry professionals in order to develop a strong referral network.

Sales Monthly

The company’s primary source of revenue will be from the sales of investment products, with a focus on monthly sales. The company will also offer financial advice and portfolio management services, for which it will charge a fee. Experts predict the following sales each month for our company.

Sales Yearly

The JS Investment Group will generate revenue by selling various services. Experts predict the following sales yearly for our company.

Sales Forecast

Our sales forecast for the next three years predicts a steady increase in revenue. Below is a forecast of sales for our company:

8. Personnel Plan Of Investment Company

Company staff.

The Company Staff will be responsible for the overall management and operation of the investment company. They will be responsible for recruiting and managing a team of qualified and experienced professionals to ensure the success of the business.  The JS Investment Group operations will require the following employees:

The management staff includes:

• Marketing Manager
• Operation Manager
• Investment Manager

The operational team includes:

• Front Desk Coordinator
• Investment Advisor
• Security Guards

Other Staff includes:

• Administrative Assistant
• Tax Planner
• Receptionist

Average Salary of Employees

The investment holding company business plan includes the average salary of employees, which varies according to the role of employees and services. We will offer competitive salaries to all our employees to ensure we attract and retain the best talent. The average salary of our employees will be approximately $40,000 per year.

9. Financial Plan For Investment Company

In collaboration with financial experts, John Smith assessed the company’s financial needs and developed a financial plan for sample of investment company business plan. A three-year financial plan outlines the company’s development.

Important Assumptions

The following are important assumptions for the financial plan of the investment company:

Deviations, however, are expected to be limited to levels that do not impact the investment company’s major financial goals.

Brake-even Analysis

The following is a breakdown of the investment company’s fixed and variable costs:

The following table shows an analysis of monthly break-evens of an investment company

Projected Profit and Loss

The following is the projected profit and loss for an investment company.

Profit Monthly

Profit Yearly

Gross Margin Monthly

Gross Margin Yearly

Projected Cash Flow

The following column diagram shows cash flow projections.

The following table shows the pro forma cash flow of an private equity firm business plan . The cash flow statement includes cash received from operations, cash received from operations, and general assumptions.

Projected Balance Sheet

Below is a projected balance sheet of an investment holding Company Business Plan that shows data about the pro forma balance sheet, total current assets, total long-term assets, total assets, current subtotal liabilities, total liabilities, total capital, and total liabilities.

Business Ratios

The following table shows business ratios, ratio analysis, and total assets.

10. Get the Expertise to Create a Winning Business Plan!

“Start Your Investment Company with Professional Assistance: Get the Support of OGS Capital’s Expert Team!”

At OGS Capital, our experienced consultants provide professional assistance to help you start and grow your investment company. Our team has in-depth knowledge and expertise in launching businesses, and we understand the complexities of the investment industry. We can provide expert advice and guidance to help you create and execute a custom sample business plan for investment holding company that will ensure your investment company’s success.

We can help you with the entire process of developing your business, from crafting a comprehensive financial plan to finding appropriate funding sources. With our knowledge and resources, we can help you create a detailed business plan that will serve as a roadmap for your business.

• What is the main business of an investment company? The main business of an investment company is to manage investments and provide financial advice and solutions to their clients. They may provide services such as portfolio management, asset allocation, retirement planning and financial planning. They may also offer a variety of other services such as stock and bond trading, insurance, estate planning and tax planning.
• Can I create my own investment company? Yes, you can create your own investment company. The process involves registering the company with the SEC, registering with the state in which you will be doing business, setting up the necessary accounts and paperwork, and finding clients. You should also consult a qualified accountant, lawyer, and financial adviser to ensure you have all the appropriate information and documents in place.
• How much does it cost to start an investment firm? The cost of starting an investment firm will vary depending on the type of firm you are looking to establish and the services you plan to provide. Typically, startup costs can range from $5,000 to $50,000, depending on the complexity of the business. Costs may include office equipment, legal and accounting fees, licensing fees, technology costs, marketing costs, and other miscellaneous costs.

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Wealth Management Business Plan Template

Written by Dave Lavinsky

Wealth Management Business Plan

Over the past 20+ years, we have helped over 1,000 entrepreneurs and business owners create business plans to start and grow their wealth management companies. We have the experience, resources, and knowledge to help you create a great business plan.

In this article, you will learn some background information on why business planning is important. Then, you will learn how to write a wealth management business plan step-by-step so you can create your plan today.

Download our Ultimate Business Plan Template here >

What Is a Business Plan?

A business plan provides a snapshot of your wealth management business as it stands today, and lays out your growth plan for the next five years. It explains your business goals and your strategies for reaching them. It also includes market research to support your plans.

Why You Need a Business Plan

If you’re looking to start a wealth management business or grow your existing wealth management company, you need a business plan. A business plan will help you raise funding, if needed, and plan out the growth of your wealth management business to improve your chances of success. Your wealth management business plan is a living document that should be updated annually as your company grows and changes.

Sources of Funding for Wealth Management Businesses

With regard to funding, the main sources of funding for a wealth management business are personal savings, credit cards, bank loans, and angel investors. When it comes to bank loans, banks will want to review your business plan and gain confidence that you will be able to repay your loan and interest. To acquire this confidence, the loan officer will not only want to ensure that your financials are reasonable, but they will also want to see a professional plan. Such a plan will give them the confidence that you can successfully and professionally operate a business. Personal savings and bank loans are the most common funding paths for wealth management companies.

Finish Your Business Plan Today!

How to write a business plan for a wealth management business.

If you want to start a wealth management business or expand your current one, you need a business plan. The guide below details the necessary information for how to write each essential component of your wealth management business plan.

Executive Summary

Your executive summary provides an introduction to your business plan, but it is normally the last section you write because it provides a summary of each key section of your plan.

The goal of your executive summary is to quickly engage the reader. Explain to them the kind of wealth management business you are running and the status. For example, are you a startup, do you have a wealth management business that you would like to grow, or are you operating a franchise of wealth management businesses?

Next, provide an overview of each of the subsequent sections of your plan.

• Give a brief overview of the wealth management industry.
• Discuss the type of wealth management business you are operating.
• Detail your direct competitors. Give an overview of your target customers.
• Provide a snapshot of your marketing strategy. Identify the key members of your team.
• Offer an overview of your financial plan.

Company Overview

In your company overview, you will detail the type of wealth management business you are operating.

For example, you might specialize in one of the following types of wealth management businesses:

• Personal Financial Planning and Advice: As the most common form of wealth management, this type of advisory service includes an assessment of financial needs and decisions on investments.
• Asset Management and Allocation: This type of wealth management business assists with maximizing and protecting wealth over the long-term.
• Estate Planning: Wealth management advisory services include oversight of assets, investing for the future and protecting assets.
• Tax Accounting: A tax accounting wealth management advisor oversees all assets and tax preparation, filings, estimates and other tax-related business items.

In addition to explaining the type of wealth management business you will operate, the company overview needs to provide background on the business.

Include answers to questions such as:

• When and why did you start the business?
• What milestones have you achieved to date? Milestones could include the number of clients, the total portfolio assets managed, reaching X number of wealth management referrals, etc.
• Your legal business structure. Are you incorporated as an S-Corp? An LLC? A sole proprietorship? Explain your legal structure here.

Industry Analysis

In your industry or market analysis, you need to provide an overview of the wealth management industry.

While this may seem unnecessary, it serves multiple purposes.

First, researching the wealth management industry educates you. It helps you understand the market in which you are operating.

Secondly, market research can improve your marketing strategy, particularly if your analysis identifies market trends.

The third reason is to prove to readers that you are an expert in your industry. By conducting the research and presenting it in your plan, you achieve just that.

The following questions should be answered in the industry analysis section of your wealth management business plan:

• How big is the wealth management industry (in dollars)?
• Is the market declining or increasing?
• Who are the key competitors in the market?
• Who are the key suppliers in the market?
• What trends are affecting the industry?
• What is the industry’s growth forecast over the next 5 – 10 years?
• What is the relevant market size? That is, how big is the potential target market for your wealth management business? You can extrapolate such a figure by assessing the size of the market in the entire country and then applying that figure to your local population.

Customer Analysis

The customer analysis section of your wealth management business plan must detail the customers you serve and/or expect to serve.

The following are examples of customer segments: individuals, families, corporations, foundations.

As you can imagine, the customer segment(s) you choose will have a great impact on the type of wealth management business you operate. Clearly, individuals would respond to different marketing promotions than corporations, for example.

Try to break out your target customers in terms of their demographic and psychographic profiles. With regard to demographics, include a discussion of the ages, locations, occupations and income levels of the potential customers you seek to serve.

Psychographic profiles explain the wants and needs of your target customers. The more you can recognize and define these needs, the better you will do in attracting and retaining your customers.

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Competitive Analysis

Your competitive analysis should identify the indirect and direct competitors your business faces and then focus on the latter.

Direct competitors are other wealth management businesses.

