Alternity Investment Advisors
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$8,093,016
Clients
25
8% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
25
TypicalAverage account size
$323,721
About
Alternity Investment Advisors is a solo registered adviser that serves individuals (including high‑net‑worth clients), business owners, pensions, endowments and non‑profits, advising roughly $8.09 million across about 25 client relationships. The firm offers investment supervisory services, limited‑scope retirement planning at no additional cost to existing clients, and may refer clients to third‑party money managers.
The adviser employs a primarily non‑discretionary model and does not accept trading discretion or proxy‑voting authority, so clients retain implementation control and receive custodian statements (Charles Schwab is the primary custodian). Investment work is oriented to long‑term strategies and draws on charting, fundamental, technical and cyclical analysis, and the firm may direct clients to third‑party managers or negotiate performance‑based arrangements for accredited investors.
Noteworthy for a small independent adviser, the principal also operates a mortgage brokerage and an insurance agency and is licensed as a mortgage loan originator and insurance producer, activities that may result in the offering of commissionable mortgage or insurance products to clients and are disclosed as potential conflicts. Compared with many peers, AIA’s combination of primarily non‑discretionary assets, affiliations with real‑estate/insurance businesses, and provision of free limited retirement planning is statistically uncommon among independent solo advisers.
Client services
Financial planning
Selection of other advisers
Educational seminars or workshops
Expertise
Annuities
Options & derivatives strategies
Real estate investing
Fee options
$1 - $250,000: 1.00% $250,001 - $500,000: 1.00% $500,001 - $1,000,000: 1.00% Above $1,000,000+: 1.00%
Performance-based fees may be charged by third party money managers to accredited investors; AIA may receive a share of these fees.
Main office location
Alternity Investment Advisors
2901 W. Coast Highway, Suite 200
Newport Beach CA 92663, United States
Number of offices
1
Most active in
Alternity Investment Advisors has reported serving >5 clients in these states in the last 12 months.
California · Texas
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.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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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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