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Financial Advisor Business Plan Sample PDF Template

investment advisor business plan PDF
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How to Start a Financial Advisor Business - Financial Advisor Business Plan Sample PDF

Are you considering starting a Financial Advisor Business and you’re in need of a financial advisor business plan sample PDF? if yes, you'll find this free book to be extremely helpful.

This is a practical guide that will walk you step by step through all the essentials of starting your business. The book is packed with guides, worksheets and checklists. These strategies are absolutely crucial to your business' success yet are simple and easy to apply.

Don’t Start a New Financial Advisor Business Unless You Watch This Video First!

Checklist for Starting a Business: Essential Ingredients for Success

If you are thinking about going into business, it is imperative that you watch this video first! it will take you by the hand and walk you through each and every phase of starting a business. It features all the essential aspects you must consider BEFORE you start a business. This will allow you to predict problems before they happen and keep you from losing your shirt on dog business ideas. Ignore it at your own peril!

For more insightful videos visit our Small Business and Management Skills YouTube Chanel.

Here’s a Valuable Free Gift for You
This is a high quality, full blown business plan template complete with detailed instructions and all related spreadsheets. You can download it to your PC and easily prepare a professional business plan for your business.
Click Here! To get your free business plan template

The Single Most Important Ingredient for Business Success

The first and most important thing you need to acquire in order to succeed in a small business is... knowledge.

Sounds exaggerated? Listen to this...

According to research conducted by Dun & Bradstreet, 90% of all small business failures can be traced to poor management resulting from lack of knowledge.

This is backed up by my own personal observations. In my 31 years as a business coach and consultant to small businesses, I've seen practically dozens of small business owners go under and lose their businesses -- not because they weren't talented or smart enough -- but because they were trying to re-invent the wheel rather than rely on proven, tested methods that work.

Conclusion: if you are really serious about succeeding in a business... If you want to avoid the common traps and mistakes... it is absolutely imperative that you acquire the right knowledge.

"Why Invent Mediocrity, When You Can Copy Genius?"

That's an excellent quote I picked up from a fellow business owner a few years back. What this means is that you should see what is working and try to duplicate it. Why go through all the trouble of inventing something new, that you don't even know will ever work, when you can easily learn from and duplicate something that has been a proven success?

[ Note: One of the BIGGEST mistakes almost all new businesses make is that they WASTE tons of valuable time, energy and money on trying to create something "new", that has never been tested or proven... only to find out later that it was a total loss. Don't make the same mistake! ]

Hi! My name is Meir. I'm the founder and president of, a successful Internet based information business. I'm also the author of numerous books, mostly in the area of small business management.

I've been involved in small business for the past 31 years of my life, as a business coach, manager of a Financial Advisor firm, a seminar leader and as the owner of five successful businesses.

During my career as a business coach and consultant I've helped dozens of business owners start their businesses, market, expand, get out of troubles, sell their businesses and do practically every other small business activity you can think of.
You see, I have been there .... done it ... and bought the Small Business t-shirt! -- This free book contains techniques and strategies I've learned during my 31 year small business career.

Here's what you'll discover in the 'How to Start a Financial Advisor Business' book:

How to determine the feasibility of your business idea - a complete fill in the blanks template system that will help you predict problems before they happen and keep you from losing your shirt on dog business ideas.

A detailed manual that will walk you step by step through all the essential phases of starting your business

A complete financial advisor business plan sample PDF template. This fill-in-the-blanks template includes every section of your business plan, including Executive Summary, Objectives, SWOT Analysis, Marketing Analysis and Strategy, Operations Plan, Financial Projections and more (a similar template is sold elsewhere for $69.95).

All this and much much more.

Success Tip: Setting Goals

Good management is the key to success and good management starts with setting goals. Set goals for yourself for the accomplishment of the many tasks necessary in starting and managing your business successfully. Be specific. Write down the goals in measurable terms of performance. Break major goals down into sub-goals, showing what you expect to achieve in the next two to three months, the next six months, the next year, and the next five years. Beside each goal and sub-goal place a specific date showing when it is to be achieved.

Plan the action you must take to attain the goals. While the effort required to reach each sub-goal should be great enough to challenge you, it should not be so great or unreasonable as to discourage you. Do not plan to reach too many goals all at one time.

