ALLEGIANCE FINANCIAL ADVISORS, INC.
Adviser information for ALLEGIANCE FINANCIAL ADVISORS, INC. last updated from Form ADV on February 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Florida, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 7 |
| Registered State Investment Advisers | 7 |
| Licensed Agents of an Insurance Company | 7 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 422 | $130.6M |
| Total | 422 | $130.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 155 | $30.4M |
| HNW Individuals | 83 | $100.1M |
| 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 | 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 | <5 | $71,812 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-121302 |
|---|---|
| SEC ERA File Number | 801-121302 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 127293 |
| Legal Entity Identifier | None |
Principal Office
3112 ST. JOHNS BLUFF ROAD SOUTHJACKSONVILLE
FL
United States
Monday - Friday, 8:30 AM - 4:30 PM
Tel: 904-642-4401, Fax: 904-680-5035
Websites
Chief Compliance Officer
TAMMARA A. TOTON
3112 ST. JOHNS BLUFF RD. SOUTH
JACKSONVILLE
FL
United States
Tel:
904-642-4401
Fax:
904-680-5035
I***@*********************M
(Full email address available in API data)
Regulatory Contact
ALFRED C. DELLA PORTA
PRESIDENT
3112 ST. JOHNS BLUFF ROAD SOUTH
JACKSONVILLE
FL
United States
Tel:
904-642-4401
Fax:
904-680-5035
A**********@*********************M
(Full email address available in API data)
Industry Affiliates
| DELLA PORTA AGENCY, LLC | Insurance company or agency |
| DP BROKERAGE, INC. | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| DELLAPORTA, ALFRED, CHARLES | Individual | – | PRESIDENT | 03/2005 | > 75% |
| MALTESE, JOSEPH, JAMES | Individual | – | VICE PRESIDENT | 02/2009 | 5-10% |
| TOTON, TAMMARA, ANN | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2015 | < 5% |