Financial Advisor Business Plan Template

Written by Dave Lavinsky

Financial Advisor Operations Plan

Prime Wealth Financial Advisors will have a relatively simple operations plan.

Operation Functions:

  • Andrew Shane and Timothy Johnson will be the owners and lead financial advisors of the financial advisory office. They will be in charge of managing the small office personnel and developing financial strategies for every client. They will also mentor and coach the other two financial advisors they will employ.
  • Two certified financial advisors who will be focused on obtaining new clients and managing the clients’ portfolios under the mentorship of Andrew and Timothy.
  • Office manager that will be overseeing all administration functions such as payroll, bookkeeping, office supply ordering, and marketing. The office manager will also directly manage the office receptionist/administrative assistant.
  • Receptionist/administrative assistant that will be answering phones, filing, scheduling client meetings, and greeting guests and clients in the office.


Prime Wealth Financial Advisors will have the following milestones complete in the next six months.

4/1/202X – Finalize lease agreement in downtown office tower

4/15/202X – Begin build out of leased space

6/1/202X – Final walk through and approval of office space

6/10/202X – Grand office opening of Prime Wealth Financial Advisors