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ALLIANCE ADVISORY & SECURITIES, LLC
CRD 18835File 801-67105
APPROVED
Retail clients
Filing as of Sep 17, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$687.4M
Above cohort median (national)
Discretionary AUM
$392.5M
Non-discretionary $294.8M
Clients
675
2,748 accounts
Employees
21
Above cohort median in CA
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- LARO
- Registration date
- Sep 5, 2006
- Principal office
- 31248 E. OAK CREST DRIVE STE 100, WESTLAKE VILLAGE, CA, 91361
- Phone
- 805-371-8020
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $687.4M
- Discretionary AUM
- $392.5M
- Non-discretionary AUM
- $294.8M
- Discretionary accounts
- 1,270
- Non-discretionary accounts
- 1,478
- Total accounts
- 2,748
- AUM per client
- $1.0M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Charitable organizations | 12 | $5.5M |
| High net worth individuals | 225 | $510.5M |
| Individuals (other than high net worth individuals) | 438 | $171.3M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Other
- Financial planning services
- Selection of other advisers
- Portfolio management for other
- Portfolio management for businesses
- 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 |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 25 | 21 | decreased by4 |
| Apr 1, 2026 | Clients | 667 | 675 | increased by8 |
| Apr 1, 2026 | AUM | $639,384,881 | $687,372,472 | increased by$47,987,591 |
| Apr 1, 2026 | Accounts | 2,728 | 2,748 | increased by20 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 22 | 25 | increased by3 |
| May 1, 2025 vs Oct 1, 2022 | Disclosures | Yes | No | |
| May 1, 2025 vs Oct 1, 2022 | Custody | Yes | No | |
| May 1, 2025 vs Oct 1, 2022 | Clients | 458 | 667 | increased by209 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $357,004,816 | $639,384,881 | increased by$282,380,065 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 1,692 | 2,728 | increased by1,036 |
| Jul 1, 2022 | Employees | 21 | 22 | increased by1 |
| Apr 1, 2022 | Employees | 20 | 21 | increased by1 |
| Apr 1, 2022 | Clients | 435 | 458 | increased by23 |
| Apr 1, 2022 | AUM | $404,265,193 | $357,004,816 | decreased by$47,260,377 |
| Oct 1, 2021 | Employees | 18 | 20 | increased by2 |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “ALLIANCE ADVISORY” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“ALLIANCE ADVISORY” 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.