INDEPENDENT ADVISOR ALLIANCE, LLC
Firm details
- Headquarters
- Charlotte, North Carolina
- CRD number
- 168267
- Registered since
- November 26, 2013
- Website
- visionarysquare.com
- Custodians
- LPL FINANCIAL LLC
- Fee structure
- Percentage of AUM, Hourly Charges, Fixed Fees
- Client types
- HNWI69.46%
- Individuals25.24%
- Charitable Organizations2.74%
- Corporations / Businesses1.7%
- Pension & Profit Sharing Plans0.86%
- Services
- Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension ConsultingSelection of Other AdvisersPublication of PeriodicalsEducational Seminars / Workshops
Firm profile
FINTRXOverview
Independent Advisor Alliance, LLC is an SEC-registered independent registered investment adviser organized as an LLC and active since 2013. The firm serves a mix of individual, family and institutional clients and functions as a capital allocator — combining discretionary portfolio management, financial planning and selection of outside managers. Its advisory services span individual and small business portfolios, institutional and pension consulting, publication of investment periodicals and educational seminars. The firm also operates as a registered representative of a broker‑dealer and as an insurance broker, and charges clients via percentage of AUM, hourly fees and fixed fees. Independent Advisor Alliance does not identify as an active ESG investor.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Public Funds/Mutual Funds66%
- Exchange Traded Equities27%
- Cash & Cash Equivalents3%
- US Government Bonds1%
- State & Local Bonds1%
Owners & executives
3 of 6David Buzo
Chief Marketing OfficerCRD 6930961
SHARON HERMAN
CEOCRD 4477226
THOMAS MOORE
CEO & Investment Advisor RepresentativeCRD 4699714
Contacts
3 of 299JANET WALKER
Co-FounderCRD 4423721
CHAD ROLLER
Financial AdvisorCRD 5139916
ERNEST ROSS
PresidentCRD 5154373
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 1,000Active vs passive
$8.6B in ETFs
71%
$6.1B
19%
$2.5B
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| STATE STREET(R) SPDR(R) PORTFOLIO S&P 500(R) ETF (SPYM) | State Street | $343M | 4,479,098 | 3.97% |
Location
Charlotte, NC
MECKLENBURG
Location
Charlotte, NC
Headquartered in Charlotte, NC, anchoring the Charlotte-Concord, NC-SC metro in the South.
- Metro area
- Charlotte-Concord, NC-SC
- Region
- South
- County
- MECKLENBURG
- Address
- 11215 N Community House Rd
- Time zone
- ET (UTC-5)
- Office locations
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