Proxy Solicitation Solutions for Mutual Funds and Investment Companies
What We Do
Alliance Advisors provides proxy advisory and retail engagement solutions for open-end mutual funds, ETFs, closed-end funds, business development companies, and alternative investment vehicles.
The firm specializes in complex shareholder meetings, particularly those involving large concentrations of retail shareholders across diverse account types and distribution channels.
Proxy Matters Supported
Alliance Advisors manages mutual fund and investment company proxy solicitations involving a wide range of critical shareholder approvals, including:
- M&A-related approvals: Votes to approve new investment advisory or sub-advisory agreements following a merger or acquisition involving a fund sponsor or parent company.
- Fund reorganizations: Transactions involving share class conversions, liquidations, restructurings, and fund name changes.
- Fund-to-fund mergers: Merger transactions requiring approval under either a majority of outstanding shares standard or a 1940 Act majority standard.
- Changes to fundamental investment policies: Proposals involving investment objectives, industry concentration policies, diversification status, borrowing authority, or the issuance of senior securities.
- Fee structure changes: Proposals involving increases in management fees or revisions to distribution and servicing fee arrangements.
Our Approach to Managing Mutual Fund Shareholder Meetings
When a mutual fund family goes out for a shareholder vote, it often involves every fund within the complex.
These large-scale proxy efforts can encompass anywhere from 10 to more than 100 funds, representing millions of retail investors with relatively small positions spread across multiple intermediaries and account types.
With a shareholder base of that size, every communication decision matters. Even a single reminder mailing can cost millions of dollars, which is why disciplined upfront planning is essential to drive an efficient, cost-effective campaign.
Our process
This structured and transparent approach helps ensure shareholder meetings are managed with precision, accountability, and measurable efficiency.
Omni-Channel Approach to Retail Engagement
Alliance Advisors uses a coordinated mix of solicitation tools to help move the vote efficiently, reach retail shareholders across communication preferences, and sustain momentum throughout the life of a proxy campaign.
A modern retail engagement strategy cannot rely on a single channel. As response rates decline across traditional methods, an omni-channel approach helps extend reach, improve participation, and support timely vote delivery.
Why Choose Alliance Advisors?
Alliance Advisors is the only proxy solicitor that use digital tools to bolster vote returns. We have been deploying digital solicitation tools for more than a decade, but their role in mutual fund proxy campaigns has changed meaningfully as digital tools have become a central component of many successful solicitation strategies, rather than a peripheral add‑on.
Digital channels can deliver votes at every stage of the solicitation cycle, particularly in later phases when traditional methods have been exhausted and timelines are compressed. They can be implemented relatively quickly, scaled efficiently, and configured in a cost‑conscious way when integrated with data‑driven targeting and clear messaging.
The effective use of these tools is both an art and a science which require a nuanced understanding of shareholder behavior, regulatory obligations, and operational constraints. Alliance Advisors has mastered the use of digital tools and our experiences across numerous corporate and mutual fund solicitations proves that a well‑designed digital program—paired with traditional tactics where appropriate—can help funds meet their voting objectives while managing cost and mitigating execution risk
