{"url":"https://nivawealth.com/firms/alliance-investment-management-152012","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/152012","regulatoryAum":206811662,"crd":"152012","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6400059","suffix":null,"lastName":"HOLTROP","firstName":"JACOB","middleName":"LEE"},{"crd":"4621175","suffix":null,"lastName":"NELSON","firstName":"THOR","middleName":"WILLIAM"}],"total":2,"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":"2021-05-14","regulatoryAum":122395452,"clients":133,"employees":5,"offices":1},{"filedOn":"2022-03-24","regulatoryAum":138310683,"clients":137,"employees":5,"offices":1},{"filedOn":"2023-03-25","regulatoryAum":118991800,"clients":150,"employees":5,"offices":1},{"filedOn":"2024-03-13","regulatoryAum":162742802,"clients":160,"employees":5,"offices":1},{"filedOn":"2025-03-26","regulatoryAum":179117628,"clients":164,"employees":5,"offices":1},{"filedOn":"2026-03-30","regulatoryAum":206811662,"clients":170,"employees":6,"offices":1}],"secFileNumber":"801-121504","legalName":"Alliance Investment Management, LLC","displayName":"Alliance Investment Management","slug":"alliance-investment-management-152012","website":"https://allianceim.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Michigan limited liability company","fiscalYearEnd":"December","headquarters":{"street":"507 Baldwin St","city":"Jenison","state":"MI","stateName":"Michigan","country":"United States","postalCode":"49428"},"tradeNames":[],"registration":{"secApproved":"14 June 2021","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1104702.5125,"staff":{"employees":6,"advisory":3,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":206811662,"discretionary":173241815,"discretionaryAccounts":508,"nonDiscretionary":33569847,"nonDiscretionaryAccounts":92,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":118,"regulatoryAum":44818093},{"label":"High-net-worth individuals","clients":42,"regulatoryAum":131934309},{"label":"Pooled investment vehicles","clients":1,"regulatoryAum":4148233},{"label":"Pension and profit-sharing plans","clients":9,"regulatoryAum":21092560},{"label":"Charitable organizations","clients":null,"fewerThan5":true,"regulatoryAum":1124762},{"label":"Corporations and other businesses","clients":null,"fewerThan5":true,"regulatoryAum":3693705}],"feePrograms":[{"role":"other","program":"Advice Services for Qualified Plan Participants","summary":"Advice for qualified plan participants is charged an annual fee of 0.40% to 0.90% of the participant account, by balance and authority, payable quarterly in advance.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1032989","versionId":1032989,"submittedOn":"2026-03-30","documentName":"FIRM BROCHURE"},{"role":"other","program":"Investment Consulting Services","summary":"Investment consulting is charged a fixed fee agreed for each project, generally due when the project is completed.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1032989","versionId":1032989,"submittedOn":"2026-03-30","documentName":"FIRM BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T14:01:27.560264+00:00","documents":[{"name":"FIRM BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1032989","versionId":1032989,"submittedOn":"2026-03-30"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":196408974}],"custodyNote":"Alliance Investment Management has custody of $4.15M in client assets for 1 client.","otherCustodians":[],"leadership":[{"name":"Lori Nelson","title":"Chief Financial Officer","crd":"7709203"},{"name":"Thor Nelson","title":"Chief Compliance Officer","crd":"4621175"}],"ownership":[{"label":"Thor W. and Lori A. Nelson Trust Agreement Dated Nov. 11, 2005","detail":"Member in the 75% or more ownership band and a control person, since January 2023."},{"label":"Jacob and Jolene Holtrop Trust Dated August 17, 2016","detail":"Member in the 10% to 25% ownership band, since January 2023."},{"label":"Thor Nelson","detail":"Indirect owner: co-trustee of Thor W. and Lori A. Nelson Trust Agreement Dated Nov. 11, 2005 and a control person, since November 2005.","parent":"Thor W. and Lori A. Nelson Trust Agreement Dated Nov. 11, 2005"},{"label":"Lori Nelson","detail":"Indirect owner: co-trustee of Thor W. and Lori A. Nelson Trust Agreement Dated Nov. 11, 2005 and a control person, since November 2005.","parent":"Thor W. and Lori A. Nelson Trust Agreement Dated Nov. 11, 2005"},{"label":"Jacob Holtrop","detail":"Indirect owner: a co-trustee of Jacob and Jolene Holtrop Trust Dated August 17, 2016 in the 50% to 75% band and a control person, since August 2016.","parent":"Jacob and Jolene Holtrop Trust Dated August 17, 2016"},{"label":"Jolene Holtrop","detail":"Indirect owner: a co-trustee of Jacob and Jolene Holtrop Trust Dated August 17, 2016 in the 50% to 75% band and a control person, since August 2016.","parent":"Jacob and Jolene Holtrop Trust Dated August 17, 2016"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Michigan","offices":1,"addresses":[{"street":"507 Baldwin St","city":"Jenison","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"800-890-1246","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for pooled investment vehicles (other than investment companies)","Other"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":33},{"label":"U.S. government/agency bonds","percent":3},{"label":"U.S. state and local bonds","percent":2},{"label":"Securities issued by registered investment companies or business development companies","percent":59},{"label":"Cash and cash equivalents","percent":3}],"privateFunds":1},"sources":{"adv1FilingDate":"30 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/152012/PDF/152012.pdf","brochureDate":"30 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1032989","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Alliance Investment Management have?","answer":"Alliance Investment Management has 170 clients and manages $207 million for them, as of March 2026. They include 118 individual clients, 42 high-net-worth individuals, and 9 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Alliance Investment Management offer?","answer":"Alliance Investment Management provides portfolio management for individuals and small businesses and portfolio management for pooled vehicles.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Alliance Investment Management use?","answer":"Alliance Investment Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $196M. 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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Alliance Investment Management have?","answer":"Alliance Investment Management has 2 investment adviser representatives registered with state securities authorities, out of 6 employees, and 3 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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Alliance Investment Management invest in?","answer":"At the end of its last fiscal year, Alliance Investment Management’s separately managed accounts held 59% registered funds (mutual funds, ETFs, BDCs), 33% exchange-traded equities, 3% U.S. government and agency bonds, 3% cash and equivalents and 2% state and local bonds. It advises 1 private fund.","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 Investment Management?","answer":"Alliance Investment Management is owned through trusts by Jacob and Jolene Holtrop. Its direct owners are Thor W. and Lori A. Nelson Trust Agreement Dated Nov. 11, 2005 (75% or more) and Jacob and Jolene Holtrop Trust Dated August 17, 2016 (10% to 25%).","source":"Form ADV Part 1A, Schedules A and B, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Alliance Investment Management get paid?","answer":"Alliance Investment Management is paid through a percentage of assets under management 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":"How do I contact Alliance Investment Management?","answer":"Alliance Investment Management’s main office is at 507 Baldwin St, Jenison, MI 49428. Its phone number is 800-890-1246. Its website is allianceim.com.","source":"Form ADV Part 1A, Item 1.F, filed 30 March 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."}