Hedge Fund Database

ALLIANCE ADVISORY & SECURITIES, LLC

Adviser information for ALLIANCE ADVISORY & SECURITIES, LLC last updated from Form ADV on March 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 Limited Liability Company
Fiscal Year End DECEMBER
Legal Location California, United States

Employees

Total Number of Employees 25
Investment Advisory/Research 16
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 18
Licensed Agents of an Insurance Company 2
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 1,225 $329.5M
Non-Discretionary 1,379 $278.8M
Total 2,604 $608.4M

Clients

Type Number RAUM
Individuals 417 $117.6M
HNW Individuals 268 $480.5M
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 2 $6.0M
Pension and profit sharing plans 0 $0
Charitable organizations 11 $4.2M
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 698
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 251-500

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshops
Compensation % of AUMHourly chargesFixed fees
Other Business Activities FINANCIAL PLANNING SERVICES

Identifiers

SEC RIA File Number 801-67105
SEC ERA File Number 801-67105
SEC CIK Numbers None
SEC CRD Numbers 18835
Legal Entity Identifier None

Principal Office

31248 E. OAK CREST DRIVE STE 100
WESTLAKE VILLAGE
CA
United States
Monday - Friday, 9:00 AM - 5:00PM
Tel: 805-371-8020, Fax: 805-371-8008

Websites

www.allianceadvisory.com aewealth.com

Chief Compliance Officer

JEFFREY GARAGLIANO
CHIEF COMPLIANCE OFFICER
31248 E. OAK CREST DRIVE STE 100
WESTLAKE VILLAGE
CA
United States
Tel: 805-371-8020
Fax: 805-371-8008
(Full email address available in API data)

Regulatory Contact

JERRY V. SANADA
CHIEF FINANCIAL OFFICER
31248 E. OAK CREST DRIVE STE 100
WESTLAKE VILLAGE
CA
United States
Tel: 805-371-8020
Fax: 805-371-8008
(Full email address available in API data)

Industry Affiliates

ABLP REALTY CAPITAL Real estate broker or dealer
ALLIANCE ENTRUST, INC. Other investment adviser, including financial plannersAccountant or accounting firm
ALLIANCE FINANCIAL GROUP, INC. Sponsor or syndicator of limited partnershipsSponsor, GP, manager of pooled investment vehicles
COMMUNE ABLP MANAGEMENT LLC Sponsor or syndicator of limited partnerships
COMMUNE FUND IV MANAGEMENT, LLC Sponsor or syndicator of limited partnerships
COMMUNE FUND V MANAGEMENT, LLC Sponsor or syndicator of limited partnerships
COMMUNE MULTI-FAMILY MANAGEMENT, LLC Sponsor or syndicator of limited partnerships
COMMUNE RESOP MANAGEMENT, LLC Sponsor or syndicator of limited partnerships

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
ALTERNATIVE INVESTMENT PORTFOLIO, LP Private Equity Fund $5.6M $0.0M 47
STABLE VALUE PORTFOLIO, LP Hedge Fund $5.5M $0.1M 39

Control Persons

Name Type Entity Title Since Ownership
ALLIANCE FINANCIAL GROUP, INC. Domestic Entity – PARENT CORPORATION 03/1991 > 75%
SANADA, RANDALL, PAUL Individual SANADA, RANDALL, PAUL CHAIRMAN 07/1987 25-50%
SANADA, JERRY, VINCENT Individual – CHIEF FINANCIAL OFFICER 11/1997 < 5%
SANADA, RANDALL, PAUL Individual – PRESIDENT 09/2022 < 5%
SANADA, RANDALL, PAUL Individual SANADA, RANDALL, PAUL PRESIDENT 08/2013 25-50%
SANADA, JERRY, VINCENT Individual SANADA, JERRY, VINCENT CFO 08/2013 25-50%
GARAGLIANO, JEFFREY, THOMAS Individual – CHIEF COMPLIANCE OFFICER 10/2013 < 5%

No. Employees, Historic

30150201920202021202220232024202516 on 7/15/201920 on 9/25/201920 on 5/28/202020 on 6/29/202018 on 9/25/202018 on 10/1/202018 on 12/17/202020 on 9/28/202121 on 2/3/202220 on 2/4/202221 on 3/28/202221 on 3/31/202221 on 4/30/202222 on 6/30/202222 on 10/19/202222 on 12/15/202220 on 3/17/202320 on 3/22/202320 on 3/22/202320 on 4/28/202325 on 10/25/202325 on 11/3/202325 on 3/26/2024

RAUM, Historic

700M350M02019202020212022202320242025217761998 on 7/15/2019245136733 on 9/25/2019245136733 on 5/28/2020245136733 on 6/29/2020321176695 on 9/25/2020321176695 on 10/1/2020321176695 on 12/17/2020404265193 on 9/28/2021404265193 on 2/3/2022404265193 on 2/4/2022404265193 on 3/28/2022357004816 on 3/31/2022357004816 on 4/30/2022357004816 on 6/30/2022357004816 on 10/19/2022357004816 on 12/15/2022454406861 on 3/17/2023454406861 on 3/22/2023454406861 on 3/22/2023454406861 on 4/28/2023454406861 on 10/25/2023454406861 on 11/3/2023608366297 on 3/26/2024

No. Clients, Historic

70035002019202020212022202320242025367 on 7/15/2019391 on 9/25/2019391 on 5/28/2020391 on 6/29/2020392 on 9/25/2020392 on 10/1/2020392 on 12/17/2020435 on 9/28/2021435 on 2/3/2022435 on 2/4/2022435 on 3/28/2022458 on 3/31/2022458 on 4/30/2022458 on 6/30/2022458 on 10/19/2022458 on 12/15/2022499 on 3/17/2023499 on 3/22/2023499 on 3/22/2023499 on 4/28/2023499 on 10/25/2023499 on 11/3/2023698 on 3/26/2024