INDEPENDENT ADVISOR ALLIANCE, LLC
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INDEPENDENT ADVISOR ALLIANCE, LLC
(CRD# 168267)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Charlotte, NC.
The SEC approved the firm to operate as an RIA in
Nov 2013.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$4.7 Billion,
with discretion over
99%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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INDEPENDENT ADVISOR ALLIANCE, LLC
also reported in
Mar 2019
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175
employees,
all of whom perform advisory functions.
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A total of 108 office locations.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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INDEPENDENT ADVISOR ALLIANCE, LLC has no disclosure events reported to the SEC at this time.
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INDEPENDENT ADVISOR ALLIANCE, LLC has Notice Filings with the following State Securities Authorities:
AK-Jan 2014, AL-Jan 2014, AR-Apr 2016, AZ-Nov 2013, CA-Nov 2013
, CO-Nov 2013, CT-Nov 2013, DC-Nov 2013, DE-Nov 2013, FL-Nov 2013
, GA-Nov 2013, HI-Mar 2018, IA-May 2016, ID-Mar 2018, IL-Nov 2013
, IN-Nov 2013, KS-Jan 2014, KY-Jan 2014, LA-Jan 2014, MA-Nov 2013
, MD-Nov 2013, ME-Jan 2014, MI-Nov 2013, MN-Jan 2014, MO-Nov 2013
, MS-Jan 2014, MT-Mar 2018, NC-Nov 2013, ND-Mar 2018, NE-Apr 2016
, NH-Sep 2015, NJ-Nov 2013, NM-Jan 2014, NV-Nov 2013, NY-Nov 2013
, OH-Nov 2013, OK-Mar 2018, OR-Nov 2013, PA-Nov 2013, PR-Nov 2013
, RI-Nov 2013, SC-Nov 2013, SD-Mar 2018, TN-Nov 2013, TX-Nov 2013
, UT-Nov 2013, VA-Nov 2013, VT-Nov 2013, WA-Nov 2013, WI-Jan 2014
, WV-Jan 2014, WY-Mar 2018
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Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
RIAs provided erroneous data to the
SEC. Feel free to contact
FindingFraud.org with questions or concerns.
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