ALLIANCE FINANCIAL
FOX FINANCIAL, INC. Legal Name
Adviser information for ALLIANCE FINANCIAL last updated from Form ADV on February 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 | Pennsylvania, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 6 |
| Registered State Investment Advisers | 6 |
| Licensed Agents of an Insurance Company | 5 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 937 | $222.0M |
| Non-Discretionary | 8 | $10.3M |
| Total | 945 | $232.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 526 | $124.6M |
| HNW Individuals | 107 | $89.5M |
| 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 | 11 | $17.9M |
| Charitable organizations | <5 | $194,738 |
| 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 | $101,572 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 51-100 |
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 | 10.3M |
| Portfolio Manager | 4.3M |
| Both for Same | 217.7M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| ALLIANCE FINANCIAL | ALLIANCE FINANCIAL |
| LPL FINANCIAL LLC | LPL FINANCIAL LLC |
Principal Office
12 COMMERCE DRIVEWYOMISSING
PA
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 610-376-5981, Fax: 610-378-5398
Chief Compliance Officer
KEVIN MICHAEL FOX
MANAGING PARTNER & CHIEF COMPLIANCE OFFICER
12 COMMERCE DRIVE
WYOMISSING
PA
United States
Tel:
610-376-5981
Fax:
610-378-5398
K**********@******M
(Full email address available in API data)
Regulatory Contact
ERIC MCFADDEN MISCHLER
MANAGING PARTNER
12 COMMERCE DRIVE
WYOMISSING
PA
United States
Tel:
610-376-5981
Fax:
610-378-5398
E************@******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 |
|---|---|---|---|---|---|
| FOX, KEVIN, MICHAEL | Individual | – | MANAGING PARTNER, CHIEF COMPLIANCE OFFICER, & PRESIDENT | 06/2020 | 50-75% |
| DREXLER, THOMAS, ALAN | Individual | – | MANAGING PARTNER | 06/2020 | 10-25% |
| MISCHLER, ERIC, MCFADDEN | Individual | – | MANAGING PARTNER | 06/2020 | 10-25% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed July 22nd, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| AMPLIFY ETF TR | CWP ENHANCED DIV | 488K | 13K | – |
| INVESCO EXCH TRADED FD TR II | S&P SMLCAP QTY | 534K | 14K | – |
| INVESCO EXCH TRD SLF IDX FD | RUSL 1000 DYNM | 5M | 104K | – |
| INVESCO QQQ TR | UNIT SER 1 | 20M | 41K | – |
| ISHARES TR | RUS MID CAP ETF | 11M | 134K | – |
| ISHARES TR | US SML CAP EQT | 10M | 165K | – |
| ISHARES TR | CORE S&P MCP ETF | 353K | 6K | – |
| SELECT SECTOR SPDR TR | TECHNOLOGY | 18M | 77K | – |
| SPDR SER TR | PORTFOLIO S&P600 | 3M | 67K | – |
| SPDR SER TR | PRTFLO S&P500 GW | 552K | 7K | – |
| SPDR SER TR | PORTFOLI S&P1500 | 21M | 317K | – |
| VANGUARD WORLD FD | CONSUM STP ETF | 304K | 1K | – |
| WISDOMTREE TR | US LARGECAP DIVD | 18M | 254K | – |
| WISDOMTREE TR | US QTLY DIV GRT | 338K | 4K | – |