Alley Investment Management provides portfolio management for individuals and small businesses, portfolio management for institutions, and selecting other managers.
Alley Investment Management reports 170 clients. They include 125 high-net-worth individuals, 36 individual clients, and 6 corporations and other businesses. Of its assets, 100.0% ($907M across 486 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 21% | 2% |
| High-net-worth individuals | 74% | 92% |
| Charitable organizations | 2% | 2% |
| Corporations and other businesses | 4% | 5% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 36 | $14.1M | 1.6% | $393K |
| High-net-worth individuals | 125 | $830M | 91.5% | $6.64M |
| Charitable organizations | Fewer than 5 | $19.9M | 2.2% | $6.65M |
| Corporations and other businesses | 6 | $42.7M | 4.7% | $7.12M |
| Total | 170 | $907M | 100% | — |
- Clients
- 36
- Regulatory AUM
- $14.1M
- AUM share
- 1.6%
- Avg. per client
- $393K
- Clients
- 125
- Regulatory AUM
- $830M
- AUM share
- 91.5%
- Avg. per client
- $6.64M
- Clients
- Fewer than 5
- Regulatory AUM
- $19.9M
- AUM share
- 2.2%
- Avg. per client
- $6.65M
- Clients
- 6
- Regulatory AUM
- $42.7M
- AUM share
- 4.7%
- Avg. per client
- $7.12M
Total
- Clients
- 170
- Regulatory AUM
- $907M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
Alley Investment Management charges 0.80%–1.00% a year for its Portfolio Management Services. The fee is billed in advance.
Fee details and sources
Focus Operating, LLC owns 75% or more of Alley Investment Management and is in turn owned by Focus Financial Partners, LLC (75% or more). The leadership team of Alley Investment Management includes President Steven Alley and Chief Compliance Officer Stacy Ambrosini. It has 9 employees, 5 of them in advisory roles.
Leadership
Steven AlleyPresident & Founder- Stacy AmbrosiniChief Compliance Officer
Rik DuryeaManaging Director
Thomas Van VurenManaging Director
Investment adviser representatives
5 representatives listed in the SEC register as of 9 October 2026.
Staff
- 9 employees
- 5 in advisory functions
- 5 state-registered reps
- 1 soliciting firm
- Owns 75% or more of Alley Investment Management Company, LLC
Focus Operating, LLC
Control person · since November 2021
- Owns 75% or more of Focus Operating, LLC
Focus Financial Partners, LLC
Control person · since January 2007
- Owns 50% to 75% of Focus Financial Partners, LLC
Focus Financial Partners Inc.
Control person · since July 2018
- Owns 75% or more of Focus Financial Partners Inc.
Ferdinand FFP Acquisition, LLC
Control person · since August 2023
- Owns 75% or more of Ferdinand FFP Acquisition, LLC
Ferdinand FFP Intermediate Holdings, LLC
Control person · since August 2023
- Owns 75% or more of Ferdinand FFP Intermediate Holdings, LLC
Ferdinand FFP Parent, Inc.
Control person · since August 2023
- Owns 75% or more of Focus Financial Partners Inc.
Ferdinand FFP Ultimate Holdings, LP
Control person · since August 2023
- Owns 50% to 75% of Ferdinand FFP Ultimate Holdings, LP
CD&R Ferdinand Holdings, L.P.
Control person · since August 2023
- Owns 50% to 75% of CD&R Ferdinand Holdings, L.P.
Clayton, Dubilier & Rice Fund Xii, L.P.
Control person · since August 2023
- Owns 25% to 50% of CD&R Ferdinand Holdings, L.P.
CD&R Ferdinand Co-Investor, L.P.
Control person · since August 2023
Alley Investment Management’s regulatory assets grew from $780M (March 2022) to $907M (March 2026); clients rose from 145 to 170 and employees from 6 to 9.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $907M | 170 | 9 | 1 |
| March 2025 | $844M | 167 | 8 | 1 |
| March 2024 | $765M | 155 | 8 | 1 |
| June 2023 | $684M | 152 | 6 | 1 |
| March 2022 | $780M | 145 | 6 | 1 |
Besides its headquarters, Alley Investment Management has 0 offices, with 1 listed address in Illinois.
Illinois · 1 listed address
- 272 Market Square, Suite 214, Lake ForestHQ
Contact and registration details
- Legal name
- Alley Investment Management Company, LLC
- Headquarters
- 272 Market Square, Suite 214, Lake Forest, IL 60045
- Website
- alleycompanyllc.com
- Phone
- 847-482-0938
- @alley-company-llc
- SEC file
- 801-122856
- Structure
- Delaware LLC
- Fiscal year end
- December
Alley Investment Management uses Charles Schwab ($803M) as custodian for its separately managed accounts. Alley Investment Management has custody of $180M in client assets for 46 clients.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $803M100%
At year end, Alley Investment Management’s separately managed accounts were mostly in stocks (81%) and funds (14%). Its reported 13F holdings for the quarter ended 30 June 2026 total $856M across 89 positions; the largest are Alphabet Inc. (4.8%), JPMORGAN Chase & CO (4.1%) and Apple Inc. (4.1%).
What the accounts hold
- Stocks81%
- Funds14%
- Bonds1%
- Cash4%
Reported 13F holdings
- $856M
- Reported 13F value
- 89
- Positions
- 32.4%
- In the 10 largest
- +4.3%
- Value vs. prior quarter
- Alphabet Inc. · Cap Stk CL A4.8%
- JPMORGAN Chase & CO4.1%
- Apple Inc.4.1%
- Philip Morris Intl Inc.3.4%
- Abbvie Inc.3.2%
- Microsoft Corp.2.9%
- iShares TR · Iboxx Inv CP ETF2.6%
- Amazon Com Inc.2.5%
- Nvidia Corporation2.5%
- Union Pac Corp.2.4%
Together, the ten largest are 32.4% of reported value.
How many clients does Alley Investment Management have?
Alley Investment Management has 170 clients and manages $907 million for them, as of March 2026. They include 125 high-net-worth individuals, 36 individual clients, and 6 corporations and other businesses.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 30 March 2026
What services does Alley Investment Management offer?
Alley Investment Management provides portfolio management for individuals and small businesses, portfolio management for institutions, and selecting other managers.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Alley Investment Management charge?
Alley Investment Management charges 0.80%–1.00% a year for its Portfolio Management Services. The fee is billed in advance.
Source: ALLEY INVESTMENT MANAGEMENT COMPANY, LLC PART 2A BROCHURE, filed 30 March 2026
Which custodians does Alley Investment Management use?
Alley Investment Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $803M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 30 March 2026
How many financial advisors does Alley Investment Management have?
Alley Investment Management has 5 investment adviser representatives registered with state securities authorities, out of 9 employees, and 5 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Alley Investment Management invest in?
At the end of its last fiscal year, Alley Investment Management’s separately managed accounts held 81% exchange-traded equities, 14% registered funds (mutual funds, ETFs, BDCs), 4% cash and equivalents and 1% U.S. government and agency bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Alley Investment Management?
Alley Investment Management is owned through a chain of holding companies by Ferdinand FFP Parent, Inc., CD&R Ferdinand Co-Investor, L.P. and Clayton, Dubilier & Rice Fund Xii, L.P. Its direct owner is Focus Operating, LLC (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 30 March 2026
How does Alley Investment Management get paid?
Alley Investment Management is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
Is Alley Investment Management registered with the SEC?
Yes, Alley Investment Management has been registered with the SEC as an investment adviser since 16 December 2021. Its CRD number is 317544 and its SEC file number is 801-122856.
Source: Form ADV Part 1A, Item 1, filed 30 March 2026; IAPD firm record
How do I contact Alley Investment Management?
Alley Investment Management’s main office is at 272 Market Square, Suite 214, Lake Forest, IL 60045. Its phone number is 847-482-0938. Its website is alleycompanyllc.com.