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.

Firm class

former SEC adviserderivedabsent from the latest SEC roster

Regulatory AUM

$3.7MItem 5.F on the latest filing (2019-03-18); as reported, and an affiliate's assets may be counted again on its own filing

Discretionary RAUM

$3.7M

Private client RAUM

$3.7MderivedItem 5.D individuals plus high net worth individuals

Private client share

100%derivedprivate client RAUM over total RAUM

Advisors on IAPD

0

Employees

2

Advisory employees

2

Offices

0Schedule D 1.F, beyond the principal office

Accounts

12

Individual clients

6

SEC number

801-115006

CRD

173739

Filings on the tape

2

First filed

Mar 14, 2019

Latest filed

Mar 18, 2019

Organised

Limited Liability Company, Massachusetts

• Occurred

  Mar 14, 2019
  First Form ADV filing

  Alc Advisory filed its initial SEC registration (Form ADV)

  Form ADVobserved 4 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:f1a34666-e1dc-d05e-f823-e14a5d4fae0b

First observed

Mar 14, 2019

Last observed

Mar 18, 2019 91 months ago

Source families

Federal regulator filings

3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.