Alliance Investment Management, LLC

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Client assets under management

$176,752,402

Clients

160

26% high-net worth

Advisors

of 6 employees

Firm type

Supported

1-3 advisors or $200M+ in AUM

Clients per advisor

High

Average account size

$1,104,703

About

Alliance Investment Management serves individual investors (including high-net-worth clients) as well as institutional clients such as pension and profit-sharing plans, trusts, estates, charitable organizations, corporations, and other investment advisers. The firm provides discretionary and non-discretionary investment management, investment consulting, and ERISA fiduciary advice to plan participants, and also manages client accounts across a range of asset types.

The firm combines fundamental and technical analysis with a proprietary Investment Conditions Rank (ICR) — a qualitative and quantitative framework tied to global economic and market data — and applies a tactical asset allocation methodology. Strategies offered include actively managed equity (growth and yield) portfolios and a mutual fund/ETF strategy, and the firm may use short-term trading, options, margin, and other trading techniques where appropriate.

A distinctive feature of the firm is its role as manager and investment adviser to a private pooled vehicle, the Smith & Associates Financial Fund (SAFF), a 3(c)(1)-qualified fund that is currently not open to new investors; Alliance discloses that it excludes the fund’s value when calculating separately managed account fees. The firm also accepts constructive custody of client accounts for fee deduction purposes and discloses oversight and reporting practices for the pooled vehicle, which it treats separately from client accounts.

Client services

Portfolio management Investment consulting

Expertise

Active portfolio management Options & derivatives strategies Real estate investing

Fee options

Percentage

$0 - $1,999,999: 1.00% annually for stocks (discretionary) $2,000,000 - $3,999,999: 0.90% annually for stocks (discretionary) $4,000,000+: 0.80% annually for stocks (discretionary) $0 - $1,999,999: 0.85% annually for ETFs, mutual funds, fixed income, annuities, unit investment trusts (discretionary) $2,000,000 - $3,999,999: 0.75% annually for ETFs, mutual funds, fixed income, annuities, unit investment trusts (discretionary) $4,000,000+: 0.65% annually for ETFs, mutual funds, fixed income, annuities, unit investment trusts (discretionary) $0 - $1,999,999: 0.50% annually for cash & equivalents and money market funds (discretionary) $2,000,000 - $3,999,999: 0.40% annually for cash & equivalents and money market funds (discretionary) $4,000,000+: 0.30% annually for cash & equivalents and money market funds (discretionary) $0 - $1,999,999: 0.60% annually for nondiscretionary accounts (all security types) $2,000,000 - $3,999,999: 0.50% annually for nondiscretionary accounts (all security types) $4,000,000+: 0.40% annually for nondiscretionary accounts (all security types) $0 - $1,999,999: 0.90% annually for discretionary Advice Services to plan participants $2,000,000 - $3,999,999: 0.70% annually for discretionary Advice Services to plan participants $4,000,000+: 0.50% annually for discretionary Advice Services to plan participants $0 - $1,999,999: 0.60% annually for nondiscretionary Advice Services to plan participants $2,000,000 - $3,999,999: 0.50% annually for nondiscretionary Advice Services to plan participants $4,000,000+: 0.40% annually for nondiscretionary Advice Services to plan participants

Other

Account minimum: $1,000 Minimum fee: $1,000 minimum annual fee for all accounts and services except Advice Services, may be waived at discretion Fee-only: Fixed periodic fees generally range from $500 to $10,000, may be negotiated and billed based on agreement

Main office location

Alliance Investment Management, LLC

507 Baldwin St

Jenison MI 49428, United States

Number of offices

Most active in

Florida · Illinois · Michigan · Nebraska · Wisconsin

Disclosures

Business activities & affiliations

Is not active or affiliated with:

Insurance agent

They sell insurance products and may earn commissions on those sales.

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.

Lawyer

They provide legal services, typically billed separately.

Real estate agent

They facilitate real estate transactions and may earn commissions.

Other specialized services

They may provide services such as pension consulting or municipal advisory work, typically for separate fees.

Forms ADV

Form ADV Part 2: Client Brochure Form ADV Part 3: Client Relationship

Quick links

Website 800-890-1246

Advisors at this firm

Jacob H

Series 65

Jenison, MI

Alliance Investment Management, LLC

Jacob Holtrop is a Series 65 licensed financial advisor with 11 years of industry experience. He has worked at Alliance Investment Management, LLC since 2014, including its current supported firm structure beginning in 2022. Alliance Investment Management, LLC provides discretionary and non-discretionary investment management and customized consulting services to individuals, retirement plan sponsors, trusts, estates, charities, corporations, and other business entities. The firm employs a tactical asset allocation approach using a proprietary Investment Conditions Rank to adjust sector and fund weightings and serves as the investment manager for a private pooled investment vehicle.

Active portfolio management Options & derivatives strategies Real estate investing

Thor N

Series 65

Jenison, MI

Alliance Investment Management, LLC

Thor Nelson is a financial advisor at Alliance Investment Management, LLC with 18 years of industry experience. He has been with Alliance Investment Management since 2009. Nelson holds the Series 65 designation. Alliance Investment Management, LLC provides discretionary and non-discretionary investment management and customized consulting to individuals, retirement plan sponsors, trusts, estates, charities, corporations, and other business entities. The firm employs a tactical asset allocation approach using a proprietary Investment Conditions Rank framework and manages both individual portfolios and a private pooled investment vehicle.

Active portfolio management Options & derivatives strategies Real estate investing

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