Spectrum Financial Alliance, Ltd., L.L.C. (Nicholasville)

Name: Spectrum Financial Alliance, Ltd., L.L.C.
Address: 105 Wind Haven Drive, Nicholasville, KY, 40356
Telephone: 859-223-6333

Spectrum Financial Alliance, Ltd., L.L.C. is a large advisory firm based in Nicholasville. It manages $180.34 million of regulatory assets for 946 client accounts. It has been registered with the SEC as an adviser since 2006 and has operated in the jurisdictions of Florida, Georgia, Indiana, and 5 other states.

Spectrum Financial Alliance, Ltd., L.L.C provides financial planning services, portfolio management for individuals and small businesses, pension consulting services, educational seminars and workshops, and investment and insurance consulting. It prepares financial plans for more than 250 clients. On top of advisory services, the firm doesn't engage in other business activities.

Spectrum Financial Alliance, Ltd., L.L.C: assets under management

The assets under management (AUM) of Spectrum Financial Alliance, Ltd., L.L.C. is $180.34 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 124% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $180.34 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $190.63 thousand each.

Investments

The firm invests in exchange traded securities the most. They account for 98% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 2% of the firm’s portfolio.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Spectrum Financial Alliance, Ltd., L.L.C. for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Spectrum Financial Alliance, Ltd., L.L.C serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Spectrum Financial Alliance, Ltd., L.L.C is individuals with 345 clients and $94.14 million of assets under management. Among the 10 most similar advisory firms, Spectrum Financial Alliance, Ltd., L.L.C has the 3rd highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $180.34 million for 387 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Spectrum Financial Alliance, Ltd., L.L.C doesn't advise any private funds.

Careers at Spectrum Financial Alliance, Ltd., L.L.C.

The company employs 8 people that are either part- or full-time employees. 50 percent of the employees work as investment advisers or researchers. 4 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Charles Kelly Buckley	Managing member and chief compliance officer	1 Jan 2000	75% - 100%	1752633
Christopher Brian Edney	Senior portfolio analyst; chief compliance officer	1 Jun 2015	Other	4933070

Based in Nicholasville

The principal office where Spectrum Financial Alliance, Ltd., L.L.C. performs its advisory services is located at 105 Wind Haven Drive, Nicholasville, KY 40356, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 859-223-6333 or by fax 859-223-6242. The normal business hours are 8:00 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at spectrumalliance.com.