This proposal outlines an investment strategy and financial planning recommendations for a client. It establishes objectives of preserving and building assets for retirement, saving for children's education and first homes, and charitable giving. The proposal provides an overview of the company's capabilities, reviews the client's current portfolio holdings and allocation, and outlines a communication plan. It introduces the company, investment philosophy, and team. The proposal recommends next steps of reviewing goals, developing a financial plan, and scheduling an appointment.

1. Wealth Advisory
Proposal
Your Company Name

2. 2
Cover Letter
Dear (Client Name),
Choosing your financial advisor is one of the most important decisions
you will ever make - for your own future and for the future of your
children; and that’s where we are happy to help you.
We offer strategic investment advice, realistic budget planning, and
creative solutions to help you save for tomorrow while enjoying today.
With rising expenses for sustaining or improving lifestyle, now is the
time to review your financial goals. You want an advisor who takes the
time to listen and speaks to you in language you can understand.
This investment and financial planning proposal:
• Establishes reasonable expectations, objectives, and guidelines for the investment of
your portfolio.
• Sets forth an investment structure detailing the expected initial allocation among asset
classes.
• Creates the framework for a well-diversified asset mix that we believe will produce
long-term returns in accordance with your level of risk.
Thank you for reviewing this proposal. Please contact me if you have
any questions about these recommendations or your financial portfolio
in general.
Sincerely,
(Signature)

3. Proposal Outline
3
Project Overview
• Project Context & Objectives
• Investment Details
• How we Propose to Answer your Questions?
Our Capabilities
• Types of Asset class we invest in
• Asset Allocation with Risk Budget
• Our Investment Strategy
Account Review
• Holdings Summary
• Allocation Overview
Risk & Return Methodology
• Estimating Risk Potential Methodology
• Estimating Return Potential Methodology
Communication • Communication
Company Introduction
• About Us
• Our Investment Philosophy
• Our Team
Past Experience
• Client Testimonials
• Case Study
Road Ahead • Next Steps
ROI & Fees • Return on Investment & Fees

4. 4
Project Overview
• Project context & objectives
• Investment details
• How we propose to answer your questions?

5. Project Context & Objectives
5
This proposal outlines our recommendations for investment strategies and management of your account in accordance with your
specific financial goals. Those objectives, which are outlined in this document, have been established in accordance with the profile
information you provided.
Objective
You want to preserve and build the
value of your assets, save for
retirement, help your children pay for
university and build equity through
buying their first homes, and build in
charitable giving. This could be
summed up in three buckets:
Family Retirement Build Assets
Context
Builds a foundation for a
diverse asset mix that will
produce long-term returns.
Establishes the strategy
and objectives for your
investment portfolio.
Proposes a structure
for the allocation of
your assets.
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6. Investment Details
6
Client Name : Valued Client
Investment Duration : 5 Years
Investment Amount : $ 500,000.00
Risk Budget : 80
Custodian : Name
Requirement
Provided by Client
Investment
Outcome
• Accumulation
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Strategy
Name
• Core Plus
ETF Strategy
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Allocation
%
• 100%
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Allocation
$
• $500,000,00
• Add Text Here
• Add Text Here
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7. 7
How we Propose to
Answer your Questions?
Know
Your Requirements
We'll start by evaluating your current
investment portfolio and financial
planning. We'll talk about your goals,
priorities, and dreams and choose a
path that will get you there while
optimizing your current
financial picture
Personal
Financial Planning
• Evaluating your income and
expenses, consolidating debts if
needed, and creating a plan to
eliminate liabilities in time
for retirement
• Determining how much you can
afford to invest in your portfolio
• Recommending adjustments to
your current portfolio to grow your
wealth over the next 20 years
and beyond
Investment
Advice
Once we have a handle on your
current financial state, it's time to put
plans in place to grow your wealth
and establish your long-term
financial security
Risk
Management
You want your wealth to grow, but
you want to minimize risk to your
investment. Our company knows risk
inside and out, and we'll help you
decide when to take a calculated risk
to achieve a substantial reward.
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8. 8
Our Capabilities
• Types of asset class we invest in
• Asset allocation with risk budget
• Our investment strategy

