THE WEALTH ALLIANCE, LLC
Adviser information for THE WEALTH ALLIANCE, LLC last updated from Form ADV on March 26th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 21 |
|---|---|
| Investment Advisory/Research | 8 |
| Registered Broker-Dealer Representatives | 13 |
| Registered State Investment Advisers | 8 |
| Licensed Agents of an Insurance Company | 7 |
| No. of Firms/People that Solicit Clients | 3 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 4,006 | $1.7B |
| Non-Discretionary | 0 | $0 |
| Total | 4,006 | $1.7B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 658 | $216.5M |
| HNW Individuals | 360 | $1.3B |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 70 | $72.6M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 22 | $116.6M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 1.7B |
| Portfolio Manager to Program | Sponsor |
|---|---|
| WA WRAP FEE PROGRAM | THE WEALTH ALLIANCE, LLC |
Identifiers
| SEC RIA File Number | 801-117251 |
|---|---|
| SEC ERA File Number | 801-117251 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 305052 |
| Legal Entity Identifier | None |
Principal Office
105 BROADHOLLOW ROADMELVILLE
NY
United States
Monday - Friday, 9:00AM TO 5:00PM
Tel: (631) 670-0682, Fax: 631-760-8854
Chief Compliance Officer
WILLIAM G. FRANEY
CHIEF FINANCIAL OFFICER
105 BROADHOLLOW ROAD
MELVILLE
NY
United States
Tel:
(631) 670-0703
W******@********************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| FRANEY, WILLIAM, GEORGE | Individual | – | CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER | 07/2019 | < 5% |
| CONZO, ROBERT, JOSEPH | Individual | – | CHIEF EXECUTIVE OFFICER AND MANAGING DIRECTOR | 08/2019 | < 5% |
| WEALTH ALLIANCE HOLDINGS, LLC | Domestic Entity | – | OWNER | 06/2022 | > 75% |
| RJC FINANCIAL LLC | Domestic Entity | WEALTH ALLIANCE HOLDINGS, LLC | OWNER | 06/2022 | 50-75% |
| E-DITTY FINANCIAL LLC | Domestic Entity | WEALTH ALLIANCE HOLDINGS, LLC | OWNER | 06/2022 | 50-75% |
| CONZO, ROBERT, JOSEPH | Individual | RJC FINANCIAL LLC | OWNER | 06/2022 | > 75% |
| DITON, ERIC, ANDREW | Individual | E-DITTY FINANCIAL LLC | OWNER | 06/2022 | > 75% |
| DITON, ERIC, ANDREW | Individual | – | PRESIDENT AND MANAGING DIRECTOR | 08/2019 | < 5% |