WEALTH TEAMS ALLIANCE
WEALTH TEAMS ALLIANCE INC. Legal Name
Adviser information for WEALTH TEAMS ALLIANCE last updated from Form ADV on March 29th, 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 | California, United States |
Employees
| Total Number of Employees | 26 |
|---|---|
| Investment Advisory/Research | 10 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 8 |
| Licensed Agents of an Insurance Company | 8 |
| No. of Firms/People that Solicit Clients | 10 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 912 | $199.3M |
| Non-Discretionary | 0 | $0 |
| Total | 912 | $199.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 710 | $125.8M |
| HNW Individuals | 45 | $55.0M |
| 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 | 12 | $11.5M |
| Charitable organizations | 7 | $7.0M |
| 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 | 22 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPublication of periodicals or newslettersEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Insurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 150.4M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| WEALTH TEAMS ALLIANCE WRAP PROGRAM | WEALTH TEAMS ALLIANCE |
Identifiers
| SEC RIA File Number | 801-122977 |
|---|---|
| SEC ERA File Number | 801-122977 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 168907 |
| Legal Entity Identifier | None |
Principal Office
15520 ROCKFIELD BLVDSUITE G
IRVINE
CA
United States
Monday - Friday, BY APPOINTMENT
Tel: 877-282-4768, Fax: 949-900-0096
Websites
Chief Compliance Officer
GARY MILLION
15520 ROCKFIELD BLVD.
SUITE G
IRVINE
CA
United States
Tel:
949-900-0062
G***@***********T
(Full email address available in API data)
Industry Affiliates
| ASSOCIATEIS IN INSURANCE CONCEPT SERVICES, INC. | Insurance company or agency |
| BAKER MOUNTFORD INSURANCE SERVICES | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BAKER, GUY, EUGENE | Individual | – | MANAGING MEMBER | 12/2016 | > 75% |
| MILLION, GARY, EDWIN | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2017 | < 5% |