{
  "crd_number": 305052,
  "slug": "the-wealth-alliance-llc-melville-ny-305052",
  "primary_business_name": "THE WEALTH ALLIANCE, LLC",
  "legal_name": "THE WEALTH ALLIANCE, LLC",
  "dbas": [],
  "city": "Melville",
  "state": "NY",
  "country": "United States",
  "cbsa_code": "35620",
  "metro": {
    "cbsa_code": "35620",
    "common_name": "New York",
    "msa_name": "New York-Newark-Jersey City, NY-NJ",
    "path": "/advisors/ny/new-york"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2019-08-26",
  "years_registered": 7,
  "period": "2026-10-01",
  "filing_date": "2026-07-16",
  "carried_forward": false,
  "raum_total": 2102685090.0,
  "raum_discretionary": 2094466072.0,
  "raum_non_discretionary": 8219018.0,
  "raum_band": "1b_5b",
  "raum_band_label": "$1 billion to $5 billion",
  "total_employees": 29,
  "advisory_employees": 13,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 222943489.0,
      "count": 701
    },
    "pension_profit_sharing": {
      "raum": 86459063.0,
      "count": 72
    },
    "high_net_worth_individuals": {
      "raum": 1670131209.0,
      "count": 443
    },
    "corporations_other_businesses": {
      "raum": 123151329.0,
      "count": 16
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "pension_consulting",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": true,
  "disclosure_yes_count": 0,
  "states_registered": [
    "CA",
    "CT",
    "DE",
    "FL",
    "IL",
    "MA",
    "MD",
    "NC",
    "NH",
    "NJ",
    "NY",
    "OH",
    "PA",
    "SC",
    "TN",
    "TX",
    "VA"
  ],
  "websites": [
    "https://facebook.com/TheWealthAlliance",
    "https://linkedin.com/company/thewealthalliance/about",
    "https://thewealthalliance.com",
    "https://twitter.com/TheWA_Connect"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/305052",
  "city_as_filed": "MELVILLE",
  "url": "https://advisorcensus.com/firm/the-wealth-alliance-llc-melville-ny-305052",
  "display_name": "The Wealth Alliance, LLC",
  "summary": "The Wealth Alliance, LLC is an SEC-registered investment advisory firm in Melville, NY, registered since 2019, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated July 16, 2026.",
  "citation": "AdvisorCensus. The Wealth Alliance, LLC (CRD 305052): 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",
    "Pension consulting services",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is The Wealth Alliance, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), The Wealth Alliance, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)."
    },
    {
      "q": "How much does The Wealth Alliance, LLC charge?",
      "a": "Its Form ADV Part 2A brochure dated March 31, 2026 states: Asset-based fee: 0.25% to 1.75% a year (a range, as the brochure states it); Hourly rate: $500 an hour (Financial planning services). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is The Wealth Alliance, LLC located?",
      "a": "The Wealth Alliance, LLC's principal office is in Melville, NY, according to its Form ADV; the August 2026 filing also lists 1 other office (Schedule D, Section 1.F)."
    },
    {
      "q": "Is The Wealth Alliance, LLC registered with the SEC or a state?",
      "a": "The Wealth Alliance, LLC is an SEC-registered investment advisory firm, registered since 2019. Status as filed: Approved. CRD 305052."
    },
    {
      "q": "How much does The Wealth Alliance, LLC manage?",
      "a": "The Wealth Alliance, LLC reports $2,102,685,090 in regulatory assets under management in its Form ADV filing dated July 16, 2026 (100% discretionary)."
    },
    {
      "q": "How have The Wealth Alliance, LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for The Wealth Alliance, LLC: Regulatory assets under management: $997,083,103 in the October 2021 data and $2,102,685,090 in the October 2026 data, up 111%. Total employees: 14 in October 2021 and 29 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does The Wealth Alliance, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (701); high net worth individuals (443); pension and profit sharing plans (but not the plan participants or government pension plans) (72)."
    },
    {
      "q": "Which custodians does The Wealth Alliance, LLC use?",
      "a": "The Wealth Alliance, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Fidelity Brokerage Services LLC as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does The Wealth Alliance, LLC 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/305052"
    },
    {
      "q": "What changed in The Wealth Alliance, LLC's recent Form ADV filings?",
      "a": "In the May 2026 filing data: Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 997083103.0,
      "total_employees": 14,
      "filing_date": "2021-03-26"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 1299842952.0,
      "total_employees": 17,
      "filing_date": "2022-06-30"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 1476685246.0,
      "total_employees": 21,
      "filing_date": "2023-08-18"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 1703650906.0,
      "total_employees": 21,
      "filing_date": "2024-03-26"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 1908079716.0,
      "total_employees": 28,
      "filing_date": "2025-06-25"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 2102685090.0,
      "total_employees": 29,
      "filing_date": "2026-07-16"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-05-01",
      "period_label": "May 2026",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $1,908,079,716 to $2,102,685,090 (+10%).",
        "Employees performing advisory functions went from 11 to 13.",
        "Registered or notice-filed in OH, TN.",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 31, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": "0.25% to 1.75% a year",
    "stated_maximum": null,
    "account_minimum": null,
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [
      "Hourly rate: $500 an hour (Financial planning services)"
    ],
    "figures": [
      {
        "label": "Asset-based fee",
        "statements": [
          "Asset-based fee: 0.25% to 1.75% a year (a range, as the brochure states it)"
        ],
        "quotes": [
          "Advisory fees generally range from 0.25% to 1.75% annually depending on services provided, relationship complexity, and overall assets under management."
        ]
      },
      {
        "label": "Planning fee",
        "statements": [
          "Hourly rate: $500 an hour (Financial planning services)"
        ],
        "quotes": [
          "WA offers financial planning services on an hourly (up to $500/hour) or fixed fees basis, depending on the complexity of the engagement."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": [
        0.25,
        1.75
      ],
      "max_pct": null,
      "account_minimum": null,
      "minimum_annual_fee": null,
      "planning": [
        {
          "kind": "hourly",
          "amount": 500.0,
          "min": null,
          "max": null,
          "period": "hour",
          "service": "Financial planning services"
        }
      ]
    },
    "quotes": [
      "Advisory fees generally range from 0.25% to 1.75% annually depending on services provided, relationship complexity, and overall assets under management.",
      "WA offers financial planning services on an hourly (up to $500/hour) or fixed fees basis, depending on the complexity of the engagement."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Fidelity Brokerage Services LLC",
      "name_as_filed": "FIDELITY BROKERAGE SERVICES 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/the-wealth-alliance-llc-melville-ny-305052.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 701,
      "fewer_than_5": false,
      "raum": 222943489.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 443,
      "fewer_than_5": false,
      "raum": 1670131209.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 72,
      "fewer_than_5": false,
      "raum": 86459063.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 16,
      "fewer_than_5": false,
      "raum": 123151329.0
    }
  ],
  "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/305052",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}