Investment Advisor | The leading source of data, research, information & resource for financial professionals, investment managers, professional investors, family offices & advisors to institutions, billionaires, UHNWs & HNWs. Covering capital markets, investments and private wealth in Asia. How do you invest $3 million to $300 million? How do you manage $20 million to $3 billion of assets? Caproasia - Learn more

This site is for accredited investors, professional investors, investment managers and financial professionals only. You should have assets around $3 million to $300 million or managing $20 million to $3 billion.

What does an Investment Advisor do?

No. 1 Investment & Portfolio Advisory

An Investment Advisor main responsibility is to provide Investment & Portfolio Advisory to clients and Wealth Managers.

Investment Advisory would be reviewing investment opportunities such as buying / selling or increasing or decreasing allocation on a particular stock or bonds, Initial Public Offerings (IPOs) or a corporate action such as rights issue or accepting / rejecting a corporate buyout.

Portfolio Advisory would be reviewing portfolio allocation such as cash, bonds, equities.  Then deciding the financial instrument of choice to get into.

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Example of portfolio allocation:

Asset Instrument Allocation
Cash Deposits 20%
Equities Unit Trust 20%
Equities Equity Linked Notes 10%
Equities Securities 10%
Bonds Unit Trust 10%
Bonds Securities 10%
Mixed Unit Trust 10%
Mixed Structured Product 10%
Total 100%


No. 2 Drafting & Implementing Proposals

Portfolio Allocation
Portfolio Allocation

Drafting Investment & Portfolio proposals is a key work scope of an Investment Advisor.  Upon gathering the relevant insights of the client (individual, corporate, institution), the Investment Advisor will draft the preliminary Investment & Portfolio proposals.

At times, without much known info of the client & requirements, the Investment Advisor would draft proposal or multiple proposals that may be meaning in the discussion.

Should the proposal be implemented, the Investment Advisor ,ay need to implement the investment & portfolio solutions with the various dealing team (equity desk, bond desk, treasury desk etc).


No. 3 Monitoring Portfolio & Investments

After implementing, comes monitoring.  Investment Advisors not only tracks hundreds of stocks & bonds, but also plenty of clients’ portfolio.

Investment Advisors spend time assessing financial statistics, upside potential, risks and volatility on stocks and portfolio, via internal research reports, 3rd party reports, analysts’ reports and financial news relating to security, sector, country, region and the globe.


No. 4 A Master Tracker

Yield Curve
Yield Curve

Investment Advisor just about track anything in the world.  They track Global Financial Markets, Economic Policies, Word News, Announcements, Trends, Economic Indicators, Stock Market, Stocks, Bonds.


No. 5 Attending Investment & Economic Conferences, Forums & Meetings

Investment Advisors get to meet the people who influence millions, billions and sometimes trillions.

They attend Investment & Economic forums, conferences and meetings with Chief Economists, Chief Investment Officers, Fund Managers, Hedge Fund Managers of banks, financial institutions, fund management co., asset management co. insurance co. and stock brokerages.


No. 6 Sharing News & Insights, Updating Clients & Wealth Managers

Private Banking Team
Private Banking Team

Investment Advisors are the quick links to the global financial matters, ideas and recommended course of actions.

All the attending of Investment meetings, events and reading up global financial matters, Investment Advisors spend their time communicating & summarising their thoughts to relationship managers & wealth managers and clients.


No. 7 Glued to Comp, Bloomberg, Reuters, Excel Sheets, Emails, Wassap

Investment Advisors are swarmed with so much information that they are always glued to computers, financial news or stock websites, Bloomberg, Reuters, Excel Sheets, Emails and maybe Wassap.  Sometimes, their personal trading account for accurate live feeds.


No. 8 Handling FAQ, like true expert

Investment Advisor
Investment Advisor

Investment Advisor gets tons of questions, from brilliant ones to silly ones.

In mass market & affluent segment, they could be talking to a few hundred to a few thousand clients & Wealth Managers a year.  While in High Net Worth Segment, they could be talking to 50 – 200 Clients & Wealth managers .

This means they would be likely asked the same set of questions all the time, in curious ways.  They could be having a group of clients asking if it is time to sell Apple Inc since it has gone up 20%.  Anther group could be asking if it is time to buy Apple Inc since it has gone up 20%, and is likely to go up a lot more.  And Investment Advisors can handle logically disconnected questions, expertly.


No. 9 Managing Bad Positions & Deliberating Profit-Making Moves

Financial markets isn’t always plain sailing, investment turns bad and portfolio declines.  When it goes up, it too becomes a surprisingly delicate situation.

Investment Advisors face tremendous pressure in managing bad positions on investments as well as being questioned on profit-taking timing.


No. 10 Training & Compliance

Wealth Management Training
Wealth Management Training

Investment Advisors are a key financial knowledge center.  They continuously read, enrich and enhance their knowledge.

Like all wealth managers, they have to go through regular training.  As Investment Advisors are involved in financial advisory, they too need to comply with the relevant regulations.  They clock in numerous hours annually going for training and compliance courses.


No. 11 Meeting Revenue & Volume Target

Though not practiced by all financial institutions, advisory services to clients are very expensive.

Investment Advisory teams sometimes take on shared responsibility to ensure sustainable business growth in wealth management solutions.


Related Articles:

Legendary Advisors:

Managing $20 million to $3 billion. Investing $3 million to $300 million.
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