AdvisorGrade
Fee-basedFiduciaryNo reported disclosuresLocalInternational

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

Spectrum Financial Alliance, Ltd., L.L.C. is a fee-based, SEC-registered investment adviser in Nicholasville, Kentucky, registered with the SEC since 2014, managing approximately $801M. As an SEC-registered adviser it is held to a fiduciary standard. Its exact fee schedule and account minimums are disclosed in Form ADV Part 2A.

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Source: SEC Form ADV · CRD #125147 · SEC #801-79371 · SEC-registered since 2014 (12 yrs) · Last filing data January 1, 2026

AUM
$801M

as of 2026

Fee model
Fee-based

per Form ADV 5.E

Clients
Not reported

Form ADV 5.C — may be institutional

Employees
13

3 advisers

Assets per adviser

$267Mper adviser

A scale-normalized measure that lets you compare large and small firms. The typical firm in our directory manages about $102M per adviser — this firm runs leaner (more assets per adviser).

Overview

AI-generated summary

Spectrum Financial Alliance, Ltd., L.L.C. is a fee-based, SEC-registered investment adviser based in Nicholasville, Kentucky. It reported approximately $801M in regulatory assets under management on its most recent Form ADV. The firm reported no disclosures on its most recent Form ADV filing.

This summary is generated from Form ADV data and may not capture all nuances. Always review the complete SEC filing before making decisions.

Firm details

CRD #
125147
SEC #
801-79371
Headquarters
Nicholasville, KY
Employees
13

Clients served

Client types not reported on this filing.

Fees & compensation

  • Compensation model: Fee-based — the firm reports client fees and may also receive commissions on certain products.
  • Typical fee range: See Part 2A. Exact advisory fee rates are reported in Form ADV Part 2A, not Part 1.
  • Account minimum: See Part 2A. Minimums are disclosed in the firm's Part 2A brochure.
  • Custodial, trading, and fund expenses may apply in addition to advisory fees. See the firm's Form ADV Part 2A for the complete fee schedule.

Assets under management

2026$801M
Assets under management by year
YearReported AUM
2026$801M

Reflects the most recent Form ADV filing. Multi-year history is added as additional historical filings are ingested.

Disclosures

Spectrum Financial Alliance, Ltd., L.L.C. reported no disclosures on its most recent Form ADV (Item 11). Always confirm the current record on the SEC IAPD site.

Frequently asked questions

Is Spectrum Financial Alliance, Ltd., L.L.C. a fiduciary?+

Yes. Spectrum Financial Alliance, Ltd., L.L.C. is an SEC-registered investment adviser (CRD #125147), which means it is held to a fiduciary standard and must act in its clients' best interest. Verify its current status on the SEC's Investment Adviser Public Disclosure (IAPD) site.

How is Spectrum Financial Alliance, Ltd., L.L.C. compensated?+

Spectrum Financial Alliance, Ltd., L.L.C. reports a fee-based compensation model on its Form ADV. Fee-based advisers charge client fees and may also earn commissions on certain products. Exact fee rates and account minimums are disclosed in the firm's Form ADV Part 2A brochure.

How much money does Spectrum Financial Alliance, Ltd., L.L.C. manage?+

Spectrum Financial Alliance, Ltd., L.L.C. reported approximately $801M in regulatory assets under management as of its most recent Form ADV filing.

Does Spectrum Financial Alliance, Ltd., L.L.C. have any disclosures?+

Spectrum Financial Alliance, Ltd., L.L.C. reported no disclosures on its most recent Form ADV (Item 11). Always confirm the current record on the SEC IAPD site.

This profile is generated from publicly available SEC filings. Spectrum Financial Alliance, Ltd., L.L.C. has not verified or endorsed this information. Last updated from filings: January 1, 2026. View the official filing at SEC IAPD.

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