{"url":"https://nivawealth.com/firms/sustainable-advisors-alliance-312061","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/312061","regulatoryAum":234841969,"crd":"312061","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"729119","suffix":null,"lastName":"BRANDT","firstName":"PAMELA","middleName":"STAMPER"},{"crd":"2048448","suffix":null,"lastName":"BRYAN","firstName":"JANET","middleName":"ELLEN"},{"crd":"5935291","suffix":null,"lastName":"ISANUK","firstName":"LAURA","middleName":"WHITNEY"},{"crd":"6703921","suffix":null,"lastName":"Litts","firstName":"Elizabeth","middleName":"Sheldahl"},{"crd":"4608041","suffix":null,"lastName":"MCLEOD","firstName":"IAN","middleName":"BERNARD"},{"crd":"1608921","suffix":null,"lastName":"MORAN","firstName":"HAROLD","middleName":"JOSEPH"},{"crd":"8182219","suffix":null,"lastName":"Plair","firstName":"Cassidy","middleName":null},{"crd":"1513147","suffix":null,"lastName":"SKYE","firstName":"JULIE","middleName":"LYNN"},{"crd":"3168746","suffix":null,"lastName":"STROHOFFER","firstName":"KRISTA","middleName":"ANNE"}],"total":9,"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":"2021-05-05","regulatoryAum":134487588,"clients":440,"employees":5,"offices":6},{"filedOn":"2022-06-21","regulatoryAum":178475095,"clients":499,"employees":5,"offices":7},{"filedOn":"2023-07-19","regulatoryAum":168438791,"clients":466,"employees":5,"offices":7},{"filedOn":"2024-06-05","regulatoryAum":187226580,"clients":539,"employees":9,"offices":7},{"filedOn":"2025-03-25","regulatoryAum":206973202,"clients":546,"employees":8,"offices":7},{"filedOn":"2026-04-16","regulatoryAum":234841969,"clients":559,"employees":8,"offices":7}],"secFileNumber":"801-120088","legalName":"Sustainable Advisors Alliance LLC","displayName":"Sustainable Advisors Alliance","slug":"sustainable-advisors-alliance-312061","website":"https://principledinvestingllc.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Oklahoma limited liability company","fiscalYearEnd":"December","headquarters":{"street":"12 N Cheyenne Ave, Suite 406","city":"Tulsa","state":"OK","stateName":"Oklahoma","country":"United States","postalCode":"74103"},"tradeNames":["Bright Way Finances LLC","Jan Bryan CFP","Principled Investing, LLC","Seven Generations Investing, LLC","Sustainable Wealth Advisors LLC"],"registration":{"secApproved":"4 January 2021","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":410064.43470483006,"staff":{"employees":8,"advisory":8,"brokerDealerReps":0,"insuranceAgents":3,"promoters":0},"aum":{"regulatory":234841969,"discretionary":223343708,"discretionaryAccounts":1044,"nonDiscretionary":11498261,"nonDiscretionaryAccounts":36,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":28},"clientTypes":[{"label":"Individuals (other than HNW)","clients":465,"regulatoryAum":82965125},{"label":"High-net-worth individuals","clients":94,"regulatoryAum":146260894},{"label":"Pension and profit-sharing plans","clients":null,"fewerThan5":true,"regulatoryAum":1505984},{"label":"Charitable organizations","clients":null,"fewerThan5":true,"regulatoryAum":4109966}],"feePrograms":[{"role":"main","program":"Portfolio Management Services","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1011114","versionId":1011114,"ratePeriod":"annual","fee_billing":"both","submittedOn":"2026-02-23","documentName":"SAA ADV PART 2A","fee_rate_low":0.65,"fee_rate_high":1.65,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Annuity Management Services","summary":"Annuity management is charged at a maximum annual fee of 1.50% of portfolio value.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1011114","versionId":1011114,"submittedOn":"2026-02-23","documentName":"SAA ADV PART 2A"},{"role":"other","program":"Employee Benefit Plan Services","summary":"Plan services are compensated at no more than 1.00% of total plan assets, paid by the sponsor or deducted from plan assets.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1011114","versionId":1011114,"submittedOn":"2026-02-23","documentName":"SAA ADV PART 2A"},{"role":"other","program":"Financial Planning","summary":"Hourly planning is $125 to $500 an hour, flat-fee planning is $500 to $7,500, and retainer planning is at most $7,500 a year; negotiable.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1011114","versionId":1011114,"submittedOn":"2026-02-23","documentName":"SAA ADV PART 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T16:50:20.743499+00:00","documents":[{"name":"SAA ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1011114","versionId":1011114,"submittedOn":"2026-02-23"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":162304629},{"name":"Folio Investments, Inc.","shortName":"Folio Investments","location":"McLean, VA","smaAssets":32294482},{"name":"Assetmark Brokerage, LLC","shortName":"Assetmark Brokerage","location":"Concord, CA","smaAssets":12142549},{"name":"Apex Clearing Corporation","shortName":"Apex Clearing","location":"Dallas, TX","smaAssets":23061551}],"custodyNote":"Sustainable Advisors Alliance does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Julie Skye","title":"Member and Chief Compliance Officer","crd":"1513147"},{"name":"Pamela Brandt","title":"Member","crd":"729119"},{"name":"Janet Bryan","title":"Member","crd":"2048448"},{"name":"Laura Isanuk","title":"Member","crd":"5935291"},{"name":"Harold Moran","title":"Member","crd":"1608921"},{"name":"Krista Strohoffer","title":"Member","crd":"3168746"}],"ownership":[{"label":"Julie Skye","detail":"Member and chief compliance officer in the 10% to 25% ownership band and a control person, since November 2020."