DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

The Investment Advisor Alliance LLC

Former SEC-registered adviserAtlanta, GeorgiaCRD 125185SEC 801-110633IAPD
Latest filing Jul 6, 2021
First filing on the tape May 15, 2017 · 16 filings
RAUM
$184M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$184M as of Mar 31, 2021
Feb 2, 2018$83.9M then
HNW client RAUM$42.9M as of Mar 17, 2020
Feb 2, 2018$39.7M then
State-registered IARs (5.B.3)2 as of Mar 31, 2021
Feb 2, 201810 then
Employees (5.A)4 as of Mar 31, 2021
Feb 2, 201813 then
Private funds: no history
RAUM +68% over the last fiscal year+30% a year over threeIARs 16 to 2offices 15 to 1
Practice profile
derived from the filing of Jul 6, 2021; every figure names its basis
RAUM per advisor
$91.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$36.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+68%derivedbetween the last two annual amendments
Advisor growth, one year
-88%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Custody
$184M, 5 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Other investment advisers$184M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$184M for 5 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Kevork Kevin Babikian · Vice President And Secretarycontrol
      since 07/2019 · owns less than 5%
    • Eileen Suzanne Christensen · Treasurercontrol
      since 03/2017 · owns less than 5%
    • Allison Laura Dukes · Smd And Chief Financial Officercontrol
      since 08/2020 · owns less than 5%
    • Janecka Annette Lege · Cao & Global Head Of Financial Operationscontrol
      since 08/2020 · owns less than 5%
    • Colin Meadows · Directorcontrol
      since 01/2016 · owns less than 5%
    • William Kevin Oldham · Assistant Treasurercontrol
      since 01/2016 · owns less than 5%
    • P Bryan Perryman · President And Ceocontrol
      since 02/2020 · owns less than 5%
    • Harris Robert Rigsby · Vice President And Secretarycontrol
      since 01/2016 · owns less than 5%
    • Melanie Ringold · Assistant Secretarycontrol
      since 01/2016 · owns less than 5%
    • Jurie Clifford Schoeman · Directorcontrol
      since 09/2020 · owns less than 5%
    • Esteban Emilie Sumera · Head Of U.S. Business Operations - Digital Wealthcontrol
      since 02/2020 · owns less than 5%
    • Marie Donna White · Chief Compliance Officercontrol
      since 07/2019 · owns less than 5%
    Entity owners
    • Invesco Group Services, Inc. · Sole Shareholder
      direct · owns 75% or more
    • Invesco Holding Company (US), Inc. · Sole Shareholder
      indirect · owns 75% or more of Oppenheimer Acquisition Corp. (Gatc)
    • Invesco Holding Company Limited · Sole Shareholder
      indirect · owns 75% or more of Invesco Holding Company (US), Inc.
    • Invesco Ltd. · Sole Shareholder
      indirect · owns 75% or more of Invesco Holding Company Limited
    • Oppenheimer Acquisition Corp. (Gatc) · Sole Shareholder
      indirect · owns 75% or more of Oppenheimerfunds, Inc. (US)
    • Oppenheimerfunds, Inc. (US) · Sole Shareholder
      indirect · owns 75% or more of Invesco Group Services, Inc.
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • Oradell, NJ
    What changed
    consecutive filings, newest first
    • Accounts · 859 to 5
      Dec 8, 2020 to Mar 31, 2021
    • Advisory employees · 15 to 2
      Dec 8, 2020 to Mar 31, 2021
    • Advisory activities · 5 to 3
      Dec 8, 2020 to Mar 31, 2021
    • HNW clients · 7.0 to unset
      Dec 8, 2020 to Mar 31, 2021
    • Individual clients · 308.0 to unset
      Dec 8, 2020 to Mar 31, 2021
    • Assets in custody · $109M to $184M
      Dec 8, 2020 to Mar 31, 2021
    • Employees · 19 to 4
      Dec 8, 2020 to Mar 31, 2021
    • Financial planning clients · 251-500 to 0
      Dec 8, 2020 to Mar 31, 2021
    • HQ city · ORADELL to ATLANTA
      Dec 8, 2020 to Mar 31, 2021
    • HQ state · NJ to GA
      Dec 8, 2020 to Mar 31, 2021
    • State-registered IARs · 16 to 2
      Dec 8, 2020 to Mar 31, 2021
    • Other offices · 15 to 1
      Dec 8, 2020 to Mar 31, 2021
    • Discretionary RAUM · $109M to $184M
      Dec 8, 2020 to Mar 31, 2021
    • HNW RAUM · 42914946.0 to unset
      Dec 8, 2020 to Mar 31, 2021
    • Individual RAUM · 53724004.0 to unset
      Dec 8, 2020 to Mar 31, 2021
    • RAUM · $109M to $184M
      Dec 8, 2020 to Mar 31, 2021
    • Related adviser · false to true
      Dec 8, 2020 to Mar 31, 2021
    • Related bank · false to true
      Dec 8, 2020 to Mar 31, 2021
    • Related broker-dealer · false to true
      Dec 8, 2020 to Mar 31, 2021
    • Accounts · 616 to 859
