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

Supreme Alliance LLC

Independent wealth managerCRD 45348SEC 801-108980websiteIAPD
Latest filing Jun 29, 2026
First filing on the tape Jan 12, 2017 · 36 filings
SEC status approved since Jan 23, 2017
RAUM
$35.3M
reported, Item 5.F
Discretionary
55%
of RAUM
Private clients
100%
$35.3M individuals and HNW
Advisors
15
registered through the firm on IAPD
RAUM per advisor
$2.4M
derived; firm RAUM over IAPD count
Employees
16
15 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$35.3M as of Jun 29, 2026
Feb 14, 2017$693,500 then
HNW client RAUM$5.2M as of Jun 29, 2026
Jun 22, 2018$8.0M then
State-registered IARs (5.B.3)16 as of Jun 29, 2026
Feb 14, 20175 then
Employees (5.A)16 as of Jun 29, 2026
Feb 14, 201721 then
Private funds: no history
RAUM +93% over the last fiscal year+52% a year over threeIARs 11 to 16
Practice profile
derived from the filing of Jun 29, 2026; every figure names its basis
Archetypes, each a printed rule
  • Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
  • Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
RAUM per advisor
$2.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
8derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$226,724derivedHNW RAUM over HNW clients
Average account
$330,040derivedRAUM over accounts (5.F.2.f)
Discretionary
55%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
7.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+93%derivedbetween the last two annual amendments
Advisor growth, one year
+45%derivedItem 5.B.3 between annual amendments
Client growth, one year
+40%derived
Compensation
percentage of assets, hourly, fixed fees, commissions, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • 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$30.1M85%
  • High-net-worth individuals$5.2M15%
Individual clients
86reported
HNW clients
23reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
107reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, commissionsreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=16.0derived
Advisors registered through the firm
15 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Michael Washington JonesCharlotte, Nc Mar 28, 201326 y3
Barry Alan TrippCharlotte, Nc Mar 9, 201743 y2
Charles John EhnotCharlotte, Nc Oct 23, 201946 y1
Sang Pham WalkerCharlotte, Nc Mar 26, 202024 y6
James Edmond MonizChartered Financial ConsultantCharlotte, Nc Apr 6, 202018 y2
Werner MaiwaldLudlow, Ma May 19, 202138 y3
Brian Craig ParkerCharlotte, Nc Apr 1, 202225 y3
Michael Raymond GuerraLa Grange, Ca Aug 16, 202313 y2
Cathie A LeonardPlymouth, Ma Sep 11, 202341 y0
Kenneth Christian ReeseCharlotte, Nc Sep 13, 202440 y6
Steven Gerard TornatoreSt. Louis, Mo Oct 25, 202422 y3
Jeffrey Martin DeuelCharlotte, Nc Jan 1, 202531 y4
Sarah E RobinsonCertified Financial PlannerBrewster, Ma Jul 15, 202524 y1
Thomas Joseph AlleyTulsa, Ok Jan 5, 202629 y6
Albert Bruce MooreCharlotte, Nc Feb 19, 202610 y3
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Michael Washington Jones · Finop / Ceo / Ccocontrol
    since 05/2012 · owns less than 5%
  • Michael Washington Jones · Ownercontrol
    since 05/2003 · owns 75% or more of Insurance Distribution Consulting LLC
  • Jerome Robert Corsi · Vice President-Insurance, Compliance Principal
    since 03/2014 · owns less than 5%
  • Roger Brent Husbands · Compliance Principal
    since 07/2019 · owns less than 5%
Entity owners
  • Insurance Distribution Consulting LLC · Owner
    direct · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Charlotte, Nc1520
Plymouth, Ma300
Offices
Schedule D 1.F, the 25 largest
  • , 1 employees
What changed
consecutive filings, newest first
  • Employees · 14 to 16
    Jul 25, 2025 to Mar 31, 2026
  • State-registered IARs · 11 to 16
    Jul 25, 2025 to Mar 31, 2026
  • Discretionary RAUM · $14.6M to $19.5M
    Jul 25, 2025 to Mar 31, 2026
