SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C.

RIASEC RegisteredEst. 2014

Total AUM

$728M

Discretionary

$728M

100% of AUM

Avg account

$506K

Accounts

1,439

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: HNWI81.72%
Individuals18.28%
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 registered investment adviser (SEC-registered in 2014) owned by an individual and focused on individual and family clients. The firm charges both percentage-of-AUM and fixed fees and lists a mix of services that extend beyond portfolio management, including financial planning, pension consulting services, publication of periodicals/newsletters and educational seminars/workshops. Its corporate filing also identifies a law-firm business activity. Spectrum is not positioned as a capital allocator and does not identify as an active ESG investor or a multi-state adviser. Portfolio activity and the firm’s stated asset preference point toward an equity-oriented approach: exchange-traded equities are the most used asset type and represent the bulk of assets under management.