{ "crd_number": 160108, "slug": "alternative-investment-advisors-llc-maitland-fl-160108", "primary_business_name": "ALTERNATIVE INVESTMENT ADVISORS, LLC", "legal_name": "ALTERNATIVE INVESTMENT ADVISORS, LLC", "dbas": [ "FLORIDA FINANCIAL STRATEGIES", "SWENSON WEALTH MANAGEMENT" ], "city": "Maitland", "state": "FL", "country": "United States", "cbsa_code": "36740", "metro": { "cbsa_code": "36740", "common_name": "Orlando", "msa_name": "Orlando-Kissimmee-Sanford, FL", "path": "/advisors/fl/orlando" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2019-08-27", "years_registered": 7, "period": "2026-10-01", "filing_date": "2026-03-27", "carried_forward": false, "raum_total": 385868347.0, "raum_discretionary": 375455606.0, "raum_non_discretionary": 10412741.0, "raum_band": "100m_500m", "raum_band_label": "$100 million to $500 million", "total_employees": 15, "advisory_employees": 11, "client_count_bucket": null, "clients_by_type": { "individuals": { "raum": 250661974.0, "count": 1349 }, "pension_profit_sharing": { "raum": 10412741.0, "count": 6 }, "high_net_worth_individuals": { "raum": 124793632.0, "count": 69 } }, "compensation_types": [ "fixed", "hourly", "percentage_of_aum" ], "advisory_activities": [ "educational_seminars", "financial_planning", "portfolio_management_businesses_institutional", "portfolio_management_individuals", "selection_of_other_advisers" ], "wrap_fee_participant": false, "disclosure_yes_count": 4, "states_registered": [ "FL", "IA", "MN", "NC", "NE", "SD", "TX" ], "websites": [ "https://ffs1.com", "https://swensonwealth.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/160108", "disclosure_items": [ { "item": "11.E(1)", "question": "Has a self-regulatory organization (such as FINRA) or a commodities exchange ever found that the firm or an advisory affiliate made a false statement or omission?" }, { "item": "11.E(2)", "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?" }, { "item": "11.E(4)", "question": "Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?" }, { "item": "11.G", "question": "Is the firm or an advisory affiliate now the subject of a regulatory proceeding that could result in a yes answer to any part of 11.C, 11.D, or 11.E?" } ], "city_as_filed": "MAITLAND", "url": "https://advisorcensus.com/firm/alternative-investment-advisors-llc-maitland-fl-160108", "display_name": "Alternative Investment Advisors, LLC", "summary": "Alternative Investment Advisors, LLC is an SEC-registered investment advisory firm in Maitland, FL, registered since 2019, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 27, 2026.", "citation": "AdvisorCensus. Alternative Investment Advisors, LLC (CRD 160108): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Hourly charges", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses", "Portfolio management for businesses (other than small businesses) or institutional clients", "Selection of other advisers (including private fund managers)", "Educational seminars/workshops" ], "quick_answers": [ { "q": "How is Alternative Investment Advisors, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Alternative Investment Advisors, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Alternative Investment Advisors, LLC located?", "a": "Alternative Investment Advisors, LLC's principal office is in Maitland, FL, according to its Form ADV; the April 2026 filing also lists 1 other office (Schedule D, Section 1.F)." }, { "q": "Is Alternative Investment Advisors, LLC registered with the SEC or a state?", "a": "Alternative Investment Advisors, LLC is an SEC-registered investment advisory firm, registered since 2019. Status as filed: Approved. CRD 160108." }, { "q": "How much does Alternative Investment Advisors, LLC manage?", "a": "Alternative Investment Advisors, LLC reports $385,868,347 in regulatory assets under management in its Form ADV filing dated March 27, 2026 (97% discretionary)." }, { "q": "How have Alternative Investment Advisors, LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for Alternative Investment Advisors, LLC: Regulatory assets under management: $183,078,296 in the October 2021 data and $385,868,347 in the October 2026 data, up 111%. Total employees: 8 in October 2021 and 15 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Alternative Investment Advisors, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (1,349); high net worth individuals (69); pension and profit sharing plans (but not the plan participants or government pension plans) (6)." }, { "q": "Which custodians does Alternative Investment Advisors, LLC use?", "a": "Alternative Investment Advisors, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets." }, { "q": "Does Alternative Investment Advisors, LLC report any disciplinary disclosures?", "a": "Reports 4 disclosure items on Form ADV Item 11: yes answers to 11.E(1) (self-regulatory organization's finding of a false statement or omission), 11.E(2) (self-regulatory organization's finding of a rule violation), 11.E(4) (self-regulatory organization's expulsion, suspension, bar, or restriction), and 11.G (pending regulatory proceeding). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/160108" }, { "q": "What changed in Alternative Investment Advisors, LLC's recent Form ADV filings?", "a": "In the April 2026 filing data: Employees performing advisory functions went from 9 to 11. Regulatory assets under management went from $341,046,660 to $385,868,347 (+13%). Updated its list of owners and control persons (Schedule A)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 183078296.0, "total_employees": 8, "filing_date": "2021-03-15" }, { "period": "2022-10-01", "regulatory_assets_under_management": 246652986.0, "total_employees": 8, "filing_date": "2022-03-23" }, { "period": "2023-10-01", "regulatory_assets_under_management": 216563177.0, "total_employees": 12, "filing_date": "2023-02-24" }, { "period": "2024-10-01", "regulatory_assets_under_management": 296441242.0, "total_employees": 13, "filing_date": "2024-03-29" }, { "period": "2025-10-01", "regulatory_assets_under_management": 341046660.0, "total_employees": 12, "filing_date": "2025-03-28" }, { "period": "2026-10-01", "regulatory_assets_under_management": 385868347.0, "total_employees": 15, "filing_date": "2026-03-27" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 9 to 11.", "Regulatory assets under management went from $341,046,660 to $385,868,347 (+13%).", "Updated its list of owners and control persons (Schedule A)." ] }, { "period": "2025-12-01", "period_label": "December 2025", "notes": [ "Registered or notice-filed in NC." ] } ], "fees_from_brochure": null, "custodians": [ { "name": "Charles Schwab & Co., Inc.", "name_as_filed": "CHARLES SCHWAB & CO., INC.", "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/alternative-investment-advisors-llc-maitland-fl-160108.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 1349, "fewer_than_5": false, "raum": 250661974.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 69, "fewer_than_5": false, "raum": 124793632.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": 6, "fewer_than_5": false, "raum": 10412741.0 } ], "disclosure_line": "Reports 4 disclosure items on Form ADV Item 11.", "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/160108", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }