Alliance Advisory & Securities, LLC

RIASEC RegisteredEst. 2006
Total AUM
$687M
Discretionary
$393M
57% of AUM
Avg account
$250K
Accounts
2,748
Employees
21
Advisory reps
16

Firm details

Headquarters
Westlake Village, California
CRD number
18835
Registered since
September 5, 2006
Custodians
FIDELITY DISTRIBUTORS COMPANY LLC
Fee structure
Percentage of AUM, Hourly Charges, Fixed Fees
Client types
  • HNWI74.27%
  • Individuals24.92%
  • Charitable Organizations0.8%
Services
Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension ConsultingSelection of Other AdvisersEducational Seminars / Workshops

Firm profile

FINTRX

Overview

Alliance Advisory & Securities, LLC is an independent registered investment adviser organized as an LLC and operating since 2006. The firm serves both individual/family and institutional clients and positions itself as a capital allocator that combines portfolio management with financial planning and advisory services. Its advisory menu includes portfolio management for individuals, small businesses and institutions, selection of other advisers, pension consulting, and educational seminars. The firm also acts as an other financial product salesperson and has industry roles that include sponsoring pooled investment vehicles and serving as sponsor/GP/managing member on sponsored vehicles. Alliance identifies as an active ESG investor. Fee arrangements are flexible and include percentage of AUM, hourly billing, and fixed-fee engagements. The firm reports activity across both discretionary and non-discretionary mandates and provides a mix of advisory and non-advisory services common to dual client bases (individuals/families and institutional clients).

Assets & Accounts

Investments & Alternatives

Location & Offices

Investment profile

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Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

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CRM & tech providers

TAMPs used

Clients

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Client base

Client personas

Asset composition

Asset composition: Public Funds/Mutual Funds 49%, Exchange Traded Equities 25%, Cash & Cash Equivalents 17%, Other 9%49%
  • Public Funds/Mutual Funds49%
  • Exchange Traded Equities25%
  • Cash & Cash Equivalents17%
  • Other9%

Owners & executives

3 of 3
  • Jeffrey Garagliano

    Jeffrey Garagliano

    Acting Chief Compliance OfficerCRD 3208095

  • Randall Sanada

    Randall Sanada

    President and CEOCRD 2785856

  • Liza Dela Cruz

    Liza Dela Cruz

    Chief Compliance OfficerCRD 4109501

Contacts

3 of 13
  • Hoby Pearce

    Hoby Pearce

    RepresentativeCRD 4353948

  • Robert Knight

    Robert Knight

    AdvisorCRD 4428248

  • Christopher Tyler

    Christopher Tyler

    Investment Advisor RepresentativeCRD 6963483

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Wealth teams

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Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

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Location

Primary office

Westlake Village, CA

Ventura

Location

Westlake Village, CA

Headquartered in Westlake Village, CA, anchoring the Los Angeles-Long Beach, CA metro in the West.

Metro area
Los Angeles-Long Beach, CA
Region
West
County
Ventura
Address
31248 Oak Crest Dr
Time zone
PT (UTC-8)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth