{
  "crd_number": 321735,
  "slug": "aligne-wealth-advisors-investment-management-awaim-los-angeles-ca-321735",
  "primary_business_name": "ALIGNE WEALTH ADVISORS INVESTMENT MANAGEMENT (AWAIM)",
  "legal_name": "ALIGNE WEALTH PRESERVATION & INSURANCE SERVICES, LLC.",
  "dbas": [],
  "city": "Los Angeles",
  "state": "CA",
  "country": "United States",
  "cbsa_code": "31080",
  "metro": {
    "cbsa_code": "31080",
    "common_name": "Los Angeles",
    "msa_name": "Los Angeles-Long Beach-Anaheim, CA",
    "path": "/advisors/ca/los-angeles"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2022-06-09",
  "years_registered": 4,
  "period": "2026-10-01",
  "filing_date": "2026-07-23",
  "carried_forward": false,
  "raum_total": 224392095.0,
  "raum_discretionary": 224392095.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 5,
  "advisory_employees": 4,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": 0
    },
    "charitable": {
      "raum": 90601.0,
      "count": 1,
      "fewer_than_5": true
    },
    "individuals": {
      "raum": 22649638.0,
      "count": 104
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0
    },
    "state_municipal": {
      "raum": 0.0,
      "count": 0
    },
    "insurance_companies": {
      "raum": 0.0,
      "count": 0
    },
    "investment_companies": {
      "raum": 0.0,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 12600624.0,
      "count": 5
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 186617526.0,
      "count": 105
    },
    "pooled_investment_vehicles": {
      "raum": 0.0,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": 2433706.0,
      "count": 5
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": 0
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "pension_consulting",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "AZ",
    "CA",
    "FL",
    "GA",
    "LA",
    "NY",
    "TX",
    "WA"
  ],
  "websites": [
    "https://alignewealth.com",
    "https://facebook.com/alignewealthllc",
    "https://instagram.com/aligne_wealth/ https:/linktr.ee/AWAIM",
    "https://linkedin.com/company/aligne-wealth-preservation-&-insurance-services-llc",
    "https://linkedin.com/in/ivanillan",
    "https://podcasts.apple.com/ca/podcast/deep-economic-thoughts/id1082165370",
    "https://twitter.com/ivan_m_illan",
    "https://youtube.com/channel/UCBMLS6I5yq2SsfjLs9_y9og"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/321735",
  "city_as_filed": "LOS ANGELES",
  "url": "https://advisorcensus.com/firm/aligne-wealth-advisors-investment-management-awaim-los-angeles-ca-321735",
  "display_name": "Aligne Wealth Advisors Investment Management (Awaim)",
  "summary": "Aligne Wealth Advisors Investment Management (Awaim) is an SEC-registered investment advisory firm in Los Angeles, CA, registered since 2022, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated July 23, 2026.",
  "citation": "AdvisorCensus. Aligne Wealth Advisors Investment Management (Awaim) (CRD 321735): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Pension consulting services"
  ],
  "quick_answers": [
    {
      "q": "How is Aligne Wealth Advisors Investment Management (Awaim) compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Aligne Wealth Advisors Investment Management (Awaim) reports these compensation arrangements: a percentage of assets under its management."
    },
    {
      "q": "Where is Aligne Wealth Advisors Investment Management (Awaim) located?",
      "a": "Aligne Wealth Advisors Investment Management (Awaim)'s principal office is in Los Angeles, CA, according to its Form ADV."
    },
    {
      "q": "Is Aligne Wealth Advisors Investment Management (Awaim) registered with the SEC or a state?",
      "a": "Aligne Wealth Advisors Investment Management (Awaim) is an SEC-registered investment advisory firm, registered since 2022. Status as filed: Approved. CRD 321735."
    },
    {
      "q": "How much does Aligne Wealth Advisors Investment Management (Awaim) manage?",
      "a": "Aligne Wealth Advisors Investment Management (Awaim) reports $224,392,095 in regulatory assets under management in its Form ADV filing dated July 23, 2026 (100% discretionary)."
    },
    {
      "q": "How have Aligne Wealth Advisors Investment Management (Awaim)'s assets and staff changed since 2022?",
      "a": "In the Form ADV data for Aligne Wealth Advisors Investment Management (Awaim): Regulatory assets under management: $128,308,435 in the October 2022 data and $224,392,095 in the October 2026 data, up 75%. Total employees: 8 in October 2022 and 5 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Aligne Wealth Advisors Investment Management (Awaim) serve?",
      "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (105); individuals (other than high net worth individuals) (104); pension and profit sharing plans (but not the plan participants or government pension plans) (5)."
    },
    {
      "q": "Which custodians does Aligne Wealth Advisors Investment Management (Awaim) use?",
      "a": "Aligne Wealth Advisors Investment Management (Awaim)'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Johnstone Brokerage Services, LLC and LPL Financial LLC as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Aligne Wealth Advisors Investment Management (Awaim) report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/321735"
    },
    {
      "q": "Does Aligne Wealth Advisors Investment Management (Awaim) state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated June 8, 2026 says: \"The minimum account value required to open and maintain an account with Adviser is $500,000, subject to negotiation.\""
    },
    {
      "q": "What changed in Aligne Wealth Advisors Investment Management (Awaim)'s recent Form ADV filings?",
      "a": "In the February 2026 filing data: Regulatory assets under management went from $168,815,330 to $224,392,095 (+33%)."
    }
  ],
  "filing_history": [
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 128308435.0,
      "total_employees": 8,
      "filing_date": "2022-09-22"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 154091419.0,
      "total_employees": 8,
      "filing_date": "2023-09-18"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 164838520.0,
      "total_employees": 5,
      "filing_date": "2024-08-28"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 168815330.0,
      "total_employees": 5,
      "filing_date": "2025-02-21"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 224392095.0,
      "total_employees": 5,
      "filing_date": "2026-07-23"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-02-01",
      "period_label": "February 2026",
      "notes": [
        "Regulatory assets under management went from $168,815,330 to $224,392,095 (+33%)."
      ]
    },
    {
      "period": "2025-11-01",
      "period_label": "November 2025",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated June 8, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "$500,000",
    "account_minimum_may_be_waived": true,
    "minimum_annual_fee": null,
    "planning_fees": [],
    "figures": [
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: $500,000 (the brochure says it may be waived or negotiated)"
        ],
        "quotes": [
          "The minimum account value required to open and maintain an account with Adviser is $500,000, subject to negotiation."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": 500000.0,
      "minimum_annual_fee": null,
      "planning": []
    },
    "quotes": [
      "The minimum account value required to open and maintain an account with Adviser is $500,000, subject to negotiation."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Johnstone Brokerage Services, LLC",
      "name_as_filed": "JOHNSTONE BROKERAGE SERVICES, LLC",
      "affiliated": false
    },
    {
      "name": "LPL Financial LLC",
      "name_as_filed": "LPL FINANCIAL LLC",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/aligne-wealth-advisors-investment-management-awaim-los-angeles-ca-321735.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 104,
      "fewer_than_5": false,
      "raum": 22649638.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 105,
      "fewer_than_5": false,
      "raum": 186617526.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 5,
      "fewer_than_5": false,
      "raum": 12600624.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 1,
      "fewer_than_5": true,
      "raum": 90601.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 5,
      "fewer_than_5": false,
      "raum": 2433706.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/321735",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}