AdvisorCensus / Financial advisors / California / Oxnard / Alliance Advisory & Securities, LLC
Alliance Advisory & Securities, LLC is an SEC-registered investment advisory firm in Westlake Village, CA, registered since 2006, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated September 17, 2026.
Quick answers
From the filingHow is Alliance Advisory & Securities, LLC compensated?
On its Form ADV (Item 5.E, October 2026), Alliance Advisory & Securities, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).
How much does Alliance Advisory & Securities, LLC charge?
Its Form ADV Part 2A brochure dated July 9, 2026 states: Hourly rate: $175 to $650 an hour (Financial Planning fees); Flat fee: $1,250 to $10,000 a year (Financial Planning fees). Fees can differ by service and may be negotiable; the brochure is the complete statement.
Where is Alliance Advisory & Securities, LLC located?
Alliance Advisory & Securities, LLC's principal office is in Westlake Village, CA, according to its Form ADV; the October 2026 filing also lists 3 other offices (Schedule D, Section 1.F).
Is Alliance Advisory & Securities, LLC registered with the SEC or a state?
Alliance Advisory & Securities, LLC is an SEC-registered investment advisory firm, registered since 2006. Status as filed: Approved. CRD 18835.
How much does Alliance Advisory & Securities, LLC manage?
Alliance Advisory & Securities, LLC reports $687,372,472 in regulatory assets under management in its Form ADV filing dated September 17, 2026 (57% discretionary).
How have Alliance Advisory & Securities, LLC's assets and staff changed since 2021?
In the Form ADV data for Alliance Advisory & Securities, LLC: Regulatory assets under management: $404,265,193 in the October 2021 data and $687,372,472 in the October 2026 data, up 70%. Total employees: 20 in October 2021 and 21 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Alliance Advisory & Securities, LLC serve?
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (438); high net worth individuals (225); charitable organizations (12).
Which custodians does Alliance Advisory & Securities, LLC use?
Alliance Advisory & Securities, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Fidelity Distributors Company LLC as a custodian holding 10% or more of its separately managed account assets.
Does Alliance Advisory & Securities, LLC report any disciplinary disclosures?
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/18835
What changed in Alliance Advisory & Securities, LLC's recent Form ADV filings?
In the October 2026 filing data: Registered or notice-filed in NE.
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2AHourly rate: $175 to $650 an hour (Financial Planning fees)
The brochure's wording
Our Financial Planning fees are calculated and charged on an hourly basis, ranging from $175 to $650 per hour.
Flat fee: $1,250 to $10,000 a year (Financial Planning fees)
The brochure's wording
Alternatively, our Financial Planning fees may be calculated and charged on a fixed fee basis, typically ranging from $1,250 to $10,000 per year, charged quarterly, depending on the specific arrangement reached with the client.
As stated in the firm's Form ADV Part 2A brochure dated July 9, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$687,372,472 as of October 2026, filing dated September 17, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
Registration and firm details
Items 1, 2, 5- Also doing business as
- ALLIANCE ENTRUST, DEVOTED CAPITAL
- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2006 (20 years)
- Employees
- Total: 21. Performing investment advisory functions: 14.
- Wrap fee program participation
- No.
- Custodians (Schedule D, Section 5.K(3))
-
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.
- Other offices (Schedule D, Section 1.F)
-
3 other offices, as of the October 2026 filing
- States registered or notice-filed
-
12 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $687,372,472 | 21 | September 17, 2026 |
| October 2025 | $639,384,881 | 25 | March 28, 2025 |
| October 2024 | $608,366,297 | 25 | June 28, 2024 |
| October 2023 | $454,406,861 | 20 | April 28, 2023 |
| October 2022 | $357,004,816 | 22 | June 30, 2022 |
| October 2021 | $404,265,193 | 20 | September 28, 2021 |
Regulatory assets under management: $404,265,193 in the October 2021 data and $687,372,472 in the October 2026 data, up 70%.
Total employees: 20 in October 2021 and 21 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- October 2026
- Registered or notice-filed in NE.
- August 2026
- Added an office in Oxnard, CA.
- No longer lists an office in Camarillo, CA.
- April 2026
- Added the business name Devoted Capital.
- Employees performing advisory functions went from 16 to 14.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Alliance Advisory & Securities, LLC (CRD 18835): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/alliance-advisory-and-securities-llc-westlake-village-ca-18835