Independent Advisor Alliance, Llc
SEC-registered
Insurance-Affiliated · Large ($10B–$100B)
CRD 168267
· SEC file 801-78808
· Charlotte, NC
· fivestonefinancial.net
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ADV data as of Jun 29, 2026
- Regulatory AUM
- $17.2B
- Discretionary
- $17.2B
- Clients
- 45,002
- Avg AUM / client
- $383K
- Accounts
- 45,002
- Employees
- 251
AUM over time
$0
$17.2B
Nov 2013
Jun 2026
Annual snapshots from Form ADV filings · as of Jun 29, 2026
Asset allocation (SMA assets by investment type)
as of Jun 29, 2026
Registered investment companies (funds/ETFs)
$11.4B
66%
Exchange-traded equities
$4.7B
27%
Cash & equivalents
$517M
3%
US government & agency bonds
$172M
1%
State & local bonds
$172M
1%
Investment-grade corporate bonds
$172M
1%
Non-investment-grade bonds
$172M
1%
Share of SMA assets by investment vehicle type, as filed in Form ADV Item 5.K. Dollar figures are percentages applied to total regulatory AUM.
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 26,649 | $4.3B | 25.2% |
| High net worth individuals | 15,578 | $12.0B | 69.5% |
| Pension and profit sharing plans | 875 | $148M | 0.86% |
| Charitable organizations | 932 | $473M | 2.74% |
| Corporations and other businesses | 967 | $292M | 1.7% |
| Other | 1 | $83.3K | 0.0% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
People (309)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Robert Paul Russo | Chief Executive Officer Founder | Sep 2013 (13y) | ≈ 56.25% – 100% via Iaa Holdings, Llc | |
| Jessica Nadine Sexton | Chief Compliance Officer Elected Member | Feb 2014 (13y) | Less than 5% | |
| Pitt, Jefferson, Linwood | Chief Experience Officer | Aug 2021 (5y) | Less than 5% | |
| Buzo, David, E | Chief Marketing Officer | Aug 2023 (3y) | Less than 5% | |
| Morrison, Topaz, R | Chief Growth Officer | Aug 2023 (3y) | Less than 5% | |
| Craig Boyce Faile | Registered representative | CFP | Dec 2013 (13y) | |
| Keith A Gregory | Registered representative | CFP | Mar 2014 (12y) | |
| Stephanie Yaun Vokral | Registered representative | CFP | Mar 2014 (12y) | |
| William Brett Mckeithan | Registered representative | May 2014 (12y) | ||
| Gary Lynn Deese, Cltc | Registered representative | Jun 2014 (12y) | ||
| Antonio Vince Porretta | Registered representative | Jul 2014 (12y) | ||
| Richard Justin Schrum | Registered representative | CFP | Aug 2014 (12y) | |
| William Ryan Tripp | Registered representative | Aug 2014 (12y) | ||
| William Brad Brantley | Registered representative | Aug 2014 (12y) | ||
| Ryan John Schrift | Registered representative | Aug 2014 (12y) | ||
| John Paul Sineath | Registered representative | Sep 2014 (12y) | ||
| Darryl Cermak Serfass | Registered representative | Oct 2014 (12y) | ||
| Robert Bruce Eberst | Registered representative | Oct 2014 (12y) | ||
| Jeffrey Michael Lansink | Registered representative | CFP | Jan 2015 (12y) | |
| Richard Wayne Harvey | Registered representative | Feb 2015 (11y) | ||
| Terrence Colen | Registered representative | Mar 2015 (11y) | ||
| Michael Sheridan York | Registered representative | Apr 2015 (11y) | ||
| David G. Curry | Registered representative | CFP | Apr 2015 (11y) | |
| Steven Brian Gallo | Registered representative | May 2015 (11y) | ||
| Jonathan Michael Marzano | Registered representative | May 2015 (11y) | ||
