{"url":"https://nivawealth.com/firms/wealth-teams-alliance-168907","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/168907","regulatoryAum":223889000,"crd":"168907","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5780527","suffix":null,"lastName":"ALONGI","firstName":"MICHAEL","middleName":"FRANCIS"},{"crd":"10716","suffix":null,"lastName":"BAKER","firstName":"GUY","middleName":"EUGENE"},{"crd":"4734157","suffix":null,"lastName":"BLACK","firstName":"SHANNON","middleName":"JASON"},{"crd":"7086123","suffix":null,"lastName":"Conley","firstName":"Keith","middleName":null},{"crd":"5701234","suffix":null,"lastName":"HOWARD","firstName":"LANCE","middleName":"RAYMOND"},{"crd":"6485349","suffix":null,"lastName":"LATIMER","firstName":"TIMOTHY","middleName":"EDWARD"},{"crd":"6232749","suffix":null,"lastName":"LEE","firstName":"JAE","middleName":"SEON"},{"crd":"6691914","suffix":null,"lastName":"ORONCE","firstName":"JOSHUA","middleName":null},{"crd":"5377118","suffix":null,"lastName":"PETCHUL","firstName":"DANE","middleName":"ANDREW"},{"crd":"5645998","suffix":null,"lastName":"SOUCIER","firstName":"JONATHON","middleName":"PAUL"},{"crd":"1018877","suffix":null,"lastName":"TAYLOR","firstName":"MICHAEL","middleName":"DEAN"},{"crd":"5180329","suffix":null,"lastName":"Zilli","firstName":"Andrea","middleName":null}],"total":12,"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":"2022-04-01","regulatoryAum":246779538,"clients":691,"employees":25,"offices":3},{"filedOn":"2023-03-31","regulatoryAum":158869733,"clients":702,"employees":13,"offices":9},{"filedOn":"2024-05-02","regulatoryAum":199313862,"clients":774,"employees":26,"offices":9},{"filedOn":"2025-03-29","regulatoryAum":205554000,"clients":780,"employees":26,"offices":6},{"filedOn":"2026-09-16","regulatoryAum":223889000,"clients":812,"employees":27,"offices":8}],"secFileNumber":"801-122977","legalName":"Wealth Teams Alliance Inc.","displayName":"Wealth Teams Alliance","slug":"wealth-teams-alliance-168907","website":"https://wealth-teams.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"California corporation","fiscalYearEnd":"December","headquarters":{"street":"15520 Rockfield BLVD, Suite G","city":"Irvine","state":"CA","stateName":"California","country":"United States","postalCode":"92618"},"tradeNames":[],"registration":{"secApproved":"3 January 2022","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":266488.9162561576,"staff":{"employees":27,"advisory":12,"brokerDealerReps":1,"insuranceAgents":8,"promoters":10},"aum":{"regulatory":223889000,"discretionary":223889000,"discretionaryAccounts":985,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":71767512,"nonUsClientsPct":0,"nonAumClients":11},"clientTypes":[{"label":"Individuals (other than HNW)","clients":760,"regulatoryAum":151389000},{"label":"High-net-worth individuals","clients":52,"regulatoryAum":65000000},{"label":"Charitable organizations","clients":null,"fewerThan5":true,"regulatoryAum":7500000}],"feePrograms":[{"role":"other","program":"Financial Planning","summary":"Financial planning is a fixed fee from $1,500 to $5,000, negotiable, or $350 an hour in special cases; no advance billing above $500.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1036958","versionId":1036958,"submittedOn":"2026-03-31","documentName":"WEALTH TEAMS ALLIANCE ADV PART 2A"},{"role":"other","program":"Real Estate Mortgage Advice","summary":"Advice on real estate mortgages is charged a 1% fee on cumulative loans issued by mortgage lenders, remitted by the investor.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1036958","versionId":1036958,"submittedOn":"2026-03-31","documentName":"WEALTH TEAMS ALLIANCE ADV PART 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T14:48:06.810457+00:00","documents":[{"name":"WEALTH TEAMS ALLIANCE ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1036958","versionId":1036958,"submittedOn":"2026-03-31"},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1036959","versionId":1036959,"submittedOn":null}]},"custodians":[{"name":"Axos Clearing LLC","shortName":"Axos Clearing","location":"Omaha, NE","smaAssets":71767512},{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":27353044}],"custodyNote":"Wealth Teams Alliance does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Gary Million","title":"Chief Compliance Officer","crd":"5739241"},{"name":"Guy Baker","title":"Managing Member","crd":"10716"}],"ownership":[{"label":"Guy Baker","detail":"Managing member in the 75% or more ownership band and a control person, since December 2016."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":7,"privateResidences":5},"listedOfficeAddresses":3,"foreignOffices":[],"officesByState":[{"state":"California","offices":2,"addresses":[{"street":"15520 Rockfield BLVD, Suite G","city":"Irvine","headquarters":true},{"street":"5401 Business Park S","city":"Bakersfield"}]},{"state":"South Carolina","offices":1,"addresses":[{"street":"2236 Dreamscape Drive","city":"Bluffton"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"877-282-4768","stateRegisteredReps":12,"otherAdviserReps":2,"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","Publication of periodicals or newsletters","Educational seminars/workshops","Other"],"financialPlanningClients":"1-10","assetMix":[{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":95},{"label":"Cash and cash equivalents","percent":5}],"privateFunds":0},"sources":{"adv1FilingDate":"16 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/168907/PDF/168907.pdf","brochureDate":"31 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1036958","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 Wealth Teams Alliance have?","answer":"Wealth Teams Alliance has 812 clients and manages $224 million for them, as of September 2026. They include 760 individual clients and 52 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 16 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Wealth Teams Alliance offer?","answer":"Wealth Teams Alliance provides financial planning, portfolio management for individuals and small businesses, publishing newsletters, 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":"Which custodians does Wealth Teams Alliance use?","answer":"Wealth Teams Alliance’s separately managed account assets are held at Axos Clearing LLC (Omaha, NE), with $71.8M and Charles Schwab & Co., Inc. (Westlake, TX), with $27.4M. 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 September 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Wealth Teams Alliance have?","answer":"Wealth Teams Alliance has 12 investment adviser representatives registered with state securities authorities, out of 27 employees, and 12 perform investment advisory functions. 1 employee is a registered representative of a broker-dealer and 8 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 Wealth Teams Alliance invest in?","answer":"At the end of its last fiscal year, Wealth Teams Alliance’s separately managed accounts held 95% pooled vehicles (private funds and similar) and 5% cash and equivalents.","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 Wealth Teams Alliance?","answer":"Wealth Teams Alliance’s direct owner is Guy Baker (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 16 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Wealth Teams Alliance get paid?","answer":"Wealth Teams 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 Wealth Teams Alliance?","answer":"Wealth Teams Alliance’s main office is at 15520 Rockfield BLVD, Suite G, Irvine, CA 92618. Its phone number is 877-282-4768. Its website is wealth-teams.com.","source":"Form ADV Part 1A, Item 1.F, filed 16 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."}