ALIGN WEALTH MANAGEMENT, LLC
Adviser information for ALIGN WEALTH MANAGEMENT, LLC last updated from Form ADV on May 3rd, 2023. 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 | Oklahoma, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 991 | $415.4M |
| Non-Discretionary | 0 | $0 |
| Total | 991 | $415.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 164 | $97.5M |
| HNW Individuals | 192 | $293.5M |
| 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 | 10 | $24.4M |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUMFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 6.7M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| THE ALIGNED PORTFOLIO PROGRAM | ALIGN WEALTH MANAGEMENT |
Identifiers
| SEC RIA File Number | 801-63165 |
|---|---|
| SEC ERA File Number | 801-63165 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 131482 |
| Legal Entity Identifier | None |
Principal Office
13921 QUAIL POINTE DRIVEOKLAHOMA CITY
OK
United States
Monday - Friday, 8:30 AM - 5:30 PM
Tel: (405) 607-4820, Fax: (405) 294-3340
Chief Compliance Officer
BRIAN PUCKETT
MANAGER/MANAGING MEMBER
13921 QUAIL POINTE DRIVE
OKLAHOMA CITY
OK
United States
Tel:
(405) 607-4820
Fax:
(405) 294-3340
I***@****************M
(Full email address available in API data)
Regulatory Contact
DEBBIE STANLEY
13921 QUAIL POINTE DRIVE
OKLAHOMA CITY
OK
United States
Tel:
(405) 607-4820
Fax:
(405) 294-3340
D*****@****************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 |
|---|---|---|---|---|---|
| PUCKETT, WILLIAM, BRIAN | Individual | – | MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER | 01/1994 | 50-75% |
| PACKARD, DENNIS, SCOTT | Individual | – | MEMBER | 01/2008 | 25-50% |