| Allison F Grier | Registered representative | Sep 2015 (11y) | ||
| John Alexander Black | Registered representative | Chartered Financial Consultant | Sep 2015 (11y) | |
| John Sherrill Sloop | Registered representative | CFP | Sep 2015 (11y) | |
| Ty Gary Hensley | Registered representative | Oct 2015 (11y) | ||
| Clarence Homer Slaughter | Registered representative | Mar 2016 (10y) | ||
| Chad Andrew Pannell | Registered representative | Apr 2016 (10y) | ||
| Philip Aaron Lee | Registered representative | CFP | Apr 2016 (10y) | |
| John Eric Osterberg | Registered representative | Apr 2016 (10y) | ||
| David Lee Bolick | Registered representative | May 2016 (10y) | ||
| George Henry Irby | Registered representative | Jun 2016 (10y) | ||
| Charlene Marie Burkhardt | Registered representative | Jun 2016 (10y) | ||
| Nadine Marie Lord Divan | Registered representative | Jun 2016 (10y) | ||
| Johnny Kenard Rutledge | Registered representative | Jul 2016 (10y) | ||
| Michael A Mc Gilvary | Registered representative | Aug 2016 (10y) | ||
| Richard Christopher Fallin | Registered representative | Oct 2016 (10y) | ||
| Charles Keith Dixon | Registered representative | Nov 2016 (10y) | ||
| Kyle Robert Arcand | Registered representative | Chartered Financial Consultant | Nov 2016 (10y) | |
| Grant Barnett Goodwin | Registered representative | Dec 2016 (10y) | ||
| Alexander Dean Lewis | Registered representative | Apr 2017 (9y) | ||
| Andrew Scott Lipson | Registered representative | CFP | Jun 2017 (9y) | |
| Bradley Aaron Williams | Registered representative | CFP | Jun 2017 (9y) | |
| Murat Kaptanoglu | Registered representative | CFP | Jun 2017 (9y) | |
| Vincent Conley Perry | Registered representative | CFP Chartered Financial Consultant | Jun 2017 (9y) | |
| Christopher John Demarest | Registered representative | CFP | Jul 2017 (9y) | |
| Bill Harwood | Registered representative | Jul 2017 (9y) | ||
| Jason Alan Langdale | Registered representative | CFP | Jul 2017 (9y) | |
| William Lloyd Addison | Registered representative | Jul 2017 (9y) | ||
| E Allen Hancock | Registered representative | CFP | Jul 2017 (9y) | |
| Manning C Crapps | Registered representative | Jul 2017 (9y) | ||
| Shaun Christopher Marline | Registered representative | Jul 2017 (9y) | ||
| Arthur Neil Schlosser | Registered representative | Aug 2017 (9y) | ||
| Kurt Frederick Triebold | Registered representative | Sep 2017 (9y) | ||
| Elizabeth Marie Fox | Registered representative | Sep 2017 (9y) | ||
| Peter Francis Heimerman | Registered representative | Sep 2017 (9y) | ||
| Karl Bruce Schmidtke | Registered representative | Sep 2017 (9y) | ||
| Jeffrey Christopher Lehrer | Registered representative | Sep 2017 (9y) | ||
| Nicholas Allen Wendt | Registered representative | CFP | Sep 2017 (9y) | |
| Andrew W Roller | Registered representative | CFP | Oct 2017 (9y) | |
| H Dewey Thompson | Registered representative | Oct 2017 (9y) | ||
| Bruce Edgar Putnam | Registered representative | Oct 2017 (9y) | ||
| Kenneth Andrew Putnam | Registered representative | CFP | Oct 2017 (9y) | |
| Richard S Reber | Registered representative | CFP | Nov 2017 (9y) | |
| Paul Edward Brown | Registered representative | CFP | Nov 2017 (9y) | |
| John Augustus Godfrey | Registered representative | Nov 2017 (9y) | ||
