Hedge Fund Database

ALLEY COMPANY

ALLEY INVESTMENT MANAGEMENT COMPANY, LLC Legal Name

Adviser information for ALLEY COMPANY last updated from Form ADV on March 27th, 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 8
Investment Advisory/Research 4
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 4
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 1

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 399 $727.1M
Non-Discretionary 3 $38.4M
Total 402 $765.5M

Clients

Type Number RAUM
Individuals 38 $15.2M
HNW Individuals 110 $705.0M
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 2 $13.3M
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 $31.9M
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 businessesPortfolio management for businesses or institutional clients
Compensation % of AUM

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 3.5B
Both for Same 0
Portfolio Manager to Program Sponsor
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Identifiers

SEC RIA File Number 801-122856
SEC ERA File Number 801-122856
SEC CIK Numbers 1917618
SEC CRD Numbers 317544
Legal Entity Identifier None

Principal Office

272 MARKET SQUARE
SUITE 214
LAKE FOREST
IL
United States
Monday - Friday, 7:30 AM - 5:00 PM
Tel: 847-482-0938, Fax: 847-482-1237

Websites

www.alleycompanyllc.com focusfinancialpartners.com www.linkedin.com/company/focus-financial-partners/ twitter.com/focusfinancial www.linkedin.com/company/alley-company-llc/about/

Chief Compliance Officer

STACY AMBROSINI
CHIEF COMPLIANCE OFFICER
272 MARKET SQUARE
SUITE 214
LAKE FOREST
IL
United States
Tel: 847-482-0938
(Full email address available in API data)

Regulatory Contact

STEVEN J. ALLEY
DEPUTY CHIEF COMPLIANCE OFFICER
272 MARKET SQUARE
SUITE 214
LAKE FOREST
IL
United States
Tel: 847-482-0938
(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
ALLEY, STEVEN, JAMES Individual – PRESIDENT & FOUNDER 11/2021 < 5%
DURYEA, RIK, WILLIS Individual – MANAGING DIRECTOR 11/2021 < 5%
VAN VUREN, THOMAS, FISHER Individual – MANAGING DIRECTOR 11/2021 < 5%
FOCUS OPERATING, LLC Domestic Entity – MEMBER (MANAGER) 11/2021 > 75%
FOCUS FINANCIAL PARTNERS, LLC Domestic Entity FOCUS OPERATING, LLC MEMBER 01/2007 > 75%
FOCUS FINANCIAL PARTNERS INC. Domestic Entity FOCUS FINANCIAL PARTNERS, LLC MEMBER 07/2018 > 75%
FERDINAND FFP ACQUISITION, LLC Domestic Entity FOCUS FINANCIAL PARTNERS INC. SHAREHOLDER, CLASS A COMMON STOCK 08/2023 > 75%
FERDINAND FFP ULTIMATE HOLDINGS, LP Domestic Entity FOCUS FINANCIAL PARTNERS INC. SHAREHOLDER, CLASS B COMMON STOCK 08/2023 > 75%
FERDINAND FFP INTERMEDIATE HOLDINGS, LLC Domestic Entity FERDINAND FFP ACQUISITION, LLC MEMBER 08/2023 > 75%
FERDINAND FFP PARENT, INC. Domestic Entity FERDINAND FFP INTERMEDIATE HOLDINGS, LLC MEMBER 08/2023 > 75%
FERDINAND FFP ULTIMATE HOLDINGS, LP Domestic Entity FERDINAND FFP PARENT, INC. SHAREHOLDER 08/2023 > 75%
CD&R FERDINAND HOLDINGS, L.P. Domestic Entity FERDINAND FFP ULTIMATE HOLDINGS, LP PARTNER 08/2023 50-75%
CD&R FERDINAND CO-INVESTOR, L.P. Foreign Entity CD&R FERDINAND HOLDINGS, L.P. PARTNER 08/2023 25-50%
CLAYTON, DUBILIER & RICE FUND XII, L.P. Foreign Entity CD&R FERDINAND HOLDINGS, L.P. PARTNER 08/2023 50-75%
AMBROSINI, STACY, CAROL Individual – CHIEF COMPLIANCE OFFICER 03/2024 < 5%

No. Employees, Historic

1050202120222023202420255 on 11/11/20216 on 1/31/20226 on 3/11/20226 on 11/4/20226 on 3/23/20236 on 5/26/20236 on 5/30/20236 on 6/8/20236 on 9/1/20236 on 9/25/20238 on 3/27/2024

RAUM, Historic

800M400M0202120222023202420250 on 11/11/2021779990680 on 1/31/2022779990680 on 3/11/2022779990680 on 11/4/2022683549462 on 3/23/2023683549462 on 5/26/2023683549462 on 5/30/2023683549462 on 6/8/2023683549462 on 9/1/2023683549462 on 9/25/2023765472925 on 3/27/2024

No. Clients, Historic

2001000202120222023202420250 on 11/11/2021145 on 1/31/2022145 on 3/11/2022145 on 11/4/2022152 on 3/23/2023152 on 5/26/2023152 on 5/30/2023152 on 6/8/2023152 on 9/1/2023152 on 9/25/2023155 on 3/27/2024

Holdings

From latest 13F, filed August 14th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
AbbVie Inc COM 20M 114K –
Abbott Laboratories COM 14M 136K –
Accenture PLC Cl A COM 17M 55K –
Alphabet Inc Cl A COM 18M 97K –
Alphabet Inc Cl C COM 2M 12K –
Altria Group Inc COM 2M 42K –
Amazon Com Inc COM 18M 94K –
Ameriprise Financial Inc COM 24M 56K –
Amgen Inc COM 7M 23K –
Apple Inc COM 28M 133K –
Arthur J. Gallagher & Co COM 10M 38K –
Berkshire Hathaway Cl B COM 10M 25K –
BlackRock, Inc COM 17M 21K –
Broadcom Com COM 318K 198 –
Broadridge Finl Solution COM 10M 51K –
CME Group Inc COM 3M 17K –
Carlisle Companies Inc COM 6M 16K –
Chevron Corp COM 17M 107K –
Cisco Systems COM 5M 102K –
Costco Whsl Corp COM 20M 23K –
Danaher Corp COM 11M 44K –
Discover Financial Services COM 10M 78K –
Duke Energy Corp COM 6M 56K –
Eli Lilly & Co COM 10M 11K –
Envestnet,Inc COM 751K 12K –
Exxon Mobil Corp COM 207K 2K –
Fastenal Co COM 804K 13K –
Home Depot Inc COM 18M 53K –
Illinois Tool Works COM 9M 37K –
Intuit COM 13M 19K –
JPMorgan Chase & Co COM 26M 128K –
Johnson & Johnson COM 632K 4K –
Kimberly-Clark Corp COM 388K 3K –
Lockheed Martin Corp COM 16M 35K –
Lululemon Athletica COM 358K 1K –
MasterCard Inc COM 15M 34K –
Merck & Co Inc COM 16M 133K –
Microchip Technology COM 16M 171K –
Microsoft Corp COM 27M 60K –
Morgan Stanley COM 4M 36K –
NextEra Energy, Inc COM 13M 188K –
Nvidia Corp. COM 7M 58K –
Paychex Inc COM 19M 157K –
Pepsico Inc. COM 11M 69K –
Philip Morris Int'l Inc COM 16M 162K –
Phillips 66 COM 7M 52K –
Polaris Industries Inc COM 421K 5K –
Procter & Gamble Co COM 10M 61K –
SPDR S&P 500 ETF COM 4M 7K –
SPDR Tech Sector ETF COM 928K 4K –
Salesforce.com COM 515K 2K –
Schwab U.S. Broad Market ETF COM 224K 4K –
Schwab U.S. Dividend Equity ET COM 393K 5K –
Schwab U.S. Large-Cap ETF COM 1M 19K –
Snap-On Inc. COM 12M 46K –
Starbucks Corp COM 11M 144K –
Stryker COM 12M 34K –
U. S. Bancorp COM 5M 134K –
Union Pacific Corp COM 17M 76K –
Unitedhealth Group COM 8M 15K –
Vanguard FTSE Developed Mkts E COM 4M 89K –
Vanguard FTSE Emerging Mkts ET COM 4M 99K –
Vanguard Growth ETF COM 973K 3K –
Vanguard Large Cap ETF COM 2M 10K –
Vanguard Mid-Cap ETF COM 287K 1K –
Verizon Communications COM 8M 192K –
Visa Inc. COM 333K 1K –
WEC Energy Group, Inc. COM 3M 41K –
Wal-Mart Stores Inc COM 228K 3K –
Xcel Energy Inc COM 302K 6K –
iShares Core S&P Mid-Cap ETF COM 6M 95K –
iShares Core S&P Small-Cap ETF COM 6M 58K –
iShares DJ Select Dividend ETF COM 670K 6K –
iShares MSCI EAFE ETF COM 740K 9K –
iShares Russell 2000 ETF COM 2M 9K –
iShares Russell Mid-Cap ETF COM 1M 17K –
Crown Castle Intl Corp COM 6M 57K –
Prologis Inc COM 6M 50K –
Schwab U.S. Aggregate Bond ETF COM 326K 7K –
Vanguard Total Bond Mkt ETF COM 14M 191K –
iShares Nat'l AMT-Free Muni Bo COM 13M 121K –
iShares Short-Term Corp Bond E COM 19M 362K –
iShares Ultra Short Term Bond COM 385K 8K –
iShares iBoxx High Yld Corp Bo COM 10M 133K –
iShares iBoxx Inv Gr Corp Bond COM 20M 185K –