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INDEPENDENT ADVISOR ALLIANCE, LLC
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% .  
 
INDEPENDENT ADVISOR ALLIANCE, LLC also reported in Mar 2019
  • 175 employees, all of whom perform advisory functions.
  • A total of 108 office locations.
  • No registrations with foreign financial regulatory authorities.
  • NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
INDEPENDENT ADVISOR ALLIANCE, LLC has no disclosure events reported to the SEC at this time.
 

View INDEPENDENT ADVISOR ALLIANCE, LLC's most recent Form ADV filing
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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


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.


irban43
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irban43


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