ALLIANCE ADVISORY & SECURITIES, LLC

Overview

Alliance Advisory & Securities, LLC is an independent RIA organized as an LLC and SEC-registered since 2006. The firm serves both individual/family clients and institutional clients and describes itself as a capital allocator that uses third-party managers alongside its own advisory services. Its advisory scope includes financial planning, portfolio management for individuals and small businesses as well as for institutions, pension consulting, manager selection, and educational seminars. The firm also engages in other financial product distribution and reports active consideration of ESG factors in its investment process. Fee arrangements are mixed — percentage of AUM, hourly charges, and fixed fees are all used. Alliance takes on both discretionary and non-discretionary relationships and explicitly acts as a sponsor or managing member of pooled investment vehicles in addition to other industry affiliations such as accountant and real estate broker relationships. The combination of manager selection activity and direct sponsorship indicates a hybrid model that blends outsourced manager allocations with in-house or affiliated private vehicle offerings.

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