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

Alloy Investment Management

STATE REGISTEREDGreenville, South CarolinaCRD 306227websiteIAPD
Legal name Alloy Wealth Holdings LLC
Latest filing Jun 4, 2026
First filing on the tape Jun 4, 2026 · 1 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
8 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Jun 4, 2026; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
1.5derived4 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
unknownreportedItem 5.E
Advisory activities
financial planningreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
Class basis
on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
2 left, 3 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 days8 left over 36 months
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
    No Schedule A on the extract for this adviser.
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Greenville, Sc · principal841
    Charlotte, Nc521
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    One filing, no change to show.
    Signals
    10 dated events
    • Michael P. Lacy left Alloy Investment Management for Foundations Investment Advisors Llc (registered 2024-01-02)
      Apr 20, 2026 · Advisor changed firm · fact
    • Luke A Luciano left Alloy Investment Management for Foundations Investment Advisors Llc (registered 2024-08-20)
      Mar 30, 2026 · Advisor changed firm · fact
    • Matthew Craigle left Alloy Investment Management for Wells Fargo Advisors (registered 2025-09-02)
      Aug 19, 2025 · Advisor changed firm · fact
    • Ethan Colby Edwards left Alloy Investment Management for Foundations Investment Advisors Llc (registered 2025-01-27)
      Jun 16, 2025 · Advisor changed firm · fact
    • Michael Adam Willard left Alloy Investment Management for Brookstone Asset Management, Llc (registered 2020-08-03)
      May 20, 2025 · Advisor changed firm · fact
    • William Bulluck left Alloy Investment Management for Foundations Investment Advisors Llc (registered 2022-08-08)
      Jan 23, 2024 · Advisor changed firm · fact
    • Daniel James Bubbico left Alloy Investment Management for Foundations Investment Advisors Llc (registered 2023-09-19)
      Jan 23, 2024 · Advisor changed firm · fact
    • Reid Schmideler left Alloy Investment Management for Foundations Investment Advisors Llc (registered 2020-05-13)
      Dec 18, 2023 · Advisor changed firm · fact
    • David Kevin Seitzer left Alloy Investment Management for Foundations Investment Advisors Llc (registered 2022-08-01)
      Oct 27, 2022 · Advisor changed firm · fact
    • Jaime Facchino left Alloy Investment Management for Foundations Investment Advisors Llc (registered 2021-11-17)
      May 23, 2022 · 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
    Website
    alloyinvestmentmanagement.comreportedpublic record, Form ADV, Sep 17, 2026
    Principal office phone
    (800) 689-3935reportedpublic record, Form ADV, Jun 4, 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
    STATE REGISTEREDderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 15, 2026