| Chadwick (Chad) Wade Copeland | Registered representative | Jan 2018 (9y) | ||
| Frederick Joseph Daniel Felder | Registered representative | Apr 2018 (8y) | ||
| William Henry Brady | Registered representative | CFP | Apr 2018 (8y) | |
| James Andrew Frigstad | Registered representative | CFP Chartered Financial Consultant | Apr 2018 (8y) | |
| Jonathan Keith Haugen | Registered representative | Apr 2018 (8y) | ||
| Nicholas Guy Wiedrich | Registered representative | Apr 2018 (8y) | ||
| David John Schwartz | Registered representative | Aug 2018 (8y) | ||
| Thomas Craig Moore | Registered representative | Aug 2018 (8y) | ||
| Nicholas Chase Miles | Registered representative | Aug 2018 (8y) | ||
| Scott Donald Gingras | Registered representative | Aug 2018 (8y) | ||
| Sharon Kay Conner | Registered representative | Aug 2018 (8y) | ||
| Reginald Fitzgerald Tolbert | Registered representative | Sep 2018 (8y) | ||
| Steven Charles Small | Registered representative | Sep 2018 (8y) | ||
| Titus Jermaine Pittman | Registered representative | CFP | Sep 2018 (8y) | |
| Craig Stephen Freeman | Registered representative | Sep 2018 (8y) | ||
| Gary Alan Rosenstone | Registered representative | Sep 2018 (8y) | ||
| Erin D Eiras | Registered representative | Sep 2018 (8y) | ||
| Jason Keith Norton | Registered representative | Sep 2018 (8y) | ||
| Jason Randall Backus | Registered representative | Sep 2018 (8y) | ||
| Sharon L Herman | Registered representative | Oct 2018 (8y) | ||
| John Ragsdale Bailey | Registered representative | CFP | Oct 2018 (8y) | |
| Kevin William Meyer | Registered representative | CFP | Oct 2018 (8y) | |
| Quentin Lee Davis | Registered representative | Oct 2018 (8y) | ||
| Rowena York Ruff | Registered representative | Oct 2018 (8y) | ||
| Brian Christopher Atwood | Registered representative | Chartered Financial Consultant | Oct 2018 (8y) | |
| Bryan Matthew Wieferich | Registered representative | CFP | Oct 2018 (8y) | |
| Jared Lee Ensing | Registered representative | Oct 2018 (8y) | ||
| Todd Robert Vander Lugt | Registered representative | CFP | Oct 2018 (8y) | |
| Chad Edward Tepe | Registered representative | Nov 2018 (8y) | ||
| Theresa Gregory Jackson | Registered representative | CFP | Nov 2018 (8y) | |
| Carl Lee Thompson | Registered representative | Nov 2018 (8y) | ||
| Travis Stanley Barnes | Registered representative | CFP | Dec 2018 (8y) | |
| Leigh A Nickel | Registered representative | Chartered Financial Consultant | Dec 2018 (8y) | |
| Charles Edwin Hatch | Registered representative | CFP | Dec 2018 (8y) | |
| Matthew Lawrence Darpel | Registered representative | Dec 2018 (8y) | ||
| Kurt Elliot Erickson | Registered representative | Dec 2018 (8y) | ||
| Collin Barrett Dawes | Registered representative | Dec 2018 (8y) | ||
| Nicole Marie Dawes | Registered representative | Dec 2018 (8y) | ||
| Kevin Fredrick Tyrrell | Registered representative | Dec 2018 (8y) | ||
| John Marcus Lyon | Registered representative | Dec 2018 (8y) | ||
| Christopher William Lowe | Registered representative | CFP | Dec 2018 (8y) | |
| Matthew J Mikolajewski | Registered representative | CFP | Jan 2019 (8y) | |
| Thomas John Faber | Registered representative | CFP | Jan 2019 (8y) | |
| Kary Nikolai Brownlee | Registered representative | Jan 2019 (8y) | ||
| Robert John Ybaben | Registered representative | Feb 2019 (7y) | ||
| Michael Patrick Henderson | Registered representative | CFP | Feb 2019 (7y) | |
| Leana Lynn D'aloisio | Registered representative | Mar 2019 (7y) | ||
| Michael Moffa | Registered representative | Mar 2019 (7y) | ||
| Aadarsh B Jagadish | Registered representative | Mar 2019 (7y) | ||
| Edward George Knight | Registered representative | Chartered Financial Consultant | Mar 2019 (7y) | |
| Darrin James Markey | Registered representative | Mar 2019 (7y) | ||
| Christian Eastwood Erickson | Registered representative | Mar 2019 (7y) | ||
| Timothy Ray Dill | Registered representative | Mar 2019 (7y) | ||
| William C Casterlin | Registered representative | Mar 2019 (7y) | ||
| John William Dean | Registered representative | Apr 2019 (7y) | ||
| Scott Anderson Hollowell | Registered representative | Apr 2019 (7y) | ||
| Richard Hinkle | Registered representative | Apr 2019 (7y) | ||
| Timothy Thomas Sallee | Registered representative | CFP | Apr 2019 (7y) | |
| David Earl Deckert | Registered representative | Apr 2019 (7y) | ||
| Laurie Schaeffer | Registered representative | Apr 2019 (7y) | ||
| William Frederick Schmidt | Registered representative | CFP | Apr 2019 (7y) | |
| James Charles Scott | Registered representative | May 2019 (7y) | ||
| Ryan Louis Miller | Registered representative | May 2019 (7y) | ||
| Gregory Edward Alft | Registered representative | May 2019 (7y) | ||
| Steven Duane Dye | Registered representative | Jun 2019 (7y) | ||
| Stephen D Austin | Registered representative | Jul 2019 (7y) | ||
| Nicholas Ryan Arcand | Registered representative | Jul 2019 (7y) | ||
| Patricia Elizabeth Godfrey | Registered representative | Aug 2019 (7y) | ||
| Thomas Warren Bass | Registered representative | Oct 2019 (7y) | ||
| Edwin James Crisp | Registered representative | CFP | Nov 2019 (7y) | |
| Michael Andrew Cohn | Registered representative | Feb 2020 (6y) | ||
| Ryan L Mason | Registered representative | CFP | May 2020 (6y) | |
| Mason T Moore | Registered representative | Jul 2020 (6y) | ||
| Wesley Jack Burrell | Registered representative | Jul 2020 (6y) | ||
| William Warren Armfield | Registered representative | Oct 2020 (6y) | ||
| Richard Dwayne Tesseneer | Registered representative | Oct 2020 (6y) | ||
| Stephen Giles Tompkins | Registered representative | Nov 2020 (6y) | ||
| Knox Rhyne Gibson | Registered representative | Dec 2020 (6y) | ||
| Stephen Wayne Gaskins | Registered representative | CFP | Dec 2020 (6y) | |
| Joseph Gilbert Budd | Registered representative | CFP Chartered Financial Consultant | Jan 2021 (6y) | |
| Patrick Andrew Gunther | Registered representative | Jan 2021 (6y) | ||
| Nathaniel Chambers | Registered representative | Feb 2021 (6y) | ||
| Timothy Andrew Moore | Registered representative | CFP | Feb 2021 (5y) | |
| Scott Daniel Serfass | Registered representative | Mar 2021 (5y) | ||
| Nicholas Adam Buerger | Registered representative | Mar 2021 (5y) | ||
| Charles Arthur White | Registered representative | Mar 2021 (5y) | ||
| Joseph Alexander Perritt | Registered representative | Apr 2021 (5y) | ||
| Kevin James Steffen | Registered representative | May 2021 (5y) | ||
| Timothy John Scanlan | Registered representative | May 2021 (5y) | ||
| Benjamin James Orner | Registered representative | Jun 2021 (5y) | ||
| Bernice Valrey Rolle Lewis | Registered representative | Jun 2021 (5y) | ||
| Leigha Arcand Tabbi | Registered representative | Jun 2021 (5y) | ||
| Madelyn Ann Lofquist | Registered representative | Aug 2021 (5y) | ||
| Christopher Kirk Prevette | Registered representative | CFA | Sep 2021 (5y) | |
| Montague Laffitte Boyd | Registered representative | CFP | Oct 2021 (5y) | |
| Jana Calender Burke | Registered representative | Oct 2021 (5y) | ||
| Douglas Reese Way | Registered representative | Dec 2021 (5y) | ||
| Paul Dennis Way | Registered representative | Dec 2021 (5y) | ||
| John William Harwood | Registered representative | Dec 2021 (5y) | ||
| Ian Klinger | Registered representative | Jan 2022 (5y) | ||
| Patrick William Mcgrory | Registered representative | CFP | Jan 2022 (5y) | |
| Erin Feldman Mendez | Registered representative | CFP | Jan 2022 (5y) | |
| William Brice Mason | Registered representative | CFP | Feb 2022 (4y) | |
| Peter F Wagner | Registered representative | Mar 2022 (4y) | ||
| Richard Craig Gray | Registered representative | Mar 2022 (4y) | ||
| Juliet Penna | Registered representative | Jun 2022 (4y) | ||
| Luke Michael Little | Registered representative | Jun 2022 (4y) | ||
| Jane S Goodyear | Registered representative | Jul 2022 (4y) | ||
| Mark Capecci | Registered representative | Aug 2022 (4y) | ||
| William James Hodge | Registered representative | Aug 2022 (4y) | ||
| Ernest William Ross | Registered representative | CFP | Sep 2022 (4y) | |
| Chad William Roller | Registered representative | Sep 2022 (4y) | ||
| Candice Stanley | Registered representative | Sep 2022 (4y) | ||
| Jeb Stuart Zoller | Registered representative | CFP | Sep 2022 (4y) | |
| John Fred Shrewsbury | Registered representative | Sep 2022 (4y) | ||
| Mary Alexandria Newburn | Registered representative | Sep 2022 (4y) | ||
| Mona Filat Khairi | Registered representative | Sep 2022 (4y) | ||
| Timothy Wayne Key | Registered representative | Sep 2022 (4y) | ||
| Teresa Lynn Arrigo | Registered representative | Oct 2022 (4y) | ||
| Troy Allen Johnson | Registered representative | Oct 2022 (4y) | ||
| Charles David Skinner | Registered representative | CFP | Oct 2022 (4y) | |
| Janet Elise Walker | Registered representative | Oct 2022 (4y) | ||
| Joel Aaron Newburn | Registered representative | Oct 2022 (4y) | ||
| Scott Alan Inman | Registered representative | Oct 2022 (4y) | ||
| Eric Anthony White | Registered representative | Oct 2022 (4y) | ||
| Anna Gabrielle Olive | Registered representative | Oct 2022 (4y) | ||
| Tanner James Leister | Registered representative | Jan 2023 (4y) | ||
| Derek James Motto | Registered representative | Jan 2023 (4y) | ||
| Hayley Rose Akre | Registered representative | Jan 2023 (4y) | ||
| David Gilliam | Registered representative | Feb 2023 (3y) | ||
| Kyle J Thomas | Registered representative | Feb 2023 (3y) | ||
| William Brandon James | Registered representative | Apr 2023 (3y) | ||
| Andrew Carl Amys | Registered representative | May 2023 (3y) | ||
| Erik K. Hofstrom | Registered representative | May 2023 (3y) | ||
| Norman Scott Gunn | Registered representative | CFP | May 2023 (3y) | |
| Richard Joseph Durkee | Registered representative | May 2023 (3y) | ||
| John Kamel | Registered representative | Jun 2023 (3y) | ||
| Scott Ward | Registered representative | Aug 2023 (3y) | ||
| Bradley Mark Howard | Registered representative | Oct 2023 (3y) | ||
| Natalie Margaret Barkley | Registered representative | Oct 2023 (3y) | ||
| Tyler Lawrence Johnson | Registered representative | CFP | Oct 2023 (3y) | |
| Brandon M Lancaster | Registered representative | Oct 2023 (3y) | ||
| Timothy Moore Creech | Registered representative | Nov 2023 (3y) | ||
| Lisa Lynn Taylor | Registered representative | Jan 2024 (3y) | ||
| Brian Helms | Registered representative | Jan 2024 (3y) | ||
| Kimberly Dawn Moore | Registered representative | Jan 2024 (3y) | ||
| David Hauser Curry | Registered representative | Feb 2024 (2y) | ||
| James Allan Vanderbilt | Registered representative | CFP | Feb 2024 (2y) | |
| Ronald Alan Harczak | Registered representative | CFP | Feb 2024 (2y) | |
| Chad Allen Tom | Registered representative | Mar 2024 (2y) | ||
| Wayne David Wycoff | Registered representative | Mar 2024 (2y) | ||
| Alec Austin Daril | Registered representative | Apr 2024 (2y) | ||
| Brandon A Barber | Registered representative | Apr 2024 (2y) | ||
| Nicholas Alan Skey | Registered representative | Apr 2024 (2y) | ||
| Kourtney J Shawhan | Registered representative | May 2024 (2y) | ||
| Peter E Metcalf | Registered representative | CFP | Jun 2024 (2y) | |
| Astute Evans | Registered representative | CFP | Jun 2024 (2y) | |
| Jordan T Braun | Registered representative | Jul 2024 (2y) | ||
| Emily Boyd | Registered representative | Jul 2024 (2y) | ||
| Mark Jonathan Roberts | Registered representative | Jul 2024 (2y) | ||
| William Drake Connor | Registered representative | Aug 2024 (2y) | ||
| Paul L Goetz | Registered representative | Aug 2024 (2y) | ||
| Benjamin Paul Mcelwee | Registered representative | Aug 2024 (2y) | ||
| Jeffery Phillip Coffman | Registered representative | Sep 2024 (2y) | ||
| Quinn Hoopman | Registered representative | Sep 2024 (2y) | ||
| Sean Thomas Mc Culloch | Registered representative | Sep 2024 (2y) | ||
| Kaden Scott Smith | Registered representative | Oct 2024 (2y) | ||
| Jacob William Grice | Registered representative | Oct 2024 (2y) | ||
| Stuart Alan Vaughn | Registered representative | CFP | Nov 2024 (2y) | |
| Thomas Haywood Trant | Registered representative | Nov 2024 (2y) | ||
| John Gibson | Registered representative | Dec 2024 (2y) | ||
| Avinash Kochikar Pai | Registered representative | CFP | Dec 2024 (2y) | |
| Darla M Serrano | Registered representative | CFP Chartered Financial Consultant | Dec 2024 (2y) | |
| David Everett Mckenzie | Registered representative | Dec 2024 (2y) | ||
| Fina Laura Sneed | Registered representative | CFP | Dec 2024 (2y) | |
| Kevin Umesh Shah | Registered representative | Dec 2024 (2y) | ||
| Mike Scott Sheets | Registered representative | CFP | Dec 2024 (2y) | |
| Stephanie Marie Hammell | Registered representative | Dec 2024 (2y) | ||
| Michael Mckenna Delaney | Registered representative | Jan 2025 (2y) | ||
| Manorama Kochikar Pai | Registered representative | CFP | Jan 2025 (2y) | |
| Shane Robert Russell | Registered representative | Jan 2025 (2y) | ||
| Christian Blake Erickson | Registered representative | Jan 2025 (2y) | ||
| Brent L Adams | Registered representative | Jan 2025 (2y) | ||
| Boone Merrill Williams | Registered representative | Jan 2025 (2y) | ||
| Anna Grace Reeves | Registered representative | Feb 2025 (1y) | ||
| Lori S Smith | Registered representative | Feb 2025 (1y) | ||
| Morgan Elizabeth Hinchen | Registered representative | Feb 2025 (1y) | ||
| Justin Nicholas Ancona | Registered representative | CFP | Feb 2025 (1y) | |
| Berni Marie Stevens | Registered representative | Feb 2025 (1y) | ||
| Lauren Grames | Registered representative | Feb 2025 (1y) | ||
| Nicholas Vincent Scarcelli | Registered representative | Feb 2025 (1y) | ||
| Christopher Howard Blake | Registered representative | Mar 2025 (1y) | ||
| Jay Arthur Levy | Registered representative | CFA | Mar 2025 (1y) | |
| John Bradford Borden | Registered representative | CFP | Jun 2025 (1y) | |
| Miriam M Favor | Registered representative | CFP | Jun 2025 (1y) | |
| William Tyson Vanlandingham | Registered representative | Jun 2025 (1y) | ||
| Rachel Miranda Todd | Registered representative | Jun 2025 (1y) | ||
| Robert Bixby Green | Registered representative | CFA | Jun 2025 (1y) | |
| Jin Mei | Registered representative | Jun 2025 (1y) | ||
| Sarah Nicole Kozlowski | Registered representative | Jul 2025 (1y) | ||
| Thomas Frazier Laws | Registered representative | Jul 2025 (1y) | ||
| Victoria Jean Hoch | Registered representative | Chartered Financial Consultant | Aug 2025 (1y) | |
| Max Conner Flanagan | Registered representative | CFP | Aug 2025 (1y) | |
| Anna Danielle Robbins | Registered representative | Aug 2025 (1y) | ||
| Jeffrey Michael Pisan | Registered representative | CFP | Aug 2025 (1y) | |
| John Hoagland Easley | Registered representative | Aug 2025 (1y) | ||
| Kyle Wayne Johnston | Registered representative | CFP | Aug 2025 (1y) | |
| Nelson Robert Larson | Registered representative | Aug 2025 (1y) | ||
| Greg Andrew Rogers | Registered representative | Sep 2025 (1y) | ||
| Thomas George Delaney | Registered representative | Sep 2025 (1y) | ||
| Christopher J Sislo | Registered representative | CFP | Sep 2025 (1y) | |
| Jon Nee | Registered representative | Sep 2025 (1y) | ||
| Kevin Michael Phillips | Registered representative | CFP | Oct 2025 (1y) | |
| Dustin Dandurand | Registered representative | Oct 2025 (1y) | ||
| Kevin Raphael Kelly | Registered representative | Oct 2025 (1y) | ||
| Jacqueline E Budd | Registered representative | Nov 2025 (1y) | ||
| Colby Keston Clark | Registered representative | Dec 2025 (1y) | ||
| Georgia Kate Stuart | Registered representative | Dec 2025 (1y) | ||
| Jacqueline Seena Zweig | Registered representative | CFP | Dec 2025 (1y) | |
| Daniel Crockett | Registered representative | Dec 2025 (1y) | ||
| Alejandro Jose Megino Ochoa | Registered representative | Jan 2026 (1y) | ||
| Sterling Riley Byre | Registered representative | Jan 2026 (1y) | ||
| Marla A Warner | Registered representative | Feb 2026 (0y) | ||
| Jane Reichard | Registered representative | CFP | Feb 2026 (0y) | |
| Steven Patrick Melen | Registered representative | Mar 2026 (0y) | ||
| Adam Robert Bott | Registered representative | Mar 2026 (0y) | ||
| Robert J Paolini | Registered representative | Mar 2026 (0y) | ||
| Jack M Paolini | Registered representative | Mar 2026 (0y) | ||
| Nicholas G Sherrer | Registered representative | Apr 2026 (0y) | ||
| Bradley Tomlin | Registered representative | Apr 2026 (0y) | ||
| Taylor Daniel Bryant | Registered representative | Apr 2026 (0y) | ||
| Stuart Ray Gardner | Registered representative | CFP | May 2026 (0y) | |
| Kristy Jan Meeler | Registered representative | May 2026 (0y) | ||
| Alisha Lorell Bailey | Registered representative | May 2026 (0y) | ||
| Laura Kay Brown | Registered representative | May 2026 (0y) | ||
| Devin Paul Stamp | Registered representative | Jun 2026 (0y) | ||
| Edward Bright | Registered representative | Jun 2026 (0y) | ||
| Jordan Elizabeth West | Registered representative | Jun 2026 (0y) | ||
| Jacob Robak | Registered representative | Jul 2026 (0y) | ||
| Adam Anderson Burke | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Iaa Holdings, Llc | Managing Member | Dec 2023 | A | 75% or more |
| Lpl Capital Partners, Inc. | Minority Owner | Dec 2023 | A | 10% – 25% |
Undisclosed: 0% – 15% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Robert Paul Russo: 75% – 100% of Iaa Holdings, Llc × 75% – 100% direct ≈ 56.25% – 100% 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.
Retirement plans served (13)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Associated Urologists Of North Carolina, P.A. Employees 401(k) Profit Sharing Plan | Associated Urologists Of North Carolina, P.A. | 0 | $0 | 01/01/2025 |
| Wikoff Color Corporation 401(k) Profit Sharing Plan | Wikoff Color Corporation | 363 | $43.0M | 06/01/2024 |
| Netjets Aviation, Inc. 401(k) Retirement Plan | Netjets Aviation, Inc. | 4,042 | $2.5B | 01/01/2024 |
| The Springs Company 401(k) Savings And Retirement Plan | The Springs Company | 93 | $17.9M | 01/01/2024 |
| Wisconsin Coil Spring Llc 401(k) Profit Sharing Plan | Wisconsin Coil Spring Llc. | 92 | $6.9M | 01/01/2024 |
| Agc Of America, Sd Chapter, Inc. 401(k) Profit Sharing Plan | Agc Of America, Sd Chapter, Inc. 401(k) Profit Sharing Plan | 2,604 | $171M | 01/01/2024 |
| Big Bend Hospice Retirement Plan | Big Bend Hospice, Inc. | 228 | $11.6M | 01/01/2024 |
| Carolina Biological Supply Company Savings And Profit Sharing Retirement | Carolina Biological Supply Company | 477 | $53.0M | 01/01/2024 |
| Southeastern Container, Inc. Retirement Savings Plan | Southeastern Container, Inc. | 445 | $82.6M | 01/01/2024 |
| Ems Chemie (North America) Inc. Retirement Plan | Ems Chemie (North America) Inc | 142 | $24.2M | 01/01/2024 |
| Stevens Aerospace And Defense Systems Llc 401(k) Savings And Retirement Plan | Stevens Aerospace And Defense Systems, Llc | 298 | $20.0M | 01/01/2024 |
| Bradley/Dixie Companies Retirement Plan | Chatham Service Bureau, Inc. | 369 | $57.3M | 01/01/2024 |
| Quality Oil Company 401(k) And Profit Sharing Plan | Quality Oil Company, Llc | 1,199 | $70.3M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/29/2026 | 2.59 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
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Publication of periodicals or newsletters
- • Educational seminars/workshops
Custody
Reported custodians
- LPL Financial $16.1B (93% of AUM) Jun 2026
- Charles Schwab & Co. $656M (6% of AUM) Feb 2024
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: Jun 29, 2026.
View current Form ADV (SEC/IAPD) ↗