Establish priorities. Plan in advance how to measure results so you can know exactly how well you are doing. This is what is meant by "measurable" goals. If you can’t keep score as you go along you are likely to lose motivation. Re-work your plan of action to allow for obstacles which may stand in your way. Try to foresee obstacles and plan ways to avert or minimize them.

Click here! to download your financial advisor business plan sample PDF book for free

Here're other free books in the "how to start a business" series that may interest you:

Agriculture Assisted living Auto repair Bakery Bar Beauty salon Bed and breakfast Bookkeeping Boutique Bowling alley Carpet cleaning Car wash Catering Cattle farming Charity Cleaning Coffee shop Computer repair Construction Consulting Convenience-store Cupcake Daycare Dental Dog daycare Ecommerce Electrical Embroidery Engineering Farm Fashion Film Financial advisor Fitness center Flower-shop Food Food truck Franchise Frozen yogurt Furniture store Gas station Goat farming Grocery store Gym Hairdressing Hair salon Ice cream Insurance agency Interior design Internet Internet cafe IT Jewelry Landscaping Laundromat Laundry Law firm Magazine Manufacturing Microbrewery Motel-hotel Music Nightclub Nonprofit Nursery Online-retail Photography Pizza Plumbing Poultry farming Preschool Printing Private investigator Pub Real-estate Resort Restaurant Retail School Security company Service Software Spa Sports-bar Startup Supermarket Travel agency Trucking Vegetable-farming Website

Here's a Sample 'Executive Summary' for a Financial Advisor Business plan:

[COMPANY NAME] is a successful accounting and tax preparation service owned and supervised by [NAME] in Shipshewana, Indiana in Lagrange County. The firm offers tax preparation and planning, accounting, payroll, unemployment consulting, personal household budgeting, loan analysis, product management and marketing, as well as QuickBooks training and support. The business will expand its services to include three new offices in Elkhart County and financial education classes, on how to budget and manage debt. Additionally, the company will add an equipment leasing website database, to assist local companies in procuring expensive manufacturing related equipment on a part-time basis from one another. This will require an investment in the form of a $560,000 grant. The company is requesting this grant to be used throughout the plan’s period of three years and beyond, to complete its expansion. This business plan organizes the strategy and tactics for the business' growth over the next three years.

The business will offer clients accounting services with the oversight of an experienced accountant at a price they can afford. To do this involves hiring additional accountants, tax preparers (staff accountants) and accounting managers. It will also need to keep fixed costs as low as possible and continuing to define the expertise of the company through its financial education courses and leasing website resources. The effects will allow sales to grow substantially over the three years; as 18 staff accountants are deployed to clients, as needed, while two officer managers and a regional officer manager supervise the Elkhart County operations. The principal and an additional salesperson will operate the leasing equipment database division, while the financial education courses will utilize a dedicated instructor.

1.1 Objectives

[COMPANY NAME] seeks to launch two new lines of services to add to its individual and small business tax and accounting firm. They include financial education classes and a manufacturing leasing service, which will be offered to the same ongoing clients and to its new client base in neighboring Elkhart County as it adds three new offices there.
 [COMPANY NAME] has set the following objectives:

  • To launch it's accounting services in new offices in Middlebury and throughout Elkhart County, Indiana
  • To achieve substantially greater annual revenues within three years
  • To hire two seasoned accounting mangers, a salesperson, for the leasing division, and a teacher, for the course offering by 2011
  • To employ a total of 18 staff accountants and add one more manager by the end of 2012.

1.2 Mission

[COMPANY NAME] seeks to provide tax, accounting and consulting services at a more affordable cost to individual and small businesses in both Lagrange and Elkhart Counties, in Indiana. It will also offer budgeting and debt consulting courses to the public, allowing students to make valuable financial management decisions from their numbers. By the end of 2012 it plans to have an additional 3 offices and add 17 employees; eventually seeking to expand its operations to 10 offices and 50 employees. The focus on community proliferation will intensify to include a new website database to allow businesses save while lease manufacturing related equipment on a part-time basis from each other. 

