# AL Locy Financial Services LLC

> AL Locy Financial Services LLC is a state-registered investment advisory firm in Lodi, CA, reporting under $25 million in regulatory assets under management in its Form ADV filing dated February 14, 2024.

- CRD: 135869
- Filed as: AL LOCY FINANCIAL SERVICES LLC
- Registration: State-registered investment adviser (status as filed: CONDREST)
- Location: Lodi, CA
- Filing period: October 2026
- Form ADV filing dated: February 14, 2024
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/135869
- AdvisorCensus page: https://advisorcensus.com/firm/al-locy-financial-services-llc-lodi-ca-135869

## Quick answers

**How is AL Locy Financial Services LLC compensated?**
On its Form ADV (Item 5.E, October 2026), AL Locy Financial Services LLC reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is AL Locy Financial Services LLC located?**
AL Locy Financial Services LLC's principal office is in Lodi, CA, according to its Form ADV.

**Is AL Locy Financial Services LLC registered with the SEC or a state?**
AL Locy Financial Services LLC is a state-registered investment advisory firm. Status as filed: CONDREST. CRD 135869.

**How much does AL Locy Financial Services LLC manage?**
AL Locy Financial Services LLC reports $21,488,433 in regulatory assets under management in its Form ADV filing dated February 14, 2024 (100% discretionary).

**What types of clients does AL Locy Financial Services LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (106); high net worth individuals (4).

**Does AL Locy Financial Services LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/135869

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Regulatory assets under management (Item 5.F)
- Total: $21,488,433
- Discretionary: $21,488,433
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 106 | $15,812,184 |
| High net worth individuals | 4 | $5,676,249 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: Not reported
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- allocyfinancialservices.com

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. AL Locy Financial Services LLC (CRD 135869): Form ADV filing data as of October 2026.