Alliance Investment Management, Llc
- Regulatory AUM
- $207M
- Discretionary
- $173M
- Clients
- 170
- Avg AUM / client
- $1.2M
- Accounts
- 600
- Employees
- 6
AUM over time
Annual snapshots from Form ADV filings · as of Mar 30, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 118 | $44.8M | 21.7% |
| High net worth individuals | 42 | $132M | 63.8% |
| Pooled investment vehicles (non-investment companies) | 1 | $4.1M | 2.01% |
| Pension and profit sharing plans | 9 | $21.1M | 10.2% |
| Charitable organizations | Fewer than 5 clients | $1.1M | 0.54% |
| Corporations and other businesses | Fewer than 5 clients | $3.7M | 1.79% |
Private funds (1)
Reported in Form ADV Section 7.B.(1), filing of Mar 2024 · $4.7M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Smith & Associates Financial Fund, Llc | Private Equity Fund | Michigan | $4.7M | 15 |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Retirement Plan For The Employees Of Museum Associates Museum Associates, D/B/A Los Angeles County Museum Of Art | 2024 | |
| Light Metals Corporation Uaw Retirement Income Plan Light Metals Corporation | 2024 |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Nelson, Lori, A | Co Trustee | Nov 2005 (21y) | GP / trustee / elected manager of Thor W. And Lori A. Nelson Trust Agreement Dated Nov. 11, 2005 (indirect) | |
| Thor William Nelson | Chief Compliance Officer | Nov 2005 (21y) | 75% or more | |
| Jacob Lee Holtrop | Co Trustee | Jan 2015 (12y) | ≈ 5% – 18.75% via Jacob And Jolene Holtrop Trust Dated August 17, 2016 | |
| Holtrop, Jolene, Lynelle | Co Trustee | Aug 2016 (10y) | ≈ 5% – 18.75% via Jacob And Jolene Holtrop Trust Dated August 17, 2016 |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Thor W. And Lori A. Nelson Trust Agreement Dated Nov. 11, 2005 | Member | Jan 2023 | A | 75% or more |
| Jacob And Jolene Holtrop Trust Dated August 17, 2016 | Member | Jan 2023 | A | 10% – 25% |
Estimated effective ownership (look-through of filed bands):
- Jacob Lee Holtrop: 50% – 75% of Jacob And Jolene Holtrop Trust Dated August 17, 2016 × 10% – 25% direct ≈ 5% – 18.75% of the firm
- Holtrop, Jolene, Lynelle: 50% – 75% of Jacob And Jolene Holtrop Trust Dated August 17, 2016 × 10% – 25% direct ≈ 5% – 18.75% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Private funds (1, $4.7M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Smith & Associates Financial Fund, Llc | Private Equity Fund | $4.7M | $100K | 15 |
From Form ADV Section 7.B private fund reporting.
Retirement plans served (2)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Retirement Plan For The Employees Of Museum Associates | Museum Associates, D/B/A Los Angeles County Museum Of Art | 313 | $56.5M | 01/01/2024 |
| Light Metals Corporation Uaw Retirement Income Plan | Light Metals Corporation | 6 | $7.2M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/30/2026 | 1.18 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $196M (95% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 30, 2026.
View current Form ADV (SEC/IAPD) ↗