1.3 Keys to Success

The keys to success for [COMPANY NAME] are:

  • Continue to build trust within the community through financial education classes
  • Maintaining up-to-date technologies and education on accounting practices and laws
  • Create jobs and profits for clientele through the website for manufactures'
  • Adhering to ethical practices when it comes to transparency, reporting, and taxes

[COMPANY NAME], established in 2006 by [NAME], is a firm that provides tax services, accounting, cost consulting, and QuickBooks and budget management training. Its clients are individuals and small businesses in the Lagrange and Elkhart Counties, Indiana region. [COMPANY NAME] plans to add a manufactures' leasing exchange website and financial education classes to its suite of offerings to better serve its current and future clients, and the community as a whole.

2.1 Company Ownership

[NAME] is founder and 100% owner of [COMPANY NAME]; a sole proprietorship.

2.2 Company History

Founded by [NAME] in 2006, [COMPANY NAME] has transformed from a part-time operation to becoming, in 2009, a full-time endeavor for [NAME]. The company has since added a debt reduction website and finance education to its line of tax and accounting services.
[COMPANY NAME] has grown significantly in the past three years from $8,107 to $138,720 in total annual revenue, but has had difficulty taking on additional work due to its singular location and because about 40% of its clients commute from neighboring Elkhart County; thus the need for offices outside of Lagrange County. The business continues to operate from one location in Lagrange County and has grown to 6 employees.

Table: Past Performance

Past Performance












Gross Margin




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Operating Expenses








Balance Sheet












Current Assets








Other Current Assets




Total Current Assets








Long-term Assets




Long-term Assets




Accumulated Depreciation




Total Long-term Assets








Total Assets








Current Liabilities




Accounts Payable




Current Borrowing




Other Current Liabilities (interest free)




Total Current Liabilities








Long-term Liabilities




Total Liabilities








Paid-in Capital




Retained Earnings








Total Capital








Total Capital and Liabilities








Other Inputs




Payment Days




3.0 Services

Current services offered by [COMPANY NAME] include:
Tax Services:

  • Tax preparation
  • Tax planning
  • Addressing tax problems (audit representation, back taxes owed, payroll tax problems, IRS issues, bankruptcy)

Accounting Services:

  • Audits, Financial Projection, Payroll processing, Bank reconciliations
  • Inventory management
  • Financial statement preparation
  • QuickBooks training
  • Budget and debt management (through consultation and a website)

The new services will include a website database to facilitate the leasing of manufacturing related equipment across small business in the expanding market segment. Firms owning equipment items, that are utilized only part time, will be allowed to sub-lease these items to other firms. [COMPANY NAME] will pair the two clients and receive revenue from a finder’s fee and on a commission-based structure. Example:
A manufacturing company that is a current client buys a new $200,000 CNC router. They only use it 80% of the time, so [COMPANY NAME] database would post the 20% availability to other companies in the area, through the designed website. Another company develops a product that requires 15% of that usage. Once the transaction is completed, [COMPANY NAME] receives a finder’s fee from the first company and a commission from the company that gets the contract to lease the 15% usage.
The second service will be an extension of the budget and debt management consultations, currently being offered; clients will be offered the opportunity to receive extensive training in this area, through classes designed and taught by a specialist. In addition, a community offering will allow high-school students, and others, a series of non-fee based lectures to help prepare them for a future in today's advancing economy.

How to Achieve Financial Success

Most people use a combination of several of these approaches to become financially successful.

1. Start (or buy) a business, build it up, and then sell it.

You can usually sell a business for 4 times annual profits.

2. Buy real estate and trust inflation/local surging of demand.

Location, location, location and timing, timing, timing. There are always several hot real estate areas around the US.

3. Save 10-30% a year, consistently.


4. Invest well in the markets.

Stocks, bonds, commodities.

5. Inherit it.

Hey, why not? Money is money.

6. Invent a product or process.

Yes, you CAN!

7. Earn $300-$700 per hour as a professional.

Combine this with #3 and you're on your way to financial independence. Just don't get caught up with the Lexus Lifestyle, however.

8. Marry well.


9. Win the lottery.

Hey, it happens!

10. Trade and Deal: buy low, sell high.

Deal in goods, put together deals for others, network well, develop your reputation.


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