{"url":"https://nivawealth.com/firms/alliance-advisory-and-securities-18835","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/18835","regulatoryAum":687372472,"crd":"18835","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1088758","suffix":null,"lastName":"BUBLITZ","firstName":"SANDRA","middleName":"LOUISE"},{"crd":"4109501","suffix":null,"lastName":"dela Cruz","firstName":"Liza","middleName":"Marie"},{"crd":"3208095","suffix":null,"lastName":"GARAGLIANO","firstName":"JEFFREY","middleName":"THOMAS"},{"crd":"8043647","suffix":null,"lastName":"Herreres","firstName":"Anthony","middleName":"Roy"},{"crd":"4428248","suffix":null,"lastName":"KNIGHT","firstName":"ROBERT","middleName":"JOSEPH"},{"crd":"4879128","suffix":null,"lastName":"LARY","firstName":"CRYSTAL","middleName":"A"},{"crd":"7176414","suffix":null,"lastName":"Lavizzo","firstName":"Vance","middleName":"Angelo"},{"crd":"8323911","suffix":null,"lastName":"MACCUISH","firstName":"SPENCER","middleName":"ANDREW"},{"crd":"2359351","suffix":null,"lastName":"MCILRATH","firstName":"PATRICK","middleName":"KELLY"},{"crd":"4353948","suffix":null,"lastName":"PEARCE","firstName":"HOBY","middleName":"DANIEL"},{"crd":"2785760","suffix":null,"lastName":"REHUREK","firstName":"JON","middleName":"ANDREW"},{"crd":"2785856","suffix":"JR","lastName":"SANADA","firstName":"RANDALL","middleName":"PAUL"},{"crd":"5927884","suffix":null,"lastName":"SIMONDS","firstName":"BENJAMIN","middleName":"ROSS"},{"crd":"7915212","suffix":null,"lastName":"Sottile","firstName":"Sean","middleName":"Nicholas"},{"crd":"7647969","suffix":null,"lastName":"SWAN","firstName":"EMILY","middleName":"MARGARET"},{"crd":"6963483","suffix":null,"lastName":"TYLER","firstName":"CHRISTOPHER","middleName":"JOHN"}],"total":16,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2020-12-17","regulatoryAum":321176695,"clients":392,"employees":18,"offices":2},{"filedOn":"2022-06-30","regulatoryAum":357004816,"clients":458,"employees":22,"offices":2},{"filedOn":"2023-04-28","regulatoryAum":454406861,"clients":499,"employees":20,"offices":3},{"filedOn":"2024-06-28","regulatoryAum":608366297,"clients":698,"employees":25,"offices":7},{"filedOn":"2025-03-28","regulatoryAum":639384881,"clients":667,"employees":25,"offices":5},{"filedOn":"2026-09-17","regulatoryAum":687372472,"clients":675,"employees":21,"offices":5}],"acquisitions":[{"date":"2023-10-02","datePrecision":"day","name":"David S Reinders","crd":"143703","source":"adv_w","dealType":"acquisition","sellerAum":105209139,"sellerAumDate":"2023-04-06","sourceUrl":"https://adviserinfo.sec.gov/firm/summary/143703"}],"secFileNumber":"801-67105","legalName":"Alliance Advisory & Securities, LLC","displayName":"Alliance Advisory & Securities","slug":"alliance-advisory-and-securities-18835","website":"https://aewealth.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/alliance-advisory-&-securities-inc-/posts/?feedView=all","founded":"1982","organization":"California limited liability company","fiscalYearEnd":"December","headquarters":{"street":"31248 E. Oak Crest Drive Ste 100","city":"Westlake Village","state":"CA","stateName":"California","country":"United States","postalCode":"91361"},"tradeNames":["Alliance Entrust","Devoted Capital"],"registration":{"secApproved":"5 September 2006","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1028436.4419306184,"staff":{"employees":21,"advisory":14,"brokerDealerReps":0,"insuranceAgents":3,"promoters":0},"aum":{"regulatory":687372472,"discretionary":392526364,"discretionaryAccounts":1270,"nonDiscretionary":294846108,"nonDiscretionaryAccounts":1478,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":675},"clientTypes":[{"label":"Individuals (other than HNW)","clients":438,"regulatoryAum":171324272},{"label":"High-net-worth individuals","clients":225,"regulatoryAum":510529089},{"label":"Charitable organizations","clients":12,"regulatoryAum":5519111}],"feePrograms":[{"role":"other","program":"Financial Planning","summary":"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.