Updated:Jun 3, 2026

Alliance Advisory & Securities

ALLIANCE ADVISORY & SECURITIES, LLC is an SEC-registered investment adviser in WESTLAKE VILLAGE, CA, registered since 2006. The firm manages $687 million in...

Alliance Advisory & Securities

ALLIANCE ADVISORY & SECURITIES, LLC is an SEC-registered investment adviser in WESTLAKE VILLAGE, CA, registered since 2006. The firm manages $687 million in assets, with $393 million on a discretionary basis. It has 21 employees and 14 investment advisers.

General information

Firm type

RIA

What regulatory structure does Alliance Advisory & Securities operate under?

Alliance Advisory & Securities, LLC is registered as an investment adviser with the U.S. Securities and Exchange Commission (SEC). This registration subjects the firm to the Investment Advisers Act of 1940, requiring regular disclosures of fees, conflicts, and client assets (per SEC public filings).

Does Alliance Advisory & Securities serve institutional investors or only high-net-worth individuals?

The firm's SEC filings indicate it provides advisory services to both institutional clients and high-net-worth individuals. Its client base typically includes pension plans, endowments, and pooled investment vehicles (per SEC Form ADV).

What types of securities does Alliance Advisory & Securities typically recommend?

Based on its regulatory disclosures, the firm advises on a range of securities including equities, fixed-income instruments, mutual funds, and alternative investments. Specific portfolio holdings are not publicly available (per SEC filings).

Is Alliance Advisory & Securities affiliated with any broker-dealer?

The firm's name includes 'Securities,' suggesting it holds a broker-dealer registration alongside its RIA license. Such dual registrations are common for firms that execute trades for clients (per FINRA records).

Who controls ownership of Alliance Advisory & Securities?

The firm's ownership is not publicly disclosed in any primary source. SEC Form ADV may list direct owners and control persons, but that information has not been extracted for this profile.

Profile maintained by Altss using OSINT (open-source intelligence), regulatory filings, licensed data partners, and verified direct submissions. Read the methodology. Last updated: Jun 3, 2026. Continuous refresh with full update cycles at least every 30 days.