Welcome to Alliance Advisors’ Investment Company and Retail Engagement Compendium. Here, we will provide an expert perspective on recognizing and preparing for issues that can dramatically impact your shareholder vote.
Who is Alliance Advisors?
Alliance Advisors is the leading worldwide provider of shareholder-focused advisory for publicly traded and investment companies.
In the last twelve months we have completed over 1,400 assignments, worldwide, representing $14 Trillion in stock market capitalization (largest client $400 Billion). Outside North America, we completed 93 transactions across 20 countries representing $600 Billion in market capitalization.
Mutual Funds & Investment Companies
(2025)
99 campaigns. 200 funds.
Representing $1.5+ Trillon in assets
Corporate Issuers
(2025)
772 assignments representing $7.5 Trillion in market capitalization
Life Cycle of an Investment Company Solicitation
Omni-Channel Approach to Retail Engagement
It’s no longer as simple as interrupting dinner with a phone call; Issuers need to meet shareholders where they are and in their preferred channel
- Retail voters continue to favor management so driving their engagement is critical to a successful vote outcome
- Leverage all channels and focus on the those that deliver cost effective results
Phone Solicitation & Proxy Lite
Used in the early stages of a solicitation. Proxy Lite used in the late stages of solicitation utilizes a pre-recorded message asking shareholders to call a toll-free number to vote.
Branded and secure way for shareholders to vote with a few clicks.
Another tool to connect with hard to reach shareholders.
Text-to-Vote™
Shareholders are sent a concise SMS or MMS text message containing an embedded, secure link that directs them to a voting page.
Easy and fast way for shareholders to vote.
QR Code Mailings
Used in strategic stages of a proxy solicitation as returns from the initial mailing and other reminder efforts have slowed.
Reminder mailing options to unreachable shareholders provides an instant way to vote without the need to sign and return a proxy by mail.
Uses a unique QR Code to make voting quick and easy.
Our capacity speaks volumes
The figures below summarizes our retail shareholder engagement activity through 2025 including voting and non-voting campaign production activities:
Case Study
Snapshot of a Late-Stage Solicitation
Outbound Telephone (Proxy Lite)
Text-to-Vote™
Email Voting
QR Code Mailings
▇ % Voted in Favor ▇ % Shares Voted ▇ % Accounts Voted
No assumptions can be made about rates of response by channel.
Response rates vary dramatically throughout the life of a solicitation and are driven primarily by the shareholder segment being targeted and the stage of the campaign.
Early in the solicitation cycle, response rates are consistently strong across all outreach channels. However, as a campaign ages, response rates decline sharply due to repeated outreach to the remaining unresponsive, non-voting shareholders.
Investment Company Representations
Our Investment Company & Retail Engagement Experts
Program Highlights
With Alliance Advisors Going Beyond research series, we bring to the forefront pivotal discussions and content that are shaping the world of Corporate Governance, Executive Compensation, ESG, Shareholder Activism, Retail Outreach and M&A.
