ALE LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$7,831,805
Total clients
9
100% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
9
Average account size
$870,201
About
ALE LLC provides portfolio management, financial planning and pension consulting to individuals (including high‑net‑worth clients), pension and profit‑sharing plans, pooled investment vehicles, and business entities. The firm offers comprehensive portfolio management (including a wrap‑fee option), written financial plans or consultations, and one‑time or ongoing pension consulting engagements.
Accounts are managed primarily on a non‑discretionary basis, with client approval required before transactions and at least quarterly account reviews as part of an individualized advisory process. The firm employs a broad set of analytical methods—fundamental, technical, quantitative and qualitative—and uses strategies across fixed income and equities, including long‑ and short‑term positions, options, margin and active trading when appropriate.
Distinctive aspects include the principal’s active licensure and business activity in real estate brokerage and insurance distribution, the firm’s role as a wrap‑fee program sponsor, and its provision of pension consulting—each of which is relatively uncommon among independent advisers. The firm manages roughly $9 million in non‑discretionary assets for a small client base and discloses and seeks to mitigate conflicts of interest arising from commissionable real estate and insurance activities through disclosures and its Code of Ethics.
Client services
Financial planning
Portfolio management
Pension consulting
Expertise
Active portfolio management
Retirement plans for business owners (SEP, solo 401k)
General tax planning
Real estate investing
Fee options
Financial planning and consulting flat fees range from $1,000 to $10,000. Pension consulting flat fees range from $1,000 to $10,000 annually
$0 - $1,999,999: 1.00% annually (Equity & Balanced Portfolios) $2,000,000 - $4,999,999: 0.85% annually (Equity & Balanced Portfolios) $5,000,000 - $9,999,999: 0.75% annually (Equity & Balanced Portfolios) $10,000,000+: 0.65% annually (Equity & Balanced Portfolios) $0 - $1,999,999: 0.50% annually (Fixed Income Portfolios) $2,000,000 - $4,999,999: 0.43% annually (Fixed Income Portfolios) $5,000,000 - $9,999,999: 0.38% annually (Fixed Income Portfolios) $10,000,000+: 0.33% annually (Fixed Income Portfolios)
Financial planning up to $350/hour; pension consulting up to $250/hour
Account minimum: $250,000 Fee-only: Financial planning and consulting fees: $1,000 to $10,000 flat fee; hourly fees up to $350/hour. Pension consulting fees: $1,000 to $10,000 flat fee annually, hourly fees up to $250/hour, or up to 1.00% of plan assets
Main office location
ALE LLC
3478 Buskirk Avenue Suite 1000
Pleasant Hill CA 94523, United States
Number of offices
1
Most active in
ALE LLC has reported serving >5 clients in these states in the last 12 months.
California
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Is not active or affiliated with:
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
-
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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