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ALLY INVEST ADVISORS
ALLY INVEST ADVISORS (CRD# 170301) is an SEC-Registered Investment Advisor (RIA), headquartered in Charlotte, NC. The SEC approved the firm to operate as an RIA in Mar 2014. In Oct 2018, the firm reported total Regulatory Assets Under Management (RAUM) of $126.2 Million, and has discretion over 100% of those assets.   Pooled investment vehicles (Private Funds) account for 0% of RAUM.   Non-US investors represent 0% .  
 
ALLY INVEST ADVISORS also reported in Oct 2018:
  • 30 employees, with 8 performing advisory functions.
  • One office location.
  • No registrations with foreign financial regulatory authorities.
  • NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
ALLY INVEST ADVISORS has no disclosure events reported to the SEC at this time.
 

View ALLY INVEST ADVISORS's most recent Form ADV filing
 


ALLY INVEST ADVISORS has Notice Filings with the following State Securities Authorities: AK-Feb 2016, AL-May 2016, AR-May 2016, AZ-Feb 2015, CA-Jan 2015 , CO-May 2015, CT-Jun 2015, DC-Nov 2015, DE-Oct 2016, FL-Oct 2014 , GA-Mar 2015, HI-Oct 2015, IA-Oct 2015, ID-Mar 2016, IL-Mar 2015 , IN-May 2016, KS-Sep 2015, KY-Jun 2015, LA-Mar 2015, MA-Apr 2015 , MD-Mar 2015, ME-Oct 2016, MI-Mar 2015, MN-May 2016, MO-Sep 2015 , MS-Feb 2016, MT-Oct 2016, NC-Mar 2014, NE-Nov 2015, NH-May 2016 , NJ-Feb 2015, NM-Oct 2016, NV-May 2016, NY-Jan 2015, OH-Mar 2015 , OK-Sep 2015, OR-Jun 2015, PA-Jan 2015, PR-Dec 2015, RI-Feb 2016 , SC-Jan 2015, SD-Oct 2018, TN-Jun 2015, TX-Jan 2015, UT-Oct 2015 , VA-Feb 2015, VT-Nov 2017, WA-Apr 2015, WI-May 2016, WV-Nov 2017 , WY-Oct 2018

Disclaimer:  The information presented above was gleaned from the SEC website and is believed to be accurate.  FindingFraud.org is presenting this data for informational purposes only and assumes no responsibility for errors or omissions.  Please note that we are aware of many instances where RIAs provided erroneous data to the SEC.  Feel Free to contact FindingFraud.org with questions or concerns.