      Dec 19, 2019 to Mar 17, 2020
    • HNW clients · 18 to 7
      Dec 19, 2019 to Mar 17, 2020
    • Individual clients · 260 to 308
      Dec 19, 2019 to Mar 17, 2020
    • Assets in custody · unset to 109352394.0
      Dec 19, 2019 to Mar 17, 2020
    • Custody of client assets · false to true
      Dec 19, 2019 to Mar 17, 2020
    • Employees · 18 to 19
      Dec 19, 2019 to Mar 17, 2020
    • Other offices · 13 to 15
      Dec 19, 2019 to Mar 17, 2020
    • Discretionary RAUM · $91.9M to $109M
      Dec 19, 2019 to Mar 17, 2020
    • HNW RAUM · $33.1M to $42.9M
      Dec 19, 2019 to Mar 17, 2020
    • Individual RAUM · $48.7M to $53.7M
      Dec 19, 2019 to Mar 17, 2020
    • RAUM · $91.9M to $109M
      Dec 19, 2019 to Mar 17, 2020
    • Accounts · 619 to 616
      Jul 30, 2018 to Mar 27, 2019
    • Advisory employees · 10 to 15
      Jul 30, 2018 to Mar 27, 2019
    • HNW clients · 16 to 18
      Jul 30, 2018 to Mar 27, 2019
    • Individual clients · 254 to 260
      Jul 30, 2018 to Mar 27, 2019
    • Employees · 13 to 18
      Jul 30, 2018 to Mar 27, 2019
    • Financial planning clients · 101-250 to 251-500
      Jul 30, 2018 to Mar 27, 2019
    • State-registered IARs · 10 to 16
      Jul 30, 2018 to Mar 27, 2019
    • Other offices · 9 to 13
      Jul 30, 2018 to Mar 27, 2019
    • Discretionary RAUM · $83.9M to $91.9M
      Jul 30, 2018 to Mar 27, 2019
    • HNW RAUM · $39.7M to $33.1M
      Jul 30, 2018 to Mar 27, 2019
    Signals
    18 dated events
    • Gerard Jeffrey Callahan (Assistant Secretary) no longer on Schedule A of The Investment Advisor Alliance Llc (listed 2021-06-30, absent 2021-07-06)
      Jul 6, 2021 · Control person left · inference
    • The Investment Advisor Alliance Llc reported 1 offices beyond its principal office, down from 15 (2020-12-08 to 2021-03-31)
      Mar 31, 2021 · Office count change · derived
    • The Investment Advisor Alliance Llc reported 2 state-registered advisory representatives, down from 16 (2020-12-08 to 2021-03-31)
      Mar 31, 2021 · Advisor headcount change · derived
    • William Robert Keeler (Ceo/Coo/Cco) no longer on Schedule A of The Investment Advisor Alliance Llc (listed 2020-12-08, absent 2021-03-31)
      Mar 31, 2021 · Control person left · inference
    • Kevork Kevin Babikian (Vice President And Secretary) appeared on Schedule A of The Investment Advisor Alliance Llc
      Mar 31, 2021 · Control person joined · fact
    • Gerard Jeffrey Callahan (Assistant Secretary) appeared on Schedule A of The Investment Advisor Alliance Llc
      Mar 31, 2021 · Control person joined · fact
    • Melanie Ringold (Assistant Secretary) appeared on Schedule A of The Investment Advisor Alliance Llc
      Mar 31, 2021 · Control person joined · fact
    • William Kevin Oldham (Assistant Treasurer) appeared on Schedule A of The Investment Advisor Alliance Llc
      Mar 31, 2021 · Control person joined · fact
    • Colin Meadows (Director) appeared on Schedule A of The Investment Advisor Alliance Llc
      Mar 31, 2021 · Control person joined · fact
    • Harris Robert Rigsby (Vice President And Secretary) appeared on Schedule A of The Investment Advisor Alliance Llc
      Mar 31, 2021 · Control person joined · fact
    • Eileen Suzanne Christensen (Treasurer) appeared on Schedule A of The Investment Advisor Alliance Llc
      Mar 31, 2021 · Control person joined · fact
    • Marie Donna White (Chief Compliance Officer) appeared on Schedule A of The Investment Advisor Alliance Llc
      Mar 31, 2021 · Control person joined · fact
    • P Bryan Perryman (President And Ceo) appeared on Schedule A of The Investment Advisor Alliance Llc
      Mar 31, 2021 · Control person joined · fact
    • Esteban Emilie Sumera (Head Of U.S. Business Operations - Digital Wealth) appeared on Schedule A of The Investment Advisor Alliance Llc
      Mar 31, 2021 · Control person joined · fact
    • Janecka Annette Lege (Cao & Global Head Of Financial Operations) appeared on Schedule A of The Investment Advisor Alliance Llc
      Mar 31, 2021 · Control person joined · fact
    • Allison Laura Dukes (Smd And Chief Financial Officer) appeared on Schedule A of The Investment Advisor Alliance Llc
      Mar 31, 2021 · Control person joined · fact
    • Jurie Clifford Schoeman (Director) appeared on Schedule A of The Investment Advisor Alliance Llc
      Mar 31, 2021 · Control person joined · fact
    • The Investment Advisor Alliance Llc filed its initial SEC registration (Form ADV)
      May 15, 2017 · First SEC registration · fact
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026