The Fiduciary Alliance

RIASEC Registered
Total AUM
$2.5B
Discretionary
$2.5B
98% of AUM
Avg account
$276K
Accounts
9,155
Employees
76
Advisory reps
49

Firm details

Headquarters
Greenville, South Carolina
CRD number
284924
Registered since
August 17, 2016
Website
www.fiduciaryalliance.org
Custodians
CHARLES SCHWAB & CO., INC., FIDELITY DISTRIBUTORS COMPANY LLC
Fee structure
Percentage of AUM, Hourly Charges, Fixed Fees, Performance Based Fees
Client types
  • Individuals48.28%
  • HNWI44.74%
  • Other Investment Advisers3.29%
  • Corporations / Businesses2.62%
  • Pension & Profit Sharing Plans0.45%
Services
Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsSelection of Other AdvisersEducational Seminars / Workshops

Firm profile

FINTRX

Overview

The Fiduciary Alliance is an independent registered investment adviser organized as an LLC that has been SEC registered since 2016. The firm describes itself as a capital allocator serving both individual and family clients as well as institutional accounts. Its advisory services include financial planning, portfolio management for individuals, small businesses and institutions, selecting third‑party advisers, and offering educational seminars and workshops. Fee arrangements are flexible and include percentage‑of‑AUM billing, fixed and hourly fees, and performance‑based fees. The firm does not identify as an active ESG investor.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Read the full firm profile in FINTRX →

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: Exchange Traded Equities 48%, Public Funds/Mutual Funds 36%, Cash & Cash Equivalents 10%, State & Local Bonds 2%, Other 2%, US Government Bonds 1%, Investment Grade Corp Bonds 1%48%
  • Exchange Traded Equities48%
  • Public Funds/Mutual Funds36%
  • Cash & Cash Equivalents10%
  • State & Local Bonds2%
  • Other2%

Owners & executives

3 of 4
  • Susan Harvell

    Susan Harvell

    Chief Compliance OfficerCRD 4442833

  • Robert Moses

    Robert Moses

    CEO & FounderCRD 4132113

  • Brian Boughner

    Brian Boughner

    Chief Operating OfficerCRD 4152328

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Contacts

3 of 45
  • Brian Dick

    Brian Dick

    OwnerCRD 5290334

  • Edgar Mclean

    Investment Advisor RepresentativeCRD 5322814

  • John Coble

    John Coble

    Registered RepresentativeCRD 4287621

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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 284

Active vs passive

$845M in ETFs

Passive

75%

$631M

Active

14%

$214M

ETFProviderStyleCategoryValueShares% of portfolio
STATE STREET(R) SPDR(R) PORTFOLIO S&P 500(R) ETF (SPYM)State Street$43.7M486,6585.17%
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Location

Primary office

Greenville, SC

Greenville

Location

Greenville, SC

Headquartered in Greenville, SC, anchoring the Greenville-Spartanburg-Anderson, SC metro in the South.

Metro area
Greenville-Spartanburg-Anderson, SC
Region
South
County
Greenville
Address
135 S Main St
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth