# Alliance Advisory & Securities

Alliance Advisory & Securities is a RIA.

## Overview

- **Organization type:** RIA
- **Assets under management:** Undisclosed

## Regulatory record

- **CRD number:** 18835
- **SEC file number:** 801-67105
- **Registration status:** Registered
- **Reports private funds:** No
- **IAPD record:** https://adviserinfo.sec.gov/firm/summary/18835

## About

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.

## 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).

### 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).

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Last updated: 2026-06-03T20:00:00.000Z

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