SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C.
AUM Over Time
Discretionary
Non-Discretionary
At a Glance
| Total AUM | $800.5M |
| Discretionary | $800.5M100% of AUM |
| Client Accounts | 2,066 |
| Avg Account Size | $387K |
| Employees | 13 |
| Peak AUM | $800.5MMay 2026 |
| AUM CAGR | +13.5% /yrover 21 yrs · 74 filings |
Firm Change Matrix
| Metric | Latest | 1Y | 3Y CAGR | 5Y CAGR | Trend |
|---|---|---|---|---|---|
Firm Scale | |||||
| Total AUM | $801M | +112.3% | +48.7% | +25.7% | |
| Discretionary AUM | |||||
Key Metrics
| Total AUM | $800.5M |
| Discretionary | $800.5M |
| Employees | 13 |
| Client Accounts | 2066 |
| Client Range | 51-100 |
Contact & Location
Address
105 WIND HAVEN DRIVE
NICHOLASVILLE KY 40356
Phone
859-223-6333
Filing History
74 ADV Part 1 submissions
Fee Structure
% