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.

SEC-registered adviser

Ally Invest Advisors

Independent wealth managerCharlotte, North CarolinaCRD 170301SEC 801-79305websiteIAPD
Legal name Ally Invest Advisors Inc
Latest filing Apr 1, 2026
First filing on the tape Feb 27, 2014 · 68 filings
SEC status approved since Mar 27, 2014
RAUM
$1.7B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.7B individuals and HNW
Advisors
83
registered through the firm on IAPD
RAUM per advisor
$20.8M
derived; firm RAUM over IAPD count
Employees
8
8 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
68 filings and snapshots on the tape
RAUM$1.7B as of Apr 1, 2026
Nov 11, 2014$1.3M then
HNW client RAUM$85.1M as of Apr 1, 2026
Mar 30, 2021$0 then
State-registered IARs (5.B.3)8 as of Apr 1, 2026
Nov 11, 20140 then
Employees (5.A)8 as of Apr 1, 2026
Nov 11, 20148 then
Private funds: no history
RAUM +24% over the last fiscal year+20% a year over threeIARs 9 to 8offices 3 to 2
Practice profile
derived from the filing of Apr 1, 2026; every figure names its basis
Archetypes, each a printed rule
  • Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
RAUM per advisor
$21.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
1,015derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.4MderivedHNW RAUM over HNW clients
Average account
$21,705derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.1derivedItem 5.A over advisors
Advisors per office
27.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+24%derivedbetween the last two annual amendments
Advisor growth, one year
-11%derivedItem 5.B.3 between annual amendments
Client growth, one year
+4.1%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Financial planning clients
1,500reportedItem 5.H
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$1.6B95%
  • High-net-worth individuals$85.1M4.9%
Individual clients
83,137reported
HNW clients
62reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
79,536reported
Financial planning clients
1,500reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=7.0derived
Advisors registered through the firm
83 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Miteshkumar D PatelChartered Financial AnalystCharlotte, NcJun 27, 201910 y0
George Andrew TrabookisCharlotte, NcFeb 4, 202021 y2
Gerald KragerKeller, Tx Mar 26, 202028 y2
Cheryl Gunar ThompsonCharlotte, NcJun 24, 202027 y4
Matthew Kenneth OdomCharlotte, NcJul 1, 202019 y2
Jeffrey Maurice HarrisCharlotte, NcFeb 5, 202116 y0
Brandon Michael ShephardCharlotte, NcAug 17, 202120 y3
Russell Westover MartinCharlotte, NcOct 6, 202119 y2
Christopher Michael GeeCharlotte, NcOct 6, 202125 y1
Mohammad HameedCharlotte, Nc Oct 7, 202120 y4
Shannon Lea ChristensenCharlotte, Nc Oct 7, 202115 y1
Joshua SmailMacomb, Mi Oct 7, 202122 y6
Derek LightnerCharlotte, NcOct 7, 202112 y1
Ather NaqiLewisville, TxOct 7, 202111 y3
James Edward LenoirCharlotte, NcOct 7, 202110 y1
Brett KincadeCharlotte, Nc Oct 7, 202117 y3
William Chase CauseyParagould, Ar Oct 7, 202110 y1
John William RateyCharlotte, Nc Oct 8, 202115 y3
Dariya RentukCharlotte, Nc Oct 11, 202112 y1
Derek Eugene PetrellaDresher, Pa Oct 11, 202111 y1
Serena RizzoAlbuquerque, Nm Oct 12, 202124 y2
Wesley PriceCharlotte, Nc Oct 12, 202110 y3
Brian HodgemanCharlotte, Nc Oct 13, 202127 y1
Christopher David HoltCharlotte, Nc Oct 13, 202118 y2
Sarah Ann KhanCharlotte, NcOct 26, 202111 y0
Ryan N ZutterCertified Financial PlannerCharlotte, NcOct 27, 202120 y2
Raymond Edward LancasterCharlotte, Nc Nov 1, 202120 y3
Kamden GainesCharlotte, NcNov 2, 202111 y0
Jacob MisialekCharlotte, Nc Nov 3, 202112 y2
Mitchell Patrik ZaelitCharlotte, Nc Nov 5, 202115 y4
Susan MonahanPace, Fl Nov 18, 202126 y7
Eugene Henry DavisCharlotte, Nc Nov 19, 202110 y0
Sammy SantacruzCharlotte, Nc Nov 24, 202111 y2
Janet Ann WulfCharlotte, Nc Nov 30, 202123 y7
John Colton KnowlesCharlotte, Nc Dec 21, 202114 y3
Loretta Ballard SpangardCharlotte, NcJan 11, 202215 y0
Jamie Christen GoreCharlotte, Nc Jan 20, 202211 y1
Domenico Matteo NapolitanoCharlotte, NcFeb 24, 202210 y0
Lathan Shaun HunterCharlotte, NcFeb 24, 202214 y1
Luke A GentryCharlotte, NcMar 1, 202211 y0
All 83 advisors at Ally Invest Advisors
Advisor movement
13 left, 7 joined in 12 months
net -6 in 12 months6 left in 90 days6 joined in 90 daysdeparture rate 16% of current headcount35 left over 36 months
Left, latest
Joined, latest
Teams: two or more advisors moving together within fourteen days, from one state
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Gerald Krager · Chief Compliance Officercontrol
      since 03/2020 · owns less than 5%
    • Michael Alex Martin · Chief Financial Officercontrol
      since 07/2020 · owns less than 5%
    • D Miteshkumar Patel · Presidentcontrol
      since 02/2021 · owns less than 5%
    • Ballard Loretta Spangard · Directorcontrol
      since 02/2022 · owns less than 5%
    Entity owners
    • Ally Invest Group Inc. · Majority Shareholder
      direct · owns 75% or more
    • Ally Financial Inc. · Shareholder
      indirect · owns 75% or more of Ally Invest Group Inc. · public reporting company
    Related persons
    Schedule D 7.A
    • Ally Bank
      n
    • Ally Financial Inc.
      y
    • Ally International Insurance Company Ltd.
      real estaten
    • Ally Invest Securities LLC
      broker-dealern
    • Ally Risk Services Inc.
      real estaten
    • Ally Service Agreement Corporation
      real estaten
    • Cim Insurance Corporation
      real estaten
    • Coverageone Corporation
      real estaten
    • Mic Property And Casualty Insurance Corporation
      real estaten
    • Motors Insurance Corporation
      real estaten
    • Universal Warranty Corporation
      real estaten
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Charlotte, Nc · principal81127
    Lewisville, Tx1130
    Fort Worth, Tx300
    Keller, Tx200
    Jacksonville, Fl110
    Louisville, Ky001
    Newport, Nc000
    Peoria, Az000
    Rye, Nh000
    Fresh Meadows, Ny001
    Sierra Vista, Az000
    Boscawen, Nh000
    Perry Township, Oh001
    Cape Coral, Fl000
    Dallas, Tx000
    Detroit, Mi002
    Elizabeth, In001
    Offices
    Schedule D 1.F, the 25 largest
    • , 1 employees
    ADV anomalies
    1 against comparable advisers; where to look, not conclusions
    • unusually high clients per advisorStatic outlier · filing Apr 1, 2026
      private clients per advisor of 1,014.6 against a peer median of 64.8 (1150 comparable advisers, 99.0th percentile, 23.2 robust deviations)
      peers: independent wealth managers, $1B to $5B (1,150) · 99% percentile
    What changed
    consecutive filings, newest first
    • Accounts · 76,058 to 79,536
      Aug 4, 2025 to Mar 16, 2026
    • Advisory employees · 9 to 8
      Aug 4, 2025 to Mar 16, 2026
    • BD registered reps · 8 to 7
      Aug 4, 2025 to Mar 16, 2026
    • HNW clients · 35 to 62
      Aug 4, 2025 to Mar 16, 2026
    • Individual clients · 79,908 to 83,137
      Aug 4, 2025 to Mar 16, 2026
    • Employees · 9 to 8
      Aug 4, 2025 to Mar 16, 2026
    • State-registered IARs · 9 to 8
      Aug 4, 2025 to Mar 16, 2026
    • Other offices · 3 to 2
      Aug 4, 2025 to Mar 16, 2026
    • Discretionary RAUM · $1.4B to $1.7B
      Aug 4, 2025 to Mar 16, 2026
    • HNW RAUM · $53.8M to $85.1M
      Aug 4, 2025 to Mar 16, 2026
    • Individual RAUM · $1.3B to $1.6B
      Aug 4, 2025 to Mar 16, 2026
    • RAUM · $1.4B to $1.7B
      Aug 4, 2025 to Mar 16, 2026
    • Financial planning clients · More than 500 to More than 500
      Mar 28, 2025 to Jul 7, 2025
    • Accounts · 70,547 to 76,058
      Dec 20, 2024 to Mar 28, 2025
    • Advisory employees · 12 to 9
      Dec 20, 2024 to Mar 28, 2025
    • BD registered reps · 11 to 8
      Dec 20, 2024 to Mar 28, 2025
    • HNW clients · 25 to 35
      Dec 20, 2024 to Mar 28, 2025
    • Individual clients · 73,905 to 79,908
      Dec 20, 2024 to Mar 28, 2025
    • Employees · 12 to 9
      Dec 20, 2024 to Mar 28, 2025
    • State-registered IARs · 11 to 9
      Dec 20, 2024 to Mar 28, 2025
    • Discretionary RAUM · $1.1B to $1.4B
      Dec 20, 2024 to Mar 28, 2025
    • HNW RAUM · $27.6M to $53.8M
      Dec 20, 2024 to Mar 28, 2025
    • Individual RAUM · $1.1B to $1.3B
      Dec 20, 2024 to Mar 28, 2025
    • RAUM · $1.1B to $1.4B
      Dec 20, 2024 to Mar 28, 2025
    • Accounts · 80,983 to 70,547
      Sep 19, 2023 to Feb 5, 2024
    • Advisory employees · 14 to 12
      Sep 19, 2023 to Feb 5, 2024
    • BD registered reps · 12 to 11
      Sep 19, 2023 to Feb 5, 2024
    • HNW clients · 9 to 25
      Sep 19, 2023 to Feb 5, 2024
    • Individual clients · 84,065 to 73,905
      Sep 19, 2023 to Feb 5, 2024
    • Employees · 14 to 12
      Sep 19, 2023 to Feb 5, 2024
    • Financial planning clients · 251-500 to More than 500
      Sep 19, 2023 to Feb 5, 2024
    • State-registered IARs · 13 to 11
      Sep 19, 2023 to Feb 5, 2024
    • Discretionary RAUM · $987M to $1.1B
      Sep 19, 2023 to Feb 5, 2024
    • HNW RAUM · $13.0M to $27.6M
      Sep 19, 2023 to Feb 5, 2024
    • Individual RAUM · $974M to $1.1B
      Sep 19, 2023 to Feb 5, 2024
    • RAUM · $987M to $1.1B
      Sep 19, 2023 to Feb 5, 2024
    • Wrap assets (manager) · 0.0 to unset
      Sep 19, 2023 to Feb 5, 2024
    • Wrap assets (sponsor) · 0.0 to unset
      Sep 19, 2023 to Feb 5, 2024
    • Accounts · 77,195 to 80,983
      Nov 18, 2022 to Mar 30, 2023
    • Advisory employees · 12 to 14
      Nov 18, 2022 to Mar 30, 2023
    Signals
    60 dated events
    • Jonathan Ament no longer holds an investment adviser registration (last listed at Ally Invest Advisors on the 2026-09-14 feed)
      Sep 14, 2026 · Advisor registration ended · derived
    • Sharon Elizabeth Morrow left Ally Invest Advisors for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2026-09-02)
      Sep 8, 2026 · Advisor changed firm · fact
    • Johnny Arthur Williams left Ally Invest Advisors for Present Day Financial Planning, Llc (registered 2026-08-31)
      Aug 31, 2026 · Advisor changed firm · fact
    • Melissa Johns left Ally Invest Advisors for Empower Advisory Group, Llc (registered 2026-09-04)
      Aug 26, 2026 · Advisor changed firm · fact
    • Michael Matzner left Ally Invest Advisors for Public Advisors Llc (registered 2026-07-27)
      Aug 5, 2026 · Advisor changed firm · fact
    • Justin Jinhyun Tak left Ally Invest Advisors for Vanguard Advisers, Inc. (registered 2026-09-09)
      Aug 5, 2026 · Advisor changed firm · fact
    • Benjamin Regalado Schottenfels left Ally Invest Advisors for Empower Advisory Group, Llc (registered 2026-08-19)
      Jul 27, 2026 · Advisor changed firm · fact
    • Paxton Wood left Ally Invest Advisors for Usaa Investment Services Company (registered 2026-07-15)
      Apr 22, 2026 · Advisor changed firm · fact
    • Anthony Steven Bonvissuto left Ally Invest Advisors for Vanguard Advisers, Inc. (registered 2026-04-28)
      Apr 22, 2026 · Advisor changed firm · fact
    • Michael Merk left Ally Invest Advisors for Wesbanco Securities, Inc. (registered 2026-06-10)
      Mar 26, 2026 · Advisor changed firm · fact
    • Jacob Mitchell left Ally Invest Advisors for Missionsquare Retirement (registered 2026-02-06)
      Feb 5, 2026 · Advisor changed firm · fact
    • Lansen E-Long Pan left Ally Invest Advisors for Schwab Wealth Advisory, Inc. (registered 2026-02-19)
      Jan 6, 2026 · Advisor changed firm · fact
