Spectrum Financial Alliance, Ltd., L.L.C.

RIASEC RegisteredEst. 2014

Total AUM

$801M

Discretionary

$801M

100% of AUM

Avg account

$387K

Accounts

2,066

Employees

Advisory reps

Firm details

Headquarters: Nicholasville, Kentucky
CRD number: 125147
Registered since: March 31, 2014
Website: spectrumalliance.com
Custodians: CHARLES SCHWAB & CO., INC.
Fee structure: Percentage of AUM, Fixed Fees
Client types: HNWI83.39%
Individuals16.61%
Services: Financial PlanningPortfolio Management for IndividualsPension ConsultingPublication of PeriodicalsEducational Seminars / Workshops

Firm profile

FINTRX

Overview

Spectrum Financial Alliance, Ltd., L.L.C. is an independent, owner-operated registered investment adviser that has been SEC-registered since 2014. The firm serves individual and family clients and bills primarily as a percentage of assets under management, with some fixed-fee arrangements. Its advisory services emphasize financial planning and portfolio management for individuals and small businesses; the firm also lists pension consulting, educational seminars/workshops, and the publication of newsletters among its activities. The business activities field identifies a law firm connection, suggesting the advisory practice may be affiliated with or operated alongside legal services. Spectrum does not identify as an active ESG investor, is not a multi-state adviser, and is not positioned as a capital allocator.