Ally Invest Advisors provides financial planning and portfolio management for individuals and small businesses. Financial planning was provided to 1,500 clients last fiscal year.
Ally Invest Advisors reports 83,199 clients. They include 83,137 individual clients and 62 high-net-worth individuals. Of its assets, 100.0% ($1.73B across 79,536 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 100% | 95% |
| High-net-worth individuals | <1% | 5% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 83,137 | $1.64B | 95.1% | $19.7K |
| High-net-worth individuals | 62 | $85.1M | 4.9% | $1.37M |
| Total | 83,199 | $1.73B | 100% | $20.7K |
- Clients
- 83,137
- Regulatory AUM
- $1.64B
- AUM share
- 95.1%
- Avg. per client
- $19.7K
- Clients
- 62
- Regulatory AUM
- $85.1M
- AUM share
- 4.9%
- Avg. per client
- $1.37M
Total
- Clients
- 83,199
- Regulatory AUM
- $1.73B
- AUM share
- 100%
- Avg. per client
- $20.7K
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 1500
Ally Invest Advisors is paid through a percentage of assets under management. The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure.
Ally Invest Group Inc. owns 75% or more of Ally Invest Advisors and is in turn owned by Ally Financial Inc. (75% or more). The leadership team of Ally Invest Advisors includes President Miteshkumar Patel, Chief Financial Officer Alex Martin and Chief Compliance Officer Gerald Krager. It has 8 employees.
Leadership
- Miteshkumar PatelPresident
- Alex MartinChief Financial Officer
- Gerald KragerChief Compliance Officer
- Loretta SpangardDirector
Investment adviser representatives
82 representatives listed in the SEC register as of 9 October 2026.
- Tarrance Anderson
- Evan Armstrong
- Sheri Lynn Bartyzel
- Horace Richard Carney IV
- William Chase Causey
- Shannon Lea Christensen
- Desiree Ceara Coleman
- Tiarra Coleman
- Derek Cox
- Eugene Henry Davis
- Roberto Deaguero
- Peter John Dolan Jr.
- Jorge Mario Espinoza
- Kamden Gaines
- Christopher Michael Gee
- Luke A Gentry
- Zachary Raymond Gibson
- Charles Aldon Gordon IV
- Jamie Christen Gore
- Deryck Ian Gryne
- Mohammad Hameed
- Jonathan Allen Hancock
- Jeffrey Maurice Harris
- Nathan Harris
- Christopher Hernandez
- Brian Hodgeman
- Christopher David Holt
- Dylan K Hood
- Iman Howard
- Lathan Shaun Hunter
- Titilope Jinadu
- Eric W Jones
- Jamal Jordan
- Leslie Antoinette Kelly
- Thomas Christopher Kemp
- Sarah Ann Khan
- Brett Kincade
- Jonathan Kisch
- Daniel Andrew Kleiner
- John Colton Knowles
- Gerald Krager
- Raymond Edward Lancaster
- James Edward Lenoir
- Shelton Stevie Lester
- Ashley Marie Liggins
- Derek Lightner
- Scott Brian Makowski
- Bryan Marciniak
- Russell Westover Martin
- Jacob Misialek
- Susan Monahan
- Domenico Matteo Napolitano
- Ather Naqi
- Samantha Denise Newsom
- Sergio David Nunez
- Matthew Kenneth Odom
- Miteshkumar D Patel
- Derek Eugene Petrella
- Wesley Price
- John William Ratey
- Dariya Rentuk
- Serena Rizzo
- Shane Jeremy Robertson
- Jacob Zaire Robinson
- Juan Rosas
- Ryan Joshua Russell
- Sammy Santacruz
- Hameem Syed Shah
- Brandon Michael Shephard
- Joshua Smail
- Connor Snook
- Charles P Sours
- Loretta Ballard Spangard
- Patricia Amber Strong
- Troy Talamelli
- Cheryl Gunar Thompson
- George Andrew Trabookis
- Holly Vest
- Kathy Lynn Wilson
- Janet Ann Wulf
- Mitchell Patrik Zaelit
- Ryan N Zutter
Staff
- 8 employees
- 8 in advisory functions
- 8 state-registered reps
- 7 broker-dealer reps
- Owns 75% or more of Ally Invest Advisors Inc
Ally Invest Group Inc.
Control person · since September 2012
- Owns 75% or more of Ally Invest Group Inc.
Ally Financial Inc.