  • HNW RAUM · $3.9M to $5.2M
    Jul 25, 2025 to Mar 31, 2026
  • Individual RAUM · $14.4M to $30.1M
    Jul 25, 2025 to Mar 31, 2026
  • Accounts · 77 to 107
    Jul 25, 2025 to Mar 31, 2026
  • Advisory employees · 11 to 15
    Jul 25, 2025 to Mar 31, 2026
  • BD registered reps · 11 to 16
    Jul 25, 2025 to Mar 31, 2026
  • HNW clients · 15 to 23
    Jul 25, 2025 to Mar 31, 2026
  • Individual clients · 63 to 86
    Jul 25, 2025 to Mar 31, 2026
  • Non-discretionary RAUM · $3.6M to $15.9M
    Jul 25, 2025 to Mar 31, 2026
  • RAUM · $18.3M to $35.3M
    Jul 25, 2025 to Mar 31, 2026
  • Financial planning clients · 51-100 to 51-100
    Apr 17, 2025 to Jul 25, 2025
  • Accounts · 46 to 77
    Oct 11, 2024 to Apr 17, 2025
  • Advisory employees · 13 to 11
    Oct 11, 2024 to Apr 17, 2025
  • BD registered reps · 13 to 11
    Oct 11, 2024 to Apr 17, 2025
  • HNW clients · 0 to 15
    Oct 11, 2024 to Apr 17, 2025
  • Individual clients · 46 to 63
    Oct 11, 2024 to Apr 17, 2025
  • Employees · 13 to 14
    Oct 11, 2024 to Apr 17, 2025
  • HQ city · unset to
    Oct 11, 2024 to Apr 17, 2025
  • HQ state · unset to
    Oct 11, 2024 to Apr 17, 2025
  • State-registered IARs · 13 to 11
    Oct 11, 2024 to Apr 17, 2025
  • Discretionary RAUM · $11.1M to $14.6M
    Oct 11, 2024 to Apr 17, 2025
  • HNW RAUM · $0 to $3.9M
    Oct 11, 2024 to Apr 17, 2025
  • Individual RAUM · $11.1M to $14.4M
    Oct 11, 2024 to Apr 17, 2025
  • Non-discretionary RAUM · $0 to $3.6M
    Oct 11, 2024 to Apr 17, 2025
  • RAUM · $11.1M to $18.3M
    Oct 11, 2024 to Apr 17, 2025
  • Accounts · 82 to 46
    Jan 30, 2024 to May 9, 2024
  • Advisory employees · 10 to 13
    Jan 30, 2024 to May 9, 2024
  • BD registered reps · 10 to 13
    Jan 30, 2024 to May 9, 2024
  • Individual clients · 82 to 46
    Jan 30, 2024 to May 9, 2024
  • Employees · 10 to 13
    Jan 30, 2024 to May 9, 2024
  • State-registered IARs · 10 to 13
    Jan 30, 2024 to May 9, 2024
  • Discretionary RAUM · $6.4M to $11.1M
    Jan 30, 2024 to May 9, 2024
  • Individual RAUM · $10.2M to $11.1M
    Jan 30, 2024 to May 9, 2024
  • Non-discretionary RAUM · $3.8M to $0
    Jan 30, 2024 to May 9, 2024
  • RAUM · $10.2M to $11.1M
    Jan 30, 2024 to May 9, 2024
  • Accounts · 118 to 82
    Oct 10, 2022 to Apr 3, 2023
  • Advisory employees · 15 to 10
    Oct 10, 2022 to Apr 3, 2023
  • BD registered reps · 16 to 10
    Oct 10, 2022 to Apr 3, 2023
Signals
5 dated events
  • Albert Bruce Moore no longer holds an investment adviser registration (last listed at Supreme Alliance Llc on the 2026-09-14 feed)
    Sep 14, 2026 · Advisor registration ended · derived
  • Quincy Deearl Caldwell left Supreme Alliance Llc for Empirikal Partners Llc (registered 2023-01-09)
    Jan 2, 2023 · Advisor changed firm · fact
  • Timothy Garfield Hartle left Supreme Alliance Llc for Pgw Financial (registered 2024-11-21)
    Dec 31, 2022 · Advisor changed firm · fact
  • Shkira Singh left Supreme Alliance Llc for Transamerica Financial Advisors, Llc (registered 2023-03-01)
    Feb 2, 2022 · Advisor changed firm · fact
  • Supreme Alliance Llc filed its initial SEC registration (Form ADV)
    Jan 12, 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.
How to reach
public business contact points only, each with its source
Business phone
561-460-2870reportedpublished by the firm, firm site, Sep 16, 2026
Business phone
888-315-2610reportedpublished by the firm, firm site, Sep 16, 2026
Business phone
937-884-2970reportedpublished by the firm, firm site, Sep 16, 2026
Website
SUPREMEALLIANCELLC.COMreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone
561-460-2870reportedpublic record, Form ADV, Jun 29, 2026
Contact form
supremealliancellc.com/contact-usreportedpublished by the firm, firm site, Sep 16, 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
$2.4Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026