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1051267","versionId":1051267,"submittedOn":"2026-07-09","documentName":"ALLIANCE ENTRUST ADV PART 2 BROCHURES - 2026.07"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T05:47:53.860009+00:00","documents":[{"name":"ALLIANCE ENTRUST ADV PART 2 BROCHURES - 2026.07","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1051267","versionId":1051267,"submittedOn":"2026-07-09"}]},"custodians":[{"name":"Fidelity Distributors Company LLC","shortName":"Fidelity","location":"Boston, MA","smaAssets":588185878}],"custodyNote":"Alliance Advisory & Securities does not have custody of client assets.","leadership":[{"name":"Randall Sanada","title":"President & Chief Executive Officer","crd":"2785856"},{"name":"Sean Sottile","title":"Vice President","crd":"7915212"},{"name":"Liza Dela Cruz","title":"Chief Compliance Officer","crd":"4109501"}],"ownership":[{"label":"Alliance Financial Group, Inc.","detail":"Parent corporation in the 75% or more ownership band, since March 1991."},{"label":"Jerry Sanada","detail":"Indirect owner: a ceo & secretary of Alliance Financial Group, Inc. in the 25% to 50% band and a control person, since August 2013.","parent":"Alliance Financial Group, Inc."},{"label":"Randall Sanada","detail":"Indirect owner: a chairman of Alliance Financial Group, Inc. in the 25% to 50% band and a control person, since July 1987. Also a vice president of Alliance Financial Group, Inc. in the 25% to 50% band and a control person, since August 2013.","parent":"Alliance Financial Group, Inc."}],"filedOffices":{"otherThanPrincipal":4,"privateResidences":1},"listedOfficeAddresses":4,"foreignOffices":[],"officesByState":[{"state":"California","offices":3,"addresses":[{"street":"31248 E. Oak Crest Drive Ste 100","city":"Westlake Village","headquarters":true},{"street":"25026 Las Brisas Road","city":"Murrieta"},{"street":"300 E. Esplanade Drive","city":"Oxnard"}]},{"state":"Idaho","offices":1,"addresses":[{"street":"3597 E Monarch Sky Lane, Ste 330","city":"Meridian"}]}],"brochureServices":["education planning","estate planning","insurance","tax planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"805-371-8020","stateRegisteredReps":14,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services","Selection of other advisers (including private fund managers)","Educational seminars/workshops"],"financialPlanningClients":"251-500","assetMix":[{"label":"Exchange-traded equity securities","percent":25},{"label":"Securities issued by registered investment companies or business development companies","percent":49},{"label":"Cash and cash equivalents","percent":17},{"label":"Other","percent":9,"detail":"Limited Partnerships & Real Estate Investment Companies"}],"privateFunds":0},"sources":{"adv1FilingDate":"17 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/18835/PDF/18835.pdf","brochureDate":"9 July 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1051267","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-26","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Alliance Advisory & Securities have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Alliance Advisory & Securities offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Alliance Advisory & Securities use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Alliance Advisory & Securities have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Alliance Advisory & Securities invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Alliance Advisory & Securities?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Alliance Advisory & Securities get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is Alliance Advisory & Securities registered with the SEC?","answer":"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","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Alliance Advisory & Securities?","answer":"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.","source":"Form ADV Part 1A, Item 1.F, filed 17 September 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}