Control person · since June 2016
Ally Invest Advisors’ regulatory assets grew 2.4× from $710M (March 2021) to $1.73B (April 2026); clients rose from 57,006 to 83,199 and employees fell from 12 to 8.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| April 2026 | $1.73B | 83,199 | 8 | 3 |
| July 2025 | $1.39B | 79,943 | 9 | 4 |
| February 2024 | $1.13B | 73,930 | 12 | 4 |
| March 2023 | $987M | 84,074 | 14 | 4 |
| May 2022 | $1.08B | 77,195 | 15 | 1 |
| March 2021 | $710M | 57,006 | 12 | 2 |
Besides its headquarters, Ally Invest Advisors has 2 offices (1 private residence, listed without an address), with 2 listed addresses in North Carolina and Texas.
North Carolina · 1 listed address
- 601 S. Tryon Street, Suite 100, CharlotteHQ
Texas · 1 listed address
- 2911 Lake Vista DR., Lewisville
Contact and registration details
- Legal name
- Ally Invest Advisors Inc
- Headquarters
- 601 S. Tryon Street, Suite 100, Charlotte, NC 28202
- Website
- ally.com
- Phone
- 855-880-2559
- SEC file
- 801-79305
- Structure
- Delaware corporation
- Fiscal year end
- December
Ally Invest Advisors uses Apex Clearing ($1.73B) as custodian for its separately managed accounts. Ally Invest Advisors does not have custody of client assets.
The filed custodian amounts total more than regulatory assets under management. Each amount is shown as filed.
- Apex ClearingApex Clearing Corporation · Dallas, TX · $1.73B100%
At year end, Ally Invest Advisors’ separately managed accounts were mostly in stocks (84%) and cash (16%). Its reported 13F holdings for the quarter ended 30 June 2026 total $1.66B across 75 positions; the largest are iShares TR (23.2%), Vanguard Tax Managed Intl (19.6%) and Vanguard Charlotte Fds (7.8%).
What the accounts hold
- Stocks84%
- Cash16%
Reported 13F holdings
- $1.66B
- Reported 13F value
- 75
- Positions
- 84.3%
- In the 10 largest
- +11.5%
- Value vs. prior quarter
- iShares TR · Core S&P500 ETF23.2%
- Vanguard Tax Managed Intl · FD FTSE Dev Mkt ETF19.6%
- Vanguard Charlotte Fds · Intl BD Idx ETF7.8%
- iShares TR · Core S&P Mcp ETF6.8%
- iShares TR · Barclays 7 10 YR6.4%
- Vanguard Intl Equity Index F · FTSE Emr Mkt ETF5.2%
- Vanguard Scottsdale Fds · Mortg-back Sec4.3%
- iShares TR · Intrm TR Crp ETF3.8%
- iShares TR · Core S&P Scp ETF3.7%
- iShares TR · Esg Awr MSCI USA3.5%
Together, the ten largest are 84.3% of reported value.
How many clients does Ally Invest Advisors have?
Ally Invest Advisors has 83,199 clients and manages $1.73 billion for them, as of April 2026. They include 83,137 individual clients and 62 high-net-worth individuals.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 1 April 2026
What services does Ally Invest Advisors offer?
Ally Invest Advisors provides financial planning and portfolio management for individuals and small businesses.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does Ally Invest Advisors use?
Ally Invest Advisors’ separately managed account assets are held at Apex Clearing Corporation (Dallas, TX), with $1.73B. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 1 April 2026
How many financial advisors does Ally Invest Advisors have?
Ally Invest Advisors has 8 investment adviser representatives registered with state securities authorities, out of 8 employees, and 8 perform investment advisory functions. 7 employees are registered representatives of a broker-dealer and 0 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 Ally Invest Advisors invest in?
At the end of its last fiscal year, Ally Invest Advisors’ separately managed accounts held 84% exchange-traded equities and 16% cash and equivalents.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Ally Invest Advisors?
Ally Invest Advisors is owned through a holding company by Ally Financial Inc. Its direct owner is Ally Invest Group Inc. (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 1 April 2026
How does Ally Invest Advisors get paid?
Ally Invest Advisors 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 Ally Invest Advisors registered with the SEC?
Yes, Ally Invest Advisors has been registered with the SEC as an investment adviser since 27 March 2014. Its CRD number is 170301 and its SEC file number is 801-79305.
Source: Form ADV Part 1A, Item 1, filed 1 April 2026; IAPD firm record
How do I contact Ally Invest Advisors?
Ally Invest Advisors’ main office is at 601 S. Tryon Street, Suite 100, Charlotte, NC 28202. Its phone number is 855-880-2559. Its website is ally.com.