Hedge Fund Database

ALLY INVEST ADVISORS

ALLY INVEST ADVISORS INC Legal Name

Adviser information for ALLY INVEST ADVISORS last updated from Form ADV on February 5th, 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 Delaware, United States

Employees

Total Number of Employees 12
Investment Advisory/Research 12
Registered Broker-Dealer Representatives 11
Registered State Investment Advisers 11
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 70,547 $1.1B
Non-Discretionary 0 $0
Total 70,547 $1.1B

Clients

Type Number RAUM
Individuals 73,905 $1.1B
HNW Individuals 25 $27.6M
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 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 500

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businesses
Compensation % of AUM

Identifiers

SEC RIA File Number 801-79305
SEC ERA File Number 801-79305
SEC CIK Numbers 1706013
SEC CRD Numbers 170301
Legal Entity Identifier None

Principal Office

601 S. TRYON STREET
SUITE 100
CHARLOTTE
NC
United States
Monday - Friday, 8:30 AM TO 5:30 PM ET
Tel: 855-880-2559, Fax: 866-699-0563

Websites

www.ally.com/invest/wealth-management/ www.ally.com/invest/ www.ally.com/invest/robo-automated-investing/ ally.com/invest/personal-advice/ secure.ally.com/open-account/invest-simply/automated

Chief Compliance Officer

GERALD KRAGER
CHIEF COMPLIANCE OFFICER
601 S. TRYON STREET
CHARLOTTE
NC
United States
Tel: 704-543-3458
Fax: 866-699-0563
(Full email address available in API data)

Regulatory Contact

ROB SYKES
EXECUTIVE DIRECTOR
601 S. TRYON STREET
CHARLOTTE
NC
United States
Tel: 704-501-0639
Fax: 866-699-0563
(Full email address available in API data)

Industry Affiliates

ALLY BANK Banking or thrift institution
ALLY FINANCIAL Banking or thrift institution
ALLY INTERNATIONAL INSURANCE COMPANY LTD. Insurance company or agency
ALLY INVEST SECURITIES LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealer
ALLY RISK SERVICES INC. Insurance company or agency
ALLY SERVICE AGREEMENT CORPORATION Insurance company or agency
CIM INSURANCE CORPORATION Insurance company or agency
COVERAGEONE CORPORATION Insurance company or agency
MIC PROPERTY AND CASUALTY INSURANCE CORPORATION Insurance company or agency
MOTORS INSURANCE CORPORATION Insurance company or agency
UNIVERSAL WARRANTY CORPORATION Insurance company or agency

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
ALLY FINANCIAL INC. Domestic Entity ALLY INVEST GROUP INC. SHAREHOLDER 06/2016 > 75%
ALLY INVEST GROUP INC. Domestic Entity – MAJORITY SHAREHOLDER 09/2012 > 75%
Krager, Gerald Individual – CHIEF COMPLIANCE OFFICER 03/2020 < 5%
Martin, Alex, Michael Individual – CHIEF FINANCIAL OFFICER 07/2020 < 5%
Patel, Miteshkumar, D Individual – PRESIDENT 02/2021 < 5%
Spangard, Loretta, Ballard Individual – DIRECTOR 02/2022 < 5%

No. Employees, Historic

30150201920202021202220232024202530 on 6/5/201930 on 9/16/201930 on 11/13/20190 on 3/30/20200 on 6/26/20200 on 8/13/202012 on 3/30/202112 on 9/17/202115 on 3/11/202215 on 3/11/202215 on 5/13/202215 on 8/24/202215 on 11/18/202215 on 11/18/202214 on 3/30/202314 on 9/19/202312 on 2/5/2024

RAUM, Historic

2B1B02019202020212022202320242025175785366 on 6/5/2019217761026 on 9/16/2019241855854 on 11/13/2019276870186 on 3/30/2020276870186 on 6/26/2020276870186 on 8/13/2020709806089 on 3/30/2021709806089 on 9/17/20211081027231 on 3/11/20221081027231 on 3/11/20221081027231 on 5/13/20221081027231 on 8/24/20221081027231 on 11/18/20221081027231 on 11/18/2022986653558 on 3/30/2023986653558 on 9/19/20231127619162 on 2/5/2024

No. Clients, Historic

90,00045,0000201920202021202220232024202511400 on 6/5/201917716 on 9/16/201921513 on 11/13/201932933 on 3/30/202032933 on 6/26/202032933 on 8/13/202057006 on 3/30/202157006 on 9/17/202177195 on 3/11/202277195 on 3/11/202277195 on 5/13/202277195 on 8/24/202277195 on 11/18/202277195 on 11/18/202284074 on 3/30/202384074 on 9/19/202373930 on 2/5/2024

Holdings

From latest 13F, filed August 13th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ISHARES TR CORE S&P500 ETF 216M 395K –
VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 197M 4M –
ISHARES TR CORE S&P MCP ETF 106M 2M –
VANGUARD CHARLOTTE FDS INTL BD IDX ETF 86M 2M –
ISHARES TR BARCLAYS 7 10 YR 75M 798K –
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 52M 1M –
VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 50M 1M –
ISHARES TR INTRM TR CRP ETF 44M 865K –
ISHARES TR ESG AWR MSCI USA 39M 323K –
ISHARES TR CORE S&P SCP ETF 36M 334K –
ISHARES TR ESG AW MSCI EAFE 20M 249K –
ISHARES TR NATIONAL MUN ETF 19M 175K –
SCHWAB STRATEGIC TR US LCAP GR ETF 18M 182K –
SCHWAB STRATEGIC TR US LCAP VA ETF 16M 221K –
ISHARES TR CORE US AGGBD ET 11M 109K –
ISHARES INC ESG AWR MSCI EM 5M 162K –
ISHARES TR ESG AWARE MSCI 4M 106K –
VANGUARD WHITEHALL FDS INC HIGH DIV YLD 4M 31K –
ISHARES TR SH TR CRPORT ETF 3M 61K –
SELECT SECTOR SPDR TR TECHNOLOGY 3M 13K –
VANGUARD WHITEHALL FDS INC INTL HIGH ETF 2M 36K –
VANGUARD INDEX FDS MCAP GR IDXVIP 2M 9K –
VANGUARD INDEX FDS MCAP VL IDXVIP 2M 13K –
ISHARES TR ESG MSCI USA ETF 2M 37K –
VANGUARD BD INDEX FDS SHORT TRM BOND 2M 22K –
ISHARES TR ESG AWR US AGRGT 2M 35K –
VANGUARD INDEX FDS SML CP GRW ETF 2M 6K –
VANGUARD INDEX FDS SM CP VAL ETF 2M 9K –
ISHARES TR JPMORGAN USD EMG 2M 18K –
SCHWAB STRATEGIC TR US DIVIDEND EQ 1M 17K –
ISHARES TR SHRT NAT MUN ETF 1M 12K –
VANGUARD INDEX FDS TOTAL STK MKT 1M 4K –
SELECT SECTOR SPDR TR SBI HEALTHCARE 1M 8K –
SPDR SER TR PORTFOLIO INTRMD 1M 34K –
SELECT SECTOR SPDR TR FINANCIAL 959K 23K –
SELECT SECTOR SPDR TR SBI CONS DISCR 829K 5K –
VANGUARD INDEX FDS VALUE ETF 795K 5K –
VANGUARD INDEX FDS GROWTH ETF 734K 2K –
SELECT SECTOR SPDR TR SBI INT-INDS 718K 6K –
SELECT SECTOR SPDR TR COMMUNICATION 676K 8K –
ISHARES TR EXPONENTIAL TECH 557K 9K –
SPDR SER TR PORTFOLIO LN COR 548K 24K –
VANGUARD BD INDEX FDS TOTAL BND MRKT 493K 7K –
ISHARES TR ESG EAFE ETF 489K 7K –
ISHARES TR MSCI LW CRB TG 480K 3K –
VANGUARD STAR FDS VG TL INTL STK F 468K 8K –
ISHARES TR CORE MSCI EAFE 459K 6K –
SELECT SECTOR SPDR TR SBI CONS STPLS 457K 6K –
FIRST TR EXCHANGE TRADED FD CLOUD COMPUTING 435K 5K –
GLOBAL X FDS RBTCS ARTFL INTE 434K 14K –
ISHARES TR ESG AWRE 1 5 YR 422K 17K –
INVESCO EXCH TRADED FD TR II NATL AMT MUNI 411K 17K –
SPDR SER TR SPDR S&P 500 ETF 402K 9K –
ISHARES TR ESG ADV TTL USD 361K 8K –
SPDR SER TR RUSSELL YIELD 335K 3K –
WISDOMTREE TR EMER MKT HIGH FD 318K 7K –
WISDOMTREE TR US SMALLCAP DIVD 300K 10K –
BLACKROCK ETF TRUST US CARBON TRANS 286K 5K –
ISHARES INC CORE MSCI EMKT 284K 5K –
ISHARES TR EGSADVNCDMSCI EM 244K 7K –
SELECT SECTOR SPDR TR SBI INT-UTILS 218K 3K –
SELECT SECTOR SPDR TR ENERGY 212K 2K –
SELECT SECTOR SPDR TR SBI MATERIALS 208K 2K –
SELECT SECTOR SPDR TR RL EST SEL SEC 206K 5K –
FIRST TR EXCHANGE TRADED FD NASDAQ CYB ETF 202K 4K –
SPDR SER TR AEROSPACE DEF 200K 1K –