9. Types of Asset Class we Invest in
9
Domestic
Equities
International
Equities
Fixed
Income
Alternatives Bonds
Mega Cap Developed
Investment
Grade
Volatility Agriculture Government
Large Cap Emerging High Yield Inflation Base Metals Corporate
Mid Cap Small Cap Inflation Linked Merger Arbitrage Precious Metals High Yield
Small Cap Regions
International
(Developed)
Market Neutral Energy
Micro Cap Value Emerging Market Buy/Write Gold
Growth Frontier Cash
Value
Global
Infrastructure
Mortgages
Sectors Municipals
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10. Our Investment Strategy
10
55%
10%
35%
Bonds
Equities
XYZ Absolute
Return Fund
65%
15%
20%
Bonds
Equities
XYZ Absolute
Return Fund
70%
20%
10%
Bonds
Equities
XYZ Absolute
Return Fund
Moderate
Growth Strategy
Growth
Strategy
Aggressive
Growth Strategy
Bonds EquitiesXYZ Absolute Return Fund
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11. Asset Allocation with Risk Budget
11
Domestic
Large - Cap
Domestic
Small/Mid - Cap
Developed
International
Emerging Markets
Fixed
Income
Active
Asset Class
Static
Asset Class
Risk Budget 65
Lower U.S Valuations
Risk Budget 50
Lower U.S Valuations
Risk Budget 65
Higher U.S Valuations
Risk Budget 80
Higher U.S Valuations
Risk Budget 65
Normal U.S Valuations
Risk Budget 65
Normal U.S Valuations
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12. 12
Account Review
• Holdings summary
• Allocation overview

13. Holdings Summary
13
Investment Portfolio Shares
Price
Per Share
Market Value Allocation %
iShares MSCI EAFE Value Index 1,700.159 $56.91 $96,000.00 20.00%
PowerShares FTSE RAFI Emerging Markets 1,863.16 $28.76 $55,000.00 19.00%
Your Text Here 274.503 $105.70 $39,000.00 9.00%
SPDR DoubleLine Total Return 844.872 $56.40 $43,000.00 9.00%
Xtrackers R1000 US QARP 2,212.329 $22.78 $37,000.00 8.00%
PowerShares VR Inv Gd 1,445.245 $54.14 $56,000.00 8.00%
Your Text Here 167.564 $22.36 $22,000.00 7.00%
iShares S&P SmallCap 600 Index 481.388 $79.65 $19,340.00 7.00%
iShares Russell 1000 Value 347.435 $56.25 $20,000.00 6.00%
Your Text Here 177.456 $170.56 $30,000.00 6.00%
IQ Merger Arbitrage 714.346 $56.23 $15,000.00 5.00%
Fidelity MSCI Financials Index ETF 356.467 $50.62 $10,000.00 3.00%
Guggenheim S&P 500 Pure Value 228.456 $66.07 $15,000.00 2.00%
Your Text Here 288.067 $51.74 $15,000.00 2.00%
iShares MSCI Europe Financial Sector 422.532 $23.78 $10,000.00 2.00%
Cash or Cash Equivalents - - $10,000.00 2.00%
Your Text Here 45.67 $26.70 $0.00 0.00%
ProShares Large Cap Core Plus 130/30 345.67 $66.19 $0.00 0.00%
Total $492,000.00 115.00%
This slides
mentions details of
all investment
portfolio for the
existing customer
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14. Allocation Overview
14
20
19
17
10
8.75
6
6
6
5
2.25
Small/ Mid – Cap Core
Alternative
Cash Equivalent
Large – Cap Growth
Commodities
Intermediate/ Long –
Term Bonds
Short – Term Bonds
Emerging Markets
Large – Cap Value
Developed International
This slides mentions
details of the
company’s overall
portfolio
investment allocation
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15. 15
Risk & Return Methodology
• Estimating risk potential methodology
• Estimating return potential methodology

16. Estimating Risk Potential Methodology
Measures Risk of Each Asset Class
Time Period
Measured weekly
over the last year and
10- year periods.
Measured
weekly over the
last year.
Measured
weekly over the
last year.
Risk
Measures
Relative
Standard
Deviation
A measure of portfolio
risk relative to the
market’s total risk.
Relative
Maximum
Drawdown
How a security reacts
when the market goes
down in value.
Beta
A measure of
correlated volatility
relative to the equity
baseline portfolio.
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16

