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RIA / WealthAdvisor23 years in industry

JON NEE

Advisor at INDEPENDENT ADVISOR ALLIANCE, LLC

Charlotte, NC

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Search this name across graphsid dfx:ria:9fcc9176-324d-706b-752e-ee263dbd61e0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Jan 29, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: INDEPENDENT ADVISOR ALLIANCE, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 26, 2002earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Dec 26, 2002
First registration: Jan 29, 2003
Dual registered: no
IAPD individual key: 4372924

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
INDEPENDENT ADVISOR ALLIANCE, LLC	Independent wealth	Sep 23, 2025	n/a	yes	Charlotte, NC	Current employment
EASTOVER CAPITAL MANAGEMENT	Independent wealth	May 16, 2019	Sep 17, 2025	no	CHARLOTTE, NC	Previous registration
FIRST HORIZON ADVISORS, INC	Former SEC adviser	Nov 28, 2016	Mar 22, 2019	no	Charlotte, NC	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Feb 29, 2012	Oct 5, 2016	no	CHARLOTTE, NC\|CHARLOTTE, NC\|MINNEAPOLIS, MN	Previous registration
FIFTH THIRD SECURITIES, INC.	Bd affiliated wealth	Aug 3, 2009	Feb 24, 2012	no	CHARLOTTE, NC\|CHARLOTTE, NC	Previous registration
OPPENHEIMER & CO. INC.	Bd affiliated wealth	Apr 6, 2009	Jul 22, 2009	no	CHARLOTTE, NC	Previous registration
STANFORD GROUP COMPANY	n/a	Aug 30, 2006	Mar 13, 2009	no	CHARLOTTE, NC	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Jan 29, 2003	Jun 19, 2006	no	CHARLOTTE, NC\|CHARLOTTE, NC	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
EASTOVER CAPITAL MANAGEMENT	INDEPENDENT ADVISOR ALLIANCE, LLC	Sep 17, 2025	Sep 23, 2025	6	Firm change	Other
FIRST HORIZON ADVISORS, INC	EASTOVER CAPITAL MANAGEMENT	Mar 22, 2019	May 16, 2019	55	Firm change	RIA to RIA
WELLS FARGO ADVISORS	FIRST HORIZON ADVISORS, INC	Oct 5, 2016	Nov 28, 2016	54	Firm change	Other
FIFTH THIRD SECURITIES, INC.	WELLS FARGO ADVISORS	Feb 24, 2012	Feb 29, 2012	5	Firm change	Other
OPPENHEIMER & CO. INC.	FIFTH THIRD SECURITIES, INC.	Jul 22, 2009	Aug 3, 2009	12	Firm change	Other
STANFORD GROUP COMPANY	OPPENHEIMER & CO. INC.	Mar 13, 2009	Apr 6, 2009	24	Firm change	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	STANFORD GROUP COMPANY	Jun 19, 2006	Aug 30, 2006	72	Firm change	Other

Relationships

Registered with (8)

→ INDEPENDENT ADVISOR ALLIANCE, LLCRegistered adviserregistration: current employment
Sep 23, 2025 to presentfactForm ADV
→ EASTOVER CAPITAL MANAGEMENTRegistered adviserregistration: previous registration
May 16, 2019 to Sep 17, 2025factForm ADV
→ FIRST HORIZON ADVISORS, INCRegistered adviserregistration: previous registration
Nov 28, 2016 to Mar 22, 2019factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Feb 29, 2012 to Oct 5, 2016factForm ADV
→ FIFTH THIRD SECURITIES, INC.Registered adviserregistration: previous registration
Aug 3, 2009 to Feb 24, 2012factForm ADV
→ OPPENHEIMER & CO. INC.Registered adviserregistration: previous registration
Apr 6, 2009 to Jul 22, 2009factForm ADV
→ STANFORD GROUP COMPANYRegistered adviserregistration: previous registration
Aug 30, 2006 to Mar 13, 2009factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Jan 29, 2003 to Jun 19, 2006factForm ADV

Dated events

Occurred
Sep 17, 2025
Advisor changed firm
Jon Nee left Eastover Capital Management for Independent Advisor Alliance, Llc (registered 2025-09-23)
Form ADVobserved 5 days ago