Updated:
Alliance Advisory & Securities
Alliance Advisory & Securities, LLC is a US-registered investment adviser (RIA) that offers asset management and securities brokerage services.
Alliance Advisory & Securities
Alliance Advisory & Securities, LLC is a US-registered investment adviser (RIA) that offers asset management and securities brokerage services. The firm's founding year and principals are not publicly named in available resources. The firm's strategy involves managing client portfolios across multiple asset classes, including equities, fixed income, and alternative investments. Its filings note a focus on discretionary and non-discretionary advisory services for institutions and high-net-worth individuals. Geographic coverage spans the United States. The firm's team size and assets under management are not publicly disclosed. No additional offices or adjacent vehicles are confirmed in public records. Alliance Advisory & Securities operates primarily through its SEC registration, which requires periodic reporting of advisory activities. Alliance Advisory & Securities is structured as a limited liability company registered with state and federal securities regulators. Its regulatory posture distinguishes it from unregistered family offices, requiring compliance with Investment Advisers Act rules on custody, disclosure, and fiduciary duty.
General information
Firm type
RIA
Year founded
—
AUM
Undisclosed
Location
Region
—
Country
—
City
—
Corporate office
—
Frequently asked questions
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: . Continuous refresh with full update cycles at least every 30 days.
Need institutional-grade insight on family offices?
Altss delivers:
Prefer a guided tour?
We’ll walk you through: