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ALLY INVEST ADVISORS INC, CRD 170301
CHARLOTTE, NC
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| Miteshkumar D Patel | Chartered Financial Analyst | CHARLOTTE, NC | 7 | 10 | n/a | yes |
| George Andrew Trabookis | n/a | CHARLOTTE, NC | 6 | 21 | 2 | yes |
| Gerald Krager | n/a | Keller, TX | CHARLOTTE, NC | 6 | 28 | 2 | yes |
| Cheryl Gunar Thompson | n/a | CHARLOTTE, NC | 6 | 27 | 4 | yes |
| Matthew Kenneth Odom | n/a | CHARLOTTE, NC | 6 | 19 | 2 | yes |
| Jeffrey Maurice Harris | n/a | CHARLOTTE, NC | 5 | 16 | n/a | yes |
| Brandon Michael Shephard | n/a | CHARLOTTE, NC | 5 | 20 | 3 | yes |
| Christopher Michael Gee | n/a | CHARLOTTE, NC | 4 | 25 | 1 | yes |
| Russell Westover Martin | n/a | CHARLOTTE, NC | 4 | 19 | 2 | yes |
| Joshua Smail | n/a | Macomb, MI | CHARLOTTE, NC | 4 | 23 | 6 | yes |
| Brett Kincade | n/a | CHARLOTTE, NC | LEWISVILLE, TX | 4 | 17 | 3 | yes |
| Mohammad Hameed | n/a | CHARLOTTE, NC | Katy, TX | 4 | 20 | 4 | yes |
| James Edward Lenoir | n/a | CHARLOTTE, NC | 4 | 10 | 1 | yes |
| Ather Naqi | n/a | Lewisville, TX | 4 | 11 | 3 | yes |
| William Chase Causey | n/a | Paragould, AR | CHARLOTTE, NC | 4 | 10 | 1 | yes |
| Derek Lightner | n/a | CHARLOTTE, NC | 4 | 12 | 1 | yes |
| Shannon Lea Christensen | n/a | CHARLOTTE, NC | Lexington, KY | 4 | 15 | 1 | yes |
| John William Ratey | n/a | CHARLOTTE, NC | Hovland, MN | 4 | 15 | 3 | yes |
| Derek Eugene Petrella | n/a | Dresher, PA | CHARLOTTE, NC | 4 | 11 | 1 | yes |
| DARIYA RENTUK | n/a | CHARLOTTE, NC | Yorktown Heights, NY | 4 | 12 | 1 | yes |
| Serena Rizzo | n/a | Albuquerque, NM | CHARLOTTE, NC | 4 | 24 | 2 | yes |
| Wesley Price | n/a | CHARLOTTE, NC | Memphis, TN | 4 | 10 | 3 | yes |
| Brian Hodgeman | n/a | CHARLOTTE, NC | Cleves, OH | 4 | 27 | 1 | yes |
| Christopher David Holt | n/a | CHARLOTTE, NC | Cincinnati, OH | 4 | 18 | 2 | yes |
| Sarah Ann Khan | n/a | CHARLOTTE, NC | 4 | 11 | n/a | yes |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| ALLY INVEST GROUP INC. | MAJORITY SHAREHOLDER | E | yes | 09/2012 | Apr 1, 2026 | Apr 1, 2026 |
| Krager, Gerald | CHIEF COMPLIANCE OFFICER | Na | yes | 03/2020 | Apr 1, 2026 | Apr 1, 2026 |
| Martin, Alex, Michael | CHIEF FINANCIAL OFFICER | Na | yes | 07/2020 | Apr 1, 2026 | Apr 1, 2026 |
| Patel, Miteshkumar, D | President | Na | yes | 02/2021 | Apr 1, 2026 | Apr 1, 2026 |
| Spangard, Loretta, Ballard | Director | Na | yes | 02/2022 | Apr 1, 2026 | Apr 1, 2026 |
| ALLY FINANCIAL INC. | Shareholder | E | yes | 06/2016 | Jan 3, 2017 | Dec 20, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| ALLY BANK | n/a | n/a | n/a | N | yes | n/a |
| ALLY FINANCIAL INC. | n/a | n/a | n/a | Y | yes | n/a |
| ALLY INTERNATIONAL INSURANCE COMPANY LTD. | n/a | n/a | n/a | N | yes | n/a |
| ALLY INVEST SECURITIES LLC | n/a | n/a | n/a | N | yes | n/a |
| ALLY RISK SERVICES INC. | n/a | n/a | n/a | N | yes | n/a |
| ALLY SERVICE AGREEMENT CORPORATION | n/a | n/a | n/a | N | yes | n/a |
| CIM INSURANCE CORPORATION | n/a | n/a | n/a | N | yes | n/a |
| COVERAGEONE CORPORATION | n/a | n/a | n/a | N | yes | n/a |
| MIC PROPERTY AND CASUALTY INSURANCE CORPORATION | n/a | n/a | n/a | N | yes | n/a |
| MOTORS INSURANCE CORPORATION | n/a | n/a | n/a | N | yes | n/a |
| UNIVERSAL WARRANTY CORPORATION | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 1, 2026 | $1.7B | $1.7B | 8 | 8 | 2 | n/a | n/a |
| 2024 | Mar 28, 2025 | $1.4B | $1.4B | 9 | 9 | 3 | n/a | n/a |
| 2023 | Feb 5, 2024 | $1.1B | $1.1B | 12 | 12 | 3 | n/a | n/a |
| 2022 | Mar 30, 2023 | $987M | $987M | 14 | 14 | 3 | n/a | n/a |
| 2021 | Mar 11, 2022 | $1.1B | $1.1B | 15 | 12 | 0 | n/a | n/a |
| 2020 | Mar 30, 2021 | $710M | $710M | 12 | 4 | 1 | n/a | n/a |
| 2019 | Mar 30, 2020 | $277M | $277M | 0 | 0 | 1 | n/a | n/a |
| 2018 | Mar 27, 2019 | $157M | $157M | 30 | 8 | 0 | n/a | n/a |
| 2017 | Nov 16, 2017 | $59.8M | $59.8M | 66 | 8 | 0 | n/a | n/a |
| 2016 | Jan 3, 2017 | $15.6M | $15.6M | 15 | 4 | n/a | n/a | n/a |
| 2015 | Nov 4, 2015 | $11.5M | $11.5M | 8 | 1 | n/a | n/a | n/a |
| 2014 | Nov 11, 2014 | $1.3M | $1.3M | 8 | 1 | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 7 | 13 | -6 | 15.7% | 6 | 6 | 0 | 20 | 35 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $1.7B | $1.4B | 24.2% | $987M | 20.5% | 8 | 9 | 2 | 3 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| VANGUARD ADVISERS, INC. | 2 | Oct 1, 2021 | Nov 10, 2021 | CHARLOTTE, NC | Team lift out | Ibd to RIA | 0.1% |