{"url":"https://nivawealth.com/firms/imperity-wealth-alliance-339113","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/339113","regulatoryAum":139699291,"crd":"339113","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1052077","suffix":null,"lastName":"ADLER","firstName":"ROBERT","middleName":"J"},{"crd":"7597666","suffix":null,"lastName":"DiDominica","firstName":"Brian","middleName":null},{"crd":"2801817","suffix":null,"lastName":"DIDOMINICA","firstName":"DOUGLAS","middleName":"ANTHONY"},{"crd":"2211270","suffix":null,"lastName":"DIMARTINI","firstName":"ALEXANDER","middleName":null},{"crd":"2211834","suffix":null,"lastName":"GRANATO","firstName":"JOSEPH","middleName":"SANTO"},{"crd":"2400633","suffix":null,"lastName":"HUNT","firstName":"MICHAEL","middleName":"VINCENT"},{"crd":"2005394","suffix":null,"lastName":"OSORIO","firstName":"JOHN","middleName":"CHARLES"},{"crd":"5031617","suffix":null,"lastName":"PRINCIPE","firstName":"JOSEPH","middleName":"WILLIAM"},{"crd":"2208946","suffix":null,"lastName":"ZERAH","firstName":"RICHARD","middleName":"SIMON"},{"crd":"2209431","suffix":null,"lastName":"ZERAH","firstName":"ROBERT","middleName":"NICHOLAS"}],"total":10,"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"},"secFileNumber":"801-134870","legalName":"Imperity Wealth Alliance LLC","displayName":"Imperity Wealth Alliance","slug":"imperity-wealth-alliance-339113","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/imperity-advisors","founded":null,"organization":"New York limited liability company","fiscalYearEnd":"December","headquarters":{"street":"445 Broadhollow Road, Suite 400","city":"Melville","state":"NY","stateName":"New York","country":"United States","postalCode":"11747"},"tradeNames":["Comprehensive Financial Partners","Hunt Financial Solutions","Imperity Advisors","RZB Wealth Management, LLC","Soundview Financial Management Group, LLC"],"registration":{"secApproved":"16 December 2025","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":374449.0523415978,"staff":{"employees":14,"advisory":10,"brokerDealerReps":11,"insuranceAgents":10,"promoters":1},"aum":{"regulatory":139699291,"discretionary":139699291,"discretionaryAccounts":574,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":86755660,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":339,"regulatoryAum":95285858},{"label":"High-net-worth individuals","clients":24,"regulatoryAum":40639148},{"label":"Pension and profit-sharing plans","clients":null,"fewerThan5":true,"regulatoryAum":2475041},{"label":"Corporations and other businesses","clients":null,"fewerThan5":true,"regulatoryAum":1299244}],"feePrograms":[{"role":"other","program":"Wealth Management Consulting","summary":"Consulting is billed as an annual fee, a flat fee, or an hourly rate not to exceed $500, negotiable between the client and the advisor.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1053362","versionId":1053362,"submittedOn":"2026-07-30","documentName":"FORM ADV 2A JULY 2026"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T18:11:36.536634+00:00","documents":[{"name":"FORM ADV 2A JULY 2026","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1053362","versionId":1053362,"submittedOn":"2026-07-30"}]},"custodians":[{"name":"National Financial Services LLC","shortName":"Fidelity","location":"Boston, MA","smaAssets":138532214}],"custodyNote":"Imperity Wealth Alliance has custody of $6.08M for 7 clients.","otherCustodians":[],"leadership":[{"name":"Joseph Principe","title":"President, COO, Founding Partner","crd":"5031617"},{"name":"Douglas Didominica","title":"CCO, CEO, Founding Partner","crd":"2801817"}],"ownership":[{"label":"Douglas Didominica","detail":"Cco, ceo, founding partner in the 50% to 75% ownership band and a control person, since October 2025. Also a owner of Northern Rock Holdings, LLC in the 75% or more band and a control person, since May 2023."},{"label":"Joseph Principe","detail":"President, coo, founding partner in the 25% to 50% ownership band and a control person, since October 2025. Also a owner of Goshawk Holdings Inc. in the 75% or more band and a control person, since May 2023."},{"label":"Imperity Group, LLC","detail":"Owner in the 75% or more ownership band and a control person, since May 2023."},{"label":"Goshawk Holdings Inc.","detail":"Indirect owner: a owner of Imperity Group, LLC in the 25% to 50% band and a control person, since May 2023.","parent":"Imperity Group, LLC"},{"label":"Northern Rock Holdings, LLC","detail":"Indirect owner: a owner of Imperity Group, LLC in the 50% to 75% band and a control person, since May 2023.","parent":"Imperity Group, LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"New York","offices":2,"addresses":[{"street":"445 Broadhollow Road, Suite 400","city":"Melville","headquarters":true},{"street":"295 Madison Avenue","city":"New York"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"800-203-2702","stateRegisteredReps":10,"otherAdviserReps":10,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)","Commissions"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":5},{"label":"Securities issued by registered investment companies or business development companies","percent":88},{"label":"Cash and cash equivalents","percent":6},{"label":"Other","percent":1,"detail":"Annuities"}],"privateFunds":0},"sources":{"adv1FilingDate":"30 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/339113/PDF/339113.pdf","brochureDate":"30 July 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1053362","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 Imperity Wealth Alliance have?","answer":"Imperity Wealth Alliance has 363 clients and manages $140 million for them, as of July 2026. They include 339 individual clients and 24 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 30 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Imperity Wealth Alliance offer?","answer":"Imperity Wealth Alliance provides financial planning, portfolio management for individuals and small businesses, pension consulting, and selecting other managers.","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 Imperity Wealth Alliance use?","answer":"Imperity Wealth Alliance’s separately managed account assets are held at National Financial Services LLC (Boston, MA), with $139M. 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 July 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Imperity Wealth Alliance have?","answer":"Imperity Wealth Alliance has 10 investment adviser representatives registered with state securities authorities, out of 14 employees, and 10 perform investment advisory functions. 11 employees are registered representatives of a broker-dealer and 10 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 Imperity Wealth Alliance invest in?","answer":"At the end of its last fiscal year, Imperity Wealth Alliance’s separately managed accounts held 88% registered funds (mutual funds, ETFs, BDCs), 6% cash and equivalents, 5% exchange-traded equities and 1% other. The 1% other category is described as: Annuities.","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 Imperity Wealth Alliance?","answer":"Imperity Wealth Alliance is owned through a holding company by Goshawk Holdings Inc. and Northern Rock Holdings, LLC. Its direct owners are Douglas Didominica (50% to 75%), Joseph Principe (25% to 50%) and Imperity Group, LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 30 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Imperity Wealth Alliance get paid?","answer":"Imperity Wealth Alliance is paid through a percentage of assets under management, hourly charges, fixed fees and commissions. Its Form ADV lists no 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 Imperity Wealth Alliance?","answer":"Imperity Wealth Alliance’s main office is at 445 Broadhollow Road, Suite 400, Melville, NY 11747. Its phone number is 800-203-2702.","source":"Form ADV Part 1A, Item 1.F, filed 30 July 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."}