Indirect competitors are other options that customers may use that aren’t directly competing with your service. This includes tax accountants, online wealth-building services, and stock brokers. You need to mention such competition, as well.

For each direct competitor, provide an overview of their business and document their strengths and weaknesses. Unless you once worked at your competitors’ businesses, it will be impossible to know everything about them. But you should be able to find out key things about them, such as

• What types of customers do they serve?
• What type of wealth management business are they?
• What is their pricing (premium, low, etc.)?
• Do they offer any unique or special values for customers?
• What are their weaknesses?

With regard to the last two questions, think about your answers from the customers’ perspective. And, don’t be afraid to ask your competitors’ customers what they like most and least about them.

The final part of your competitive analysis section is to document your areas of competitive advantage. For example:

• Will you provide options for family trust management?
• Will you offer management services that your competition doesn’t?
• Will you provide better customer service than those of your competitors?
• Will you offer packaged services for corporations?

Think about ways you will outperform your competition and document them in this section of your plan.

Marketing Plan

Traditionally, a marketing plan includes the four P’s: Product, Price, Place, and Promotion. For a wealth management business plan, your marketing strategy should include the following:

Product : In the product section, you should reiterate the type of wealth management company that you documented in your company overview. Then, detail the specific products or services you will be offering. For example, will you provide free initial consultations, guaranteed profits on certain assets, or yearly analysis at low to no cost?

Price : Document the prices you will offer and how they compare to your competitors. Essentially in the product and price sub-sections of your plan, you are presenting the services you offer and their prices.

Place : Place refers to the site of your wealth management company. Document where your company is situated and mention how the site will impact your success. For example, is your wealth management business located in an upper socioeconomic location? Does your business offer amenities for special clients, such as season tickets to venues of their choice? Discuss how your site might be the ideal location for your customers.

Promotions : The final part of your wealth management marketing plan is where you will document how you will drive potential customers to your location(s). The following are some promotional methods you might consider:

• Advertise in wealth-building periodicals
• Reach out to individuals via personal referrals
• Offer introductory meetings to corporations
• Engage in email marketing by blogging in a Q & A section
• Improve the SEO (search engine optimization) on your website for targeted keywords

Operations Plan

While the earlier sections of your business plan explained your goals, your operations plan describes how you will meet them. Your operations plan should have two distinct sections as follows.

Everyday short-term processes include all of the tasks involved in running your wealth management business, including answering calls, setting appointments, planning and providing services, billing clients, managing and maintaining accounts, etc.

Long-term goals are the milestones you hope to achieve. These could include the dates when you expect to book your Xth new client, or when you hope to reach $X in revenue. It could also be when you expect to expand your wealth management business to a new city.

Management Team

To demonstrate your wealth management business’ potential to succeed, a strong management team is essential. Highlight your key players’ backgrounds, emphasizing those skills and experiences that prove their ability to grow a company.

Ideally, you and/or your team members have direct experience in managing wealth management businesses. If so, highlight this experience and expertise. But also highlight any experience that you think will help your business succeed.

If your team is lacking, consider assembling an advisory board. An advisory board would include 2 to 8 individuals who would act as mentors to your business. They would help answer questions and provide strategic guidance. If needed, look for advisory board members with experience in managing a wealth management business or successfully running a small brokerage firm.

Financial Plan

Your financial plan should include your 5-year financial statement broken out both monthly or quarterly for the first year and then annually. Your financial statements include your income statement, balance sheet, and cash flow statements.

Income Statement

An income statement is more commonly called a Profit and Loss statement or P&L. It shows your revenue and then subtracts your costs to show whether you turned a profit or not.

In developing your income statement, you need to devise assumptions. For example, will you book 5 wealth management clients per week and offer on-site monthly advisory services for corporations? And will sales grow by 2% or 10% per year? As you can imagine, your choice of assumptions will greatly impact the financial forecasts for your business. As much as possible, conduct research to try to root your assumptions in reality.

Balance Sheets

Balance sheets show your assets and liabilities. While balance sheets can include much information, try to simplify them to the key items you need to know about. For instance, if you spend $50,000 on building out your wealth management business, this will not give you immediate profits. Rather it is an asset that will hopefully help you generate profits for years to come. Likewise, if a lender writes you a check for $50,000, you don’t need to pay it back immediately. Rather, that is a liability you will pay back over time.

Cash Flow Statement

Your cash flow statement will help determine how much money you need to start or grow your business, and ensure you never run out of money. What most entrepreneurs and business owners don’t realize is that you can turn a profit but run out of money and go bankrupt.

