← Directory
SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C.
CRD 125147File 801-79371
APPROVED
Retail clients
Filing as of Aug 10, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$813.0M
Above cohort median (national)
Discretionary AUM
$813.0M
Clients
674
2,056 accounts
Employees
14
Above cohort median in KY
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- CHRO
- Registration date
- Mar 31, 2014
- Principal office
- 105 WIND HAVEN DRIVE, NICHOLASVILLE, KY, 40356
- Phone
- 859-223-6333
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $813.0M
- Discretionary AUM
- $813.0M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 2,056
- Non-discretionary accounts
- 0
- Total accounts
- 2,056
- AUM per client
- $1.2M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 287 | $676.8M |
| Individuals (other than high net worth individuals) | 387 | $136.3M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- A percentage of assets under your management
Advisory activities
- Other
- Publications
- Other advisory activities
- Financial planning services
- Portfolio management for other
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Aug 12, 2026 | Employees | 13 | 14 | increased by1 |
| Aug 12, 2026 | Clients | 647 | 674 | increased by27 |
| Aug 12, 2026 | AUM | $800,534,820 | $813,014,305 | increased by$12,479,485 |
| Aug 12, 2026 | Accounts | 2,066 | 2,056 | decreased by10 |
| Jul 1, 2026 | Clients | 631 | 647 | increased by16 |
| Jul 1, 2026 | AUM | $728,394,734 | $800,534,820 | increased by$72,140,086 |
| Jul 1, 2026 | Accounts | 1,439 | 2,066 | increased by627 |
| Jun 1, 2026 | Clients | 630 | 631 | increased by1 |
| Jun 1, 2026 | AUM | $662,877,871 | $728,394,734 | increased by$65,516,863 |
| Jun 1, 2026 | Accounts | 2,003 | 1,439 | decreased by564 |
| May 1, 2026 | Clients | 604 | 630 | increased by26 |
| May 1, 2026 | AUM | $653,580,021 | $662,877,871 | increased by$9,297,850 |
| May 1, 2026 | Accounts | 1,812 | 2,003 | increased by191 |
| Apr 1, 2026 | Employees | 10 | 13 | increased by3 |
| Apr 1, 2026 | Clients | 563 | 604 | increased by41 |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “SPECTRUM FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“SPECTRUM FINANCIAL” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.