ALM First Financial Advisors LLC

RIASEC RegisteredEst. 2000
Total AUM
$76.2B
Discretionary
$2.3B
3% of AUM
Avg account
$403M
Accounts
189
Employees
23
Advisory reps
7

Firm details

Headquarters
Dallas, Texas
CRD number
108561
Registered since
September 22, 2000
Website
www.almfirst.com
Fee structure
Percentage of AUM, Fixed Fees
Client types
  • Banking / Thrift Institutions97.91%
  • Insurance Companies1.99%
  • Pooled Investment Vehicles0.06%
  • HNWI0.05%
Services
Portfolio Management for Pooled Investment VehiclesPortfolio Management for Institutional ClientsPublication of PeriodicalsEducational Seminars / Workshops

Firm profile

FINTRX

Overview

ALM First Financial Advisors LLC is an SEC-registered investment adviser organized as an LLC and first registered in 2000. The firm serves both high-net-worth individuals and families as well as institutional clients. Its fee model combines percentage-of-AUM billing with fixed-fee arrangements. Regulatory and business filings list commodity-related activity (CPO/CTA), and the firm provides portfolio management for pooled vehicles and for businesses or institutions. ALM First also produces written investment publications and runs educational seminars or workshops. It does not identify itself as an active ESG investor and is not reported as a multi-state adviser.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: US Government Bonds 79%, Derivatives 7%, Other 6%, Cash & Cash Equivalents 4%, Investment Grade Corp Bonds 2%, Exchange Traded Equities 1%, State & Local Bonds 1%79%
  • US Government Bonds79%
  • Derivatives7%
  • Other6%
  • Cash & Cash Equivalents4%
  • Investment Grade Corp Bonds2%

Owners & executives

3 of 3
  • Jason Haley

    Jason Haley

    Chief Investment OfficerCRD 4653830

  • Emily Hollis

    Emily Hollis

    Chief Executive OfficerCRD 1401084

  • Justin Dausch

    Justin Dausch

    Chief Compliance OfficerCRD 6919209

Contacts

3 of 4
  • Michael Ensweiler

    Michael Ensweiler

    PresidentCRD 5488284

  • Steven Hollis

    PrincipalCRD 5938498

  • John Graf

    John Graf

    Board of DirectorsCRD 1010354

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 25

Active vs passive

$614M in ETFs

Passive

46%

$284M

Active

54%

$330M

ETFProviderStyleCategoryValueShares% of portfolio
VANGUARD 500 INDEX FUND (VOO)VanguardPassiveLarge Blend$163M285,43426.53%
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Location

Primary office

Dallas, TX

Dallas

Location

Dallas, TX

Headquartered in Dallas, TX, anchoring the Dallas-Fort Worth, TX-OK metro in the South.

Metro area
Dallas-Fort Worth, TX-OK
Region
South
County
Dallas
Address
3800 Maple Ave
Time zone
CT (UTC-6)
Office locations

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Source: FINTRX private wealth data intelligence

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