When creating your Income Statement and Balance Sheets be sure to include several of the key costs needed in starting or growing a wealth management business:

• Cost of advisory online access to investment information
• Payroll or salaries paid to staff
• Business insurance
• Other start-up expenses (if you’re a new business) like legal expenses, computer software, and equipment

Attach your full financial projections in the appendix of your plan along with any supporting documents that make your plan more compelling. For example, you might include your office location lease or a list of contracted clients you serve.

Writing a business plan for your wealth management business is a worthwhile endeavor. If you follow the template above, by the time you are done, you will truly be an expert. You will understand the wealth management industry, your competition, and your customers. You will develop a marketing strategy and will understand what it takes to launch and grow a successful wealth management business.

Wealth Management Business Plan FAQs

What is the easiest way to complete my wealth management business plan.

Growthink's Ultimate Business Plan Template allows you to quickly and easily write your wealth management company business plan.

How Do You Start a Wealth Management Business?

Starting a Wealth Management business is easy with these 14 steps:

• Choose the Name for Your Wealth Management Business
• Create Your Wealth Management Business Plan
• Choose the Legal Structure for Your Wealth Management Business
• Secure Startup Funding for Your Wealth Management Business (If Needed)
• Secure a Location for Your Business
• Register Your Wealth Management Business with the IRS
• Open a Business Bank Account
• Get a Business Credit Card
• Get the Required Business Licenses and Permits
• Get Business Insurance for Your Wealth Management Business
• Buy or Lease the Right Wealth Management Business Equipment
• Develop Your Wealth Management Business Marketing Materials
• Purchase and Setup the Software Needed to Run Your Wealth Management Business
• Open for Business

Where Can I Download a Free Business Plan Template PDF?

Click here to download the pdf version of our basic business plan template.

Our free business plan template pdf allows you to see the key sections to complete in your plan and the key questions that each must answer. The business plan pdf will definitely get you started in the right direction.

We do offer a premium version of our business plan template. Click here to learn more about it. The premium version includes numerous features allowing you to quickly and easily create a professional business plan. Its most touted feature is its financial projections template which allows you to simply enter your estimated sales and growth rates, and it automatically calculates your complete five-year financial projections including income statements, balance sheets, and cash flow statements. Here’s the link to our Ultimate Business Plan Template.

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Since 1999, Growthink has developed business plans for thousands of companies who have gone on to achieve tremendous success.   Click here to see how Growthink’s business plan services can give you a winning business plan.

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A Practical Guide to Compliance in Asset Management

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In the world of asset management, compliance is very important. It can range from simple policies set at your business to full-on laws enforced by government agencies, with penalties that range from a slap on the wrist to substantial fines.

Subsequently, understanding asset management compliance is vital for business owners that don't want to suffer the consequences of non-compliance, particularly with the cost of asset management already being so high.

In this guide, you'll learn about the types, examples, and challenges of asset management compliance, so you can make a comprehensive plan for your business in the long run.

• What Is Asset Management Compliance?

Asset management compliance describes the state of a business adhering to laws, policies, and regulations surrounding the ownership of specific assets set by the governing body of the state or country it's based in for their industry.

That last part is important, as compliance can look very different for different businesses in different locations. Retail assets in Portland, Oregon, for example, will have very different compliance requirements than construction assets in Portland, Maine.

In this guide:

Why Is Compliance in Asset Management Important?

• Types of Asset Management Compliance

Challenges of Asset Management Compliance

How to ensure your asset management is compliant, compliance in asset management: next steps.

Being compliant is vital when it comes to asset management, which is why every company should make it a key priority in building a business that achieves strong ROI for assets  it holds.

For one, being compliant ensures that your company is up to modern business standards for asset management. It can be easy to get stuck in your ways, and these compliance requirements force you to stay informed.

Unfortunately, part of the way the force you to stay informed is by putting steep penalties when you aren't compliant. Government organizations will typically audit your business for compliance , and if you are found in violation, you could be subject to hefty fines and even legal trouble .

It may seem tedious and even unfair, but the reality is that there can be a lot of issues around asset management that could negatively impact your business if left entirely unchecked. Asset misappropriation is a common one, which on average costs business around $120,000 per instance, but generally speaking, compliance requirements are a good thing for the average business.

Types of Asset Management Compliance with Examples

When it comes to asset management, there is a couple of a different types to understand. In fact, there are two types of asset management, and we'll explain each of them below.

