Overview
Assets Under Management: $444 million
Headquarters: NICHOLASVILLE, KY
High-Net-Worth Clients: 186
Average Client Assets: $1 million
Frequently Asked Questions
SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C. is a fee-based investment advisor. Detailed fee schedules are available in their SEC Form ADV filing.
Yes. As an SEC-registered investment advisor (CRD #125147), SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C. is subject to fiduciary duty under federal law.
SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C. is headquartered in NICHOLASVILLE, KY.
SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C. serves 186 high-net-worth clients according to their SEC filing dated August 29, 2025. View client details ↓
According to their SEC Form ADV, SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C. offers financial planning, portfolio management for individuals, pension consulting services, and educational seminars and workshops. View all service details ↓
SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C. manages $444 million in client assets according to their SEC filing dated August 29, 2025.
According to their SEC Form ADV, SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C. serves high-net-worth individuals and pension and profit-sharing plans. View client details ↓
Services Offered
Services: Financial Planning, Portfolio Management for Individuals, Pension Consulting, Educational Seminars
Clients
Number of High-Net-Worth Clients: 186
Percentage of Firm Assets Belonging to High-Net-Worth Clients: 47.63
Average High-Net-Worth Client Assets: $1 million
Total Client Accounts: 1,549
Discretionary Accounts: 1,549
Regulatory Filings
CRD Number: 125147
Filing ID: 2012559
Last Filing Date: 2025-08-29 13:46:00
Website: https://spectrumalliance.com