17. Estimating Return Potential Methodology
17
Estimated Return Analysis
Measures Overall Return Potential
Valuation
The price paid for
earnings, cash flow, sales
& book value in different
market segments.
Behavioural
Used to evaluate
securities by analysing
technical measures &
investor sentiment.
Fundamental
Asset – specific information
such as business risk,
earnings, & expected
earnings growth.
Economic
How an asset will be affected
by macro variables such as
economic growth, inflation, &
interest rates.
Quantitative
Used to capture a
variety of measures,
including cost, risk, &
correlation analysis.
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18. 18
Roi & Fees
• Return on investment & fees

19. Return on Investment & Fees
19
Income projection
On your investment of $2.5 million, a reasonable expected
income projection of 3.9% would yield $97,500/ year.
Fees
Fees are paid monthly based on an annual rate of 1%
of total assets.
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20. 20
Communication
• Communication

21. Communication
21
Social Network
Blogs
Twitter
Facebook
You tube Channel
LinkedIn
Website
Log on to our website, for secure access to your quarterly performance
evaluations, daily positions and values, and other portfolio information
PDF & Video (Quarterly Statements)
We will make available to you an individual Quarterly Performance Evaluation at the end of each
quarter in both PDF and video formats, which you can review with this investment proposal to
determine whether you are meeting your goals
Market Discussions & Updates
We will make available to you our Directions newsletter, which contains
information about the latest market and economic conditions
Mobile App
Our mobile app is available for mobile devices and provides on-the-go
account access to:
• Account holdings
• Shares, values, prices, and performance
• Statements and reports
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22. 22
Company Introduction
• About us
• Our investment philosophy
• Our team

23. 23
About Us
Founded in:
1956
• Add details on company’s history
• Previous line of services
• How it all started etc.
• Other key points
Background:
We believe it's all about YOU. Our focus is on meeting and surpassing your
personal short- and long-term financial goals, creating and implementing
processes for regularly reviewing and evaluating how your portfolio is doing,
and maximizing your return on investment over time
Our Focus:
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Company’s Vision:
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Company’s Mission:

24. Our Investment Philosophy
24
Over the long term, investors are rewarded for bearing risk;
having too little risk hurts investor returns.
All investors have a capacity to bear risk, and the best way to manage
risk is to measure it, rather than relying on a traditional stock-to-bond
ratio.
Investment methodologies should be designed to pair a disciplined risk
management system with an active and flexible approach.
Two cases when we change your
asset allocation
The risk of underlying assets changes.
The attractiveness of underlying assets changes.
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25. Our Team (Template 1 of 2)
25
Name 1
Designation
• Education Background
• Past Career Experience
• Similar Experience in this Company
• Achievements
Name 2
Designation
• Education Background
• Past Career Experience
• Similar Experience in this Company
• Achievements
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26. Our Team (Template 2 of 2)
26
Name 2
Designation
• Education Background
• Past Career Experience
• Similar Experience in this Company
• Achievements
Name 1
Designation
• Education Background
• Past Career Experience
• Similar Experience in this Company
• Achievements
Name 3
Designation
• Education Background
• Past Career Experience
• Similar Experience in this Company
• Achievements
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27. 27
Past Experience
• Client testimonials
• Case study

28. Client Testimonials
28
Client 3
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Client 1
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Client 2
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29. Case Study
29
Investment Objective
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Asset Allocation
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Return on Investment
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30. 30
Road Ahead
• Next steps

31. Next Steps
31
Our Investment and
Financial Management
team will meet with you to
review goals, set
benchmarks, and
develop a plan.
Your investment and financial
plan will cover personal
financial planning, budgeting,
investments, insurance,
estate and tax planning, and
charitable giving.
Please contact us to
schedule an
appointment; contact
details are mentioned
at the end of
this document.
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32. 32
Contact Us
Address
# street number, city, state
E-mail Address
e-mailaddress123@gmail.com
Contact Number
0123456789

33. 33
Additional
Slides

34. Our Mission
34
Goal
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Vision
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Mission

35. Roadmap (3)
35
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36. Roadmap (4)
36
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37. Roadmap (5)
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38. Roadmap (6)
38
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39. Roadmap (7)
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40. 30 60 90 Days Plan
40
30
Days
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60
Days
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90
Days
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41. Timeline
41
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2016