},{"label":"Harold Moran","detail":"Member in the 10% to 25% ownership band and a control person, since April 2021."},{"label":"Janet Bryan","detail":"Member in the 10% to 25% ownership band and a control person, since April 2021."},{"label":"Krista Strohoffer","detail":"Member in the 10% to 25% ownership band and a control person, since January 2021."},{"label":"Laura Isanuk","detail":"Member in the 10% to 25% ownership band and a control person, since April 2021."},{"label":"Pamela Brandt","detail":"Member in the 10% to 25% ownership band and a control person, since April 2021."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":6,"privateResidences":5},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"New York","offices":1,"addresses":[{"street":"112 Spring Street, Suite 302","city":"Saratoga Springs"}]},{"state":"Oklahoma","offices":1,"addresses":[{"street":"12 N Cheyenne Ave, Suite 406","city":"Tulsa","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"918-408-7981","stateRegisteredReps":8,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)","Other"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services","Selection of other advisers (including private fund managers)","Educational seminars/workshops"],"financialPlanningClients":"101-250","assetMix":[{"label":"Exchange-traded equity securities","percent":48},{"label":"Non-exchange-traded equity securities","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":38},{"label":"Cash and cash equivalents","percent":13}],"privateFunds":0},"sources":{"adv1FilingDate":"16 April 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/312061/PDF/312061.pdf","brochureDate":"23 February 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1011114","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 Sustainable Advisors Alliance have?","answer":"Sustainable Advisors Alliance has 559 clients and manages $235 million for them, as of April 2026. They include 465 individual clients and 94 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 16 April 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Sustainable Advisors Alliance offer?","answer":"Sustainable Advisors Alliance provides financial planning, portfolio management for individuals and small businesses, pension consulting, selecting other managers, and educational seminars.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Sustainable Advisors Alliance charge?","answer":"Sustainable Advisors Alliance charges 0.65%–1.65% a year for its Portfolio Management Services. The fee is billed in advance or in arrears and is negotiable.","source":"SAA ADV PART 2A, filed 23 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Sustainable Advisors Alliance use?","answer":"Sustainable Advisors Alliance’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $162M, Folio Investments, Inc. (McLean, VA), with $32.3M, Apex Clearing Corporation (Dallas, TX), with $23.1M and Assetmark Brokerage, LLC (Concord, CA), with $12.1M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 16 April 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Sustainable Advisors Alliance have?","answer":"Sustainable Advisors Alliance has 8 investment adviser representatives registered with state securities authorities, out of 8 employees, and 8 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 Sustainable Advisors Alliance invest in?","answer":"At the end of its last fiscal year, Sustainable Advisors Alliance’s separately managed accounts held 48% exchange-traded equities, 38% registered funds (mutual funds, ETFs, BDCs), 13% cash and equivalents and 1% non-exchange-traded equities.","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 Sustainable Advisors Alliance?","answer":"Sustainable Advisors Alliance’s direct owners are Julie Skye, Harold Moran, Janet Bryan, Krista Strohoffer, Laura Isanuk and Pamela Brandt, each holding 25% or less.","source":"Form ADV Part 1A, Schedules A and B, filed 16 April 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Sustainable Advisors Alliance get paid?","answer":"Sustainable Advisors Alliance is paid through a percentage of assets under management, hourly charges, fixed fees and other compensation. 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 Sustainable Advisors Alliance?","answer":"Sustainable Advisors Alliance’s main office is at 12 N Cheyenne Ave, Suite 406, Tulsa, OK 74103. Its phone number is 918-408-7981. Its website is principledinvestingllc.com.","source":"Form ADV Part 1A, Item 1.F, filed 16 April 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."}