Internal compliance

Internal compliance describes the type of compliance that is set by your company, rather than a third-party organization . Some examples of internal compliance include:

• Asset quality protocols – The process of checking the quality of your assets on a regular basis.
• Security policy – The protocol in place for keeping assets and data related to assets and employees secure.
• Social media policy for employees – Ensuring employees aren't hurting your brand reputation by posting on social media.

This kind of compliance is typically focused on quality control, ensuring that the asset or service your business owns and operates continues to perform efficiently.

Check out our guide to asset management KPIs for more information

External compliance

External compliance is the type of compliance that is set by regulatory bodies like government agencies who will perform audits to check whether or not your company is compliant.

• Employee safety protections – Organizations like OSHA (Occupational Safety and Hazard Administration) do audits to ensure that employee safety and health is a priority for all kinds of businesses.
• Bookkeeping requirements – The Internal Revenue Service (IRS) is an organization that requires businesses to keep in depth accounting records of assets to keep taxes above board.
• Data security measures – The Department of Labor Privacy Program (DLPP) has regulations in place that require businesses to keep employee and customer data secure.

This kind of compliance is focused on adhering to laws and regulations set by those organizations, maintaining a level of legality that will help you avoid penalties and fees from non-compliance found during audits.

When it comes to asset management compliance, you really want to get it right. Unfortunately, there are a lot of obstacles in the way that could prevent you from being compliant. Here are some of the challenges of asset management compliance to look out for at your business.

Constantly changing regulations

The biggest problem with trying to stay compliant is that compliance changes on pretty much a yearly basis. Because it's based on laws and regulations that are subject to debate and even voting, they are often amending, rescinded, or plain thrown out, so you have to start from scratch.

Staying up to date on the changing landscape of asset compliance for your industry is a hard but necessary reality for businesses, and it's worth investing in if you don't want to get hit with a steep penalty for falling behind.

Quickly evolving technology

In 2024, the technology in the business world is getting out of control. And with every piece of new technology is a new form of compliance you must adhere to, which can be hard to keep track of with everything else going on.

Even worse, this technology is expensive, not only increasing the cost of asset management, but also increasing the cost of staying compliant within the asset management industry.

Poor data collection

One of the easiest ways to stay compliant is to be aware of the status of your assets, and the best way to do that is to have plenty of data to go off of. Unfortunately, data collection on your assets can be hard, with some systems not being entirely up to the task.

Whether you're doing it yourself with simple asset management spreadsheets or shelling out for a full-on software can help, you'll need some kind of tool to help you with asset management data collection. They will streamline a wide range of processes, provide custom reports, and generally improve the asset management system at your business, keeping you compliant in the long run.

Now that you know about all the examples, challenges, and types of asset management compliance, it's time to take matters into your own hands. Here are a few steps you can take to ensure that your asset management is compliant at your business.

• Regularly monitor assets – You have to keep track of your assets for compliance on a consistent basis, and regular quality checks are vital in that step.
• Hire a compliance officer – If you're in a particularly regulated industry or state, you might consider onboarding someone who's sole job it is to make sure that you're compliant.
• Automate data collection – Data collection is too important in compliance to leave it up to human error, which is why you need a good system for getting you accurate, efficient data.
• Have a plan for non-compliance – You don't want to be non-compliant, but having a plan for if it happens will ensure that you act quickly and proactively to right the wrong in question.

In a lot of cases, the best asset management software can help you achieve the majority of these goals. Depending on the platform, you can get simple automated features and in-depth compliance checks that allow you to get ahead of the problem before an audit comes down the pipe.

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Moscow International Business Center: The Latest Architecture and News

Moscow's high rise bohemia: the international business district with no business.

The Moscow International Business Center (Also known as Moskva-City ) was meant to be Russia ’s ticket into the Western world. First conceived in 1992, the district at the edge of Moscow’s city center is intended to contain up to 300,000 inhabitants, employees and visitors at any given moment and, when completed, will house over 4 million square meters of prime retail, hotel and office space to create what the Russian government desired most from this project: an enormous financial district that could dwarf London’s Canary Wharf and challenge Manhattan . Twenty three years later though, Moscow-based real estate company Blackwood estimates that as much as 45% of this new space is entirely vacant and rents have plummeted far below the average for the rest of Moscow. The only press Moskva-City is attracting is for tenants like the High Level Hostel , a hostel catering to backpackers and other asset-poor tourists on the 43rd floor of the Imperia Tower , with prices starting at $25.50 for a bed in a six-person room. This is not the glittering world of western high finance that was envisioned back in the post-Soviet 90s; but what has it become instead?

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• Tuesday, April 09, 2024

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