ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM
ALLIANT SECURITIES, INC. Legal Name
Adviser information for ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM last updated from Form ADV on March 7th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Washington, United States |
Employees
| Total Number of Employees | 9 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 4 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 421 | $135.0M |
| Non-Discretionary | 100 | $45.0M |
| Total | 521 | $180.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 509 | $148.5M |
| HNW Individuals | 11 | $30.0M |
| 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 | 0 | $0 |
| Charitable organizations | 1 | $1.5M |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Broker-dealer |
Identifiers
| SEC RIA File Number | 801-120849 |
|---|---|
| SEC ERA File Number | 801-120849 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 7726 |
| Legal Entity Identifier | None |
Principal Office
695 NORTH LEGACY RIDGE DRIVE SUITE 300LIBERTY LAKE
WA
United States
Monday - Friday, 7:00 A.M. - 4:00 P.M
Tel: 509-747-9144, Fax: 509-623-1543
Websites
Chief Compliance Officer
JEFFREY NEWTON
CHIEF COMPLIANCE OFFICER
695 N LEGACY RIDGE DR
SUITE 300
LIBERTY LAKE
WA
United States
Tel:
509 747-9144
Fax:
509 623-1543
J***@********************M
(Full email address available in API data)
Regulatory Contact
PAUL KIENBAUM
TREASURER/PRINCIPAL
695 NORTH LEGACY RIDGE DRIVE SUITE 300
LIBERTY LAKE
WA
United States
Tel:
509-747-9144
Fax:
509-623-1543
P***@********************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 |
|---|---|---|---|---|---|
| KIENBAUM, PAUL DOUGLAS | Individual | – | TREASURER CEO CO-CCO CFO | 10/2000 | 50-75% |
| NORD, MICHAEL ODELL | Individual | – | PRESIDENT CFO CO-CCO | 12/2004 | 50-75% |
| NEWTON, JEFFREY MYLES | Individual | – | CO-CCO | 05/2011 | < 5% |
| MANN, SALLY SUE | Individual | – | SECRETARY CFO | 11/2013 | < 5% |