Alliance Advisory & Securities provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, selecting other managers, educational seminars, education planning, estate planning, insurance, and tax planning. Financial planning was provided to 251–500 clients last fiscal year.
Alliance Advisory & Securities reports 675 clients. They include 438 individual clients, 225 high-net-worth individuals and 12 charitable organizations. Of its assets, 57.1% ($393M across 1,270 accounts) are managed with discretion; $295M across 1,478 accounts are not. It advised 675 clients without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 65% | 25% |
| High-net-worth individuals | 33% | 74% |
| Charitable organizations | 2% | <1% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 438 | $171M | 24.9% | $391K |
| High-net-worth individuals | 225 | $511M | 74.3% | $2.27M |
| Charitable organizations | 12 | $5.52M | 0.8% | $460K |
| Total | 675 | $687M | 100% | $1.02M |
- Clients
- 438
- Regulatory AUM
- $171M
- AUM share
- 24.9%
- Avg. per client
- $391K
- Clients
- 225
- Regulatory AUM
- $511M
- AUM share
- 74.3%
- Avg. per client
- $2.27M
- Clients
- 12
- Regulatory AUM
- $5.52M
- AUM share
- 0.8%
- Avg. per client
- $460K
Total
- Clients
- 675
- Regulatory AUM
- $687M
- AUM share
- 100%
- Avg. per client
- $1.02M
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 675
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 251–500
Alliance Advisory & Securities is paid through a percentage of assets under management, hourly charges and fixed fees (other than subscription fees). The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Financial Planning
- Hourly from $175 to $650 per hour, or a fixed fee typically from $1,250 to $10,000 a year, charged quarterly. Advance payment never exceeds $1,200 for work not finished within six months.
Alliance Financial Group, Inc. owns 75% or more of Alliance Advisory & Securities and is in turn owned by Jerry Sanada (25–50%) and Randall Sanada (25–50%). Randall Sanada is CEO; the leadership team includes President Sean Sottile and Chief Compliance Officer Liza Dela Cruz. It has 21 employees, 14 of them in advisory roles.
Leadership
Randall SanadaPresident & Chief Executive Officer- Sean SottileVice President
- Liza Dela CruzChief Compliance Officer
Investment adviser representatives
16 representatives listed in the SEC register as of 9 October 2026.
Staff
- 21 employees
- 14 in advisory functions
- 14 state-registered reps
- 3 insurance agents
- Owns 75% or more of Alliance Advisory & Securities, LLC
Alliance Financial Group, Inc.
since March 1991
- Owns 25% to 50% of Alliance Financial Group, Inc.
Jerry Sanada
Control person · since August 2013
- Owns 25% to 50% of Alliance Financial Group, Inc.
Randall Sanada
Control person · since July 1987
Alliance Advisory & Securities’ regulatory assets grew 2.1× from $321M (December 2020) to $687M (September 2026); clients rose from 392 to 675 and employees from 18 to 21. In 2023, David S Reinders ($105M in its last filing) joined it.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| September 2026 | $687M | 675 | 21 | 5 |
| March 2025 | $639M | 667 | 25 | 5 |
| June 2024 | $608M | 698 | 25 | 7 |
| April 2023 | $454M | 499 | 20 | 3 |
| June 2022 | $357M | 458 | 22 | 2 |
| December 2020 | $321M | 392 | 18 | 2 |
Firms that joined
20231 joined
- David S ReindersLast filed AUM $105M
Firms whose SEC withdrawal reports a sale to this firm, and deals reported in the press. Teams that moved without selling a registered firm may not appear.
Besides its headquarters, Alliance Advisory & Securities has 4 offices (1 private residence, listed without an address), with 4 listed addresses in California and Idaho.
California · 3 listed addresses
- 31248 E. Oak Crest Drive Ste 100, Westlake VillageHQ
- 25026 Las Brisas Road, Murrieta
- 300 E. Esplanade Drive, Oxnard
Idaho · 1 listed address
- 3597 E Monarch Sky Lane, Ste 330, Meridian
Other business names
Alliance Advisory & Securities has reported 2 other business names to the SEC.
- Alliance Entrust
- Devoted Capital
Contact and registration details
- Legal name
- Alliance Advisory & Securities, LLC
- Headquarters
- 31248 E. Oak Crest Drive Ste 100, Westlake Village, CA 91361
- Website
- aewealth.com
- Phone
- 805-371-8020
- SEC file
- 801-67105
- Founded
- 1982
- Structure
- California LLC
- Fiscal year end
- December
Alliance Advisory & Securities uses Fidelity ($588M) as custodian for its separately managed accounts. Alliance Advisory & Securities does not have custody of client assets.
- FidelityFidelity Distributors Company LLC · Boston, MA · $588M100%
At year end, Alliance Advisory & Securities’ separately managed accounts were largely in funds (49%) and stocks (25%).
What the accounts hold
- Stocks25%
- Funds49%
- Cash17%
- Other9%
- Limited partnerships & real estate investment companies9%
How many clients does Alliance Advisory & Securities have?
Alliance Advisory & Securities has 675 clients and manages $687 million for them, as of September 2026. They include 438 individual clients, 225 high-net-worth individuals and 12 charitable organizations.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 17 September 2026
What services does Alliance Advisory & Securities offer?
Alliance Advisory & Securities provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, selecting other managers, educational seminars, education planning, estate planning, insurance, and tax planning.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4
Which custodians does Alliance Advisory & Securities use?
Alliance Advisory & Securities’ separately managed account assets are held at Fidelity Distributors Company LLC (Boston, MA), with $588M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 17 September 2026
How many financial advisors does Alliance Advisory & Securities have?
Alliance Advisory & Securities has 14 investment adviser representatives registered with state securities authorities, out of 21 employees, and 14 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 3 employees are 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 Alliance Advisory & Securities invest in?
At the end of its last fiscal year, Alliance Advisory & Securities’ separately managed accounts held 49% registered funds (mutual funds, ETFs, BDCs), 25% exchange-traded equities, 17% cash and equivalents and 9% other. The 9% other category is described as: Limited Partnerships & Real Estate Investment Companies.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Alliance Advisory & Securities?
Alliance Advisory & Securities is owned through a holding company by Jerry and Randall Sanada. Its direct owner is Alliance Financial Group, Inc. (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 17 September 2026
How does Alliance Advisory & Securities get paid?
Alliance Advisory & Securities is paid through a percentage of assets under management, hourly charges and fixed fees. 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 Alliance Advisory & Securities registered with the SEC?
Yes, Alliance Advisory & Securities has been registered with the SEC as an investment adviser since 5 September 2006. Its CRD number is 18835 and its SEC file number is 801-67105.
Source: Form ADV Part 1A, Item 1, filed 17 September 2026; IAPD firm record
How do I contact Alliance Advisory & Securities?
Alliance Advisory & Securities’ main office is at 31248 E. Oak Crest Drive Ste 100, Westlake Village, CA 91361. Its phone number is 805-371-8020. Its website is aewealth.com.