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ALLY INVEST ADVISORS
Legal name: ALLY INVEST ADVISORS INC
CRD 170301File 801-79305
APPROVED
Retail clients
Disclosure events
Filing as of Apr 1, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$1.73B
Top 25% of cohort (national)
Discretionary AUM
$1.73B
Clients
83,199
79,536 accounts
Employees
8
Top 25% of cohort in NC
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- ARO
- Registration date
- Mar 27, 2014
- Principal office
- 601 S. TRYON STREET, SUITE 100, CHARLOTTE, NC, 28202
- Phone
- 855-880-2559
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $1.73B
- Discretionary AUM
- $1.73B
- Non-discretionary AUM
- $0
- Discretionary accounts
- 79,536
- Non-discretionary accounts
- 0
- Total accounts
- 79,536
- AUM per client
- $21K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 62 | $85.1M |
| Individuals (other than high net worth individuals) | 83,137 | $1.64B |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Financial planning services
- 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 11- Q11C1
- Q11C2
- Q11C4
- Q11C5
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| May 1, 2026 | Disclosures | No | Yes | |
| Apr 1, 2026 | Employees | 9 | 8 | decreased by1 |
| Apr 1, 2026 | Clients | 79,943 | 83,199 | increased by3,256 |
| Apr 1, 2026 | AUM | $1,389,572,606 | $1,726,325,664 | increased by$336,753,058 |
| Apr 1, 2026 | Accounts | 76,058 | 79,536 | increased by3,478 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 15 | 9 | decreased by6 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 77,195 | 79,943 | increased by2,748 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $1,081,027,231 | $1,389,572,606 | increased by$308,545,375 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 77,195 | 76,058 | decreased by1,137 |
| Apr 1, 2022 | Employees | 12 | 15 | increased by3 |
| Apr 1, 2022 | Clients | 57,006 | 77,195 | increased by20,189 |
| Apr 1, 2022 | AUM | $709,806,089 | $1,081,027,231 | increased by$371,221,142 |
| Apr 1, 2022 | Accounts | 57,006 | 77,195 | increased by20,189 |
| Oct 1, 2021 | Disclosures | Yes | No | |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “ALLY INVEST” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“ALLY INVEST” 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.