    • Aaron Fayzulayev left Ally Invest Advisors for Edward Jones (registered 2025-12-01)
      Nov 21, 2025 · Advisor changed firm · fact
    • Zoey Dangol left Ally Invest Advisors for Schwab Wealth Advisory, Inc. (registered 2025-11-19)
      Oct 24, 2025 · Advisor changed firm · fact
    • Paula M Parrish left Ally Invest Advisors for Blueline Advisors (registered 2026-08-07)
      Aug 25, 2025 · Advisor changed firm · fact
    • Alexander Mitchell Murphy left Ally Invest Advisors for Ameriprise Financial Services, Llc (registered 2025-07-09)
      Jul 7, 2025 · Advisor changed firm · fact
    • Thomas Eugene Wall left Ally Invest Advisors for Uwharrie Investment Advisors, Inc. (registered 2025-11-04)
      Jun 9, 2025 · Advisor changed firm · fact
    • Lillian R Stinson left Ally Invest Advisors for Thrivent Investment Management Inc. (registered 2025-06-18)
      Jun 9, 2025 · Advisor changed firm · fact
    • Abigail Wheeler left Ally Invest Advisors for Lpl Financial Llc (registered 2025-05-16)
      May 20, 2025 · Advisor changed firm · fact
    • Robert Stirling Tinker left Ally Invest Advisors for Fisher Investments (registered 2025-05-14)
      May 12, 2025 · Advisor changed firm · fact
    • Lucas Pozzetta left Ally Invest Advisors for Mml Investors Services, Llc (registered 2025-05-13)
      May 8, 2025 · Advisor changed firm · fact
    • Ralph Eugene Hughes left Ally Invest Advisors for Wells Fargo Advisors (registered 2025-04-30)
      Mar 7, 2025 · Advisor changed firm · fact
    • Samuel Curtis left Ally Invest Advisors for Empower Advisory Group, Llc (registered 2025-03-12)
      Feb 25, 2025 · Advisor changed firm · fact
    • Royce Guerrero left Ally Invest Advisors for Sofi Wealth Llc (registered 2024-10-23)
      Oct 9, 2024 · Advisor changed firm · fact
    • Cherie Chen left Ally Invest Advisors for Lpl Financial Llc (registered 2025-03-20)
      Oct 2, 2024 · Advisor changed firm · fact
    • Nicole Cope left Ally Invest Advisors for Schwab Wealth Advisory, Inc. (registered 2025-12-15)
      Sep 30, 2024 · Advisor changed firm · fact
    • Rebecca Teresa Chazen left Ally Invest Advisors for Usaa Investment Services Company (registered 2026-08-04)
      Aug 26, 2024 · Advisor changed firm · fact
    • Aaron Charles Litman left Ally Invest Advisors for Northern Trust Securities, Inc (registered 2024-08-16)
      Jul 31, 2024 · Advisor changed firm · fact
    • Jorge Mario Espinoza left Ally Invest Advisors for Advice And Planning Services (registered 2024-09-20)
      Jun 26, 2024 · Advisor changed firm · fact
    • Brett Richard Billenstein left Ally Invest Advisors for Schwab Wealth Advisory, Inc. (registered 2025-08-29)
      Jun 3, 2024 · Advisor changed firm · fact
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    How to reach
    public business contact points only, each with its source
    Business email
    corporatefinance@ally.comreportedpublished by the firm, firm site, Sep 16, 2026
    Business email
    givingback@ally.comreportedpublished by the firm, firm site, Sep 16, 2026
    Business email
    grants@ally.comreportedpublished by the firm, firm site, Sep 16, 2026
    Business phone
    300-014-0372reportedpublished by the firm, firm site, Sep 16, 2026
    Business phone
    316-652-6430reportedpublished by the firm, firm site, Sep 16, 2026
    Business phone
    704-444-7824reportedpublished by the firm, firm site, Sep 16, 2026
    Website
    ally.com/investreportedpublic record, Form ADV, Sep 17, 2026
    Principal office phone
    855-880-2559reportedpublic record, Form ADV, Apr 1, 2026
    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
    Independent wealth managerderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $20.8Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026