The Investment Advisor Alliance LLC (Oradell)

Name: The Investment Advisor Alliance LLC
Address: 700 Kinderkamack Rd, Oradell, NJ, 07649
Telephone: 800-607-3340

The Investment Advisor Alliance LLC is a multi-state adviser based in Oradell. It manages $91.87 million of regulatory assets for 616 client accounts. It has been registered with the SEC as an adviser since 2017 and has operated in the jurisdictions of Arizona, California, Colorado, and 22 other states.

The Investment Advisor Alliance provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, selection of other advisers, and publication of newsletters. It prepares financial plans for more than 250 clients. On top of advisory services, the firm also engages as tamp services to other advisor firms.

The Investment Advisor Alliance: assets under management

The assets under management (AUM) of The Investment Advisor Alliance LLC is $91.87 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 70% since the beginning of its operation, and $1.31 million of the total AUM is attributable to clients outside of the United States.

The firm manages $91.87 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $149.14 thousand each.

Investments

The firm invests in exchange traded securities the most. They account for 63% of the total AUM. The second-largest asset type is investment and business development companies, which make up 20% of the firm’s portfolio. Investments in cash and cash equivalents form 12% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay The Investment Advisor Alliance LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients The Investment Advisor Alliance serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of The Investment Advisor Alliance is individuals with 260 clients and $48.7 million of assets under management. Among the 8 most similar advisory firms, The Investment Advisor Alliance has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $81.79 million for 278 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.

The Investment Advisor Alliance doesn't advise any private funds.

Careers at The Investment Advisor Alliance LLC

The company employs 18 people that are either part- or full-time employees. 83 percent of the employees work as investment advisers or researchers. 16 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Robert William Keeler	Ceo/coo/cco	1 Jan 2009	Other	4308243
Keeler Financial Services Holdings Llc	Member	1 Jan 2009	75% - 100%	26-3796298
Robert Keeler	Ceo/cfo/coo/cco	1 Jan 2009	Other	4308243

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Marjorie Catherine Keeler	Partner	1 Jan 2009	Other	5503342
Marjorie Keeler	Partner	1 Jan 2009	Other	5503342

Based in Oradell

The principal office where The Investment Advisor Alliance LLC performs its advisory services is located at 700 Kinderkamack Rd, Oradell, NJ 07649, which is also the mailing address of the firm. An additional office of the firm is in Mt Pleasant, SC. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 800-607-3340. The normal business hours are by appointment only on Other. You can find more information about the New York firm at clprice.com.