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SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C.
CRD 125147 · SEC 801-79371
105 WIND HAVEN DRIVE, NICHOLASVILLE, KY, 40356, United States
Phone
859-223-6333
Fax
859-523-0682
Registration
Registered (APPROVED)
Source
SEC registered
Total AUM
$728.4M
Discretionary AUM
$728.4M
Team
13 total employees; 3 advisory reps
Clients
51-100
Fees
Percentage of AUM; Fixed fees
Org form
Limited Liability Company
Filing date
2026-05-28
Disciplinary history
No
Services
Financial planningPortfolio management (individuals)Pension consultingPublication of periodicalsEducational seminarsINVESTMENT AND INSURANCE CONSULTING AND ESTATE PLANNING FACILITIATION
Client types
| Type | Clients | AUM |
|---|---|---|
| Individuals | 372 | $133.2M |
| High net worth individuals | 259 | $595.2M |
States served
AL, CO, GA, IL, IN, KY, PA, TN, VA, TX, FL
All web addresses on file
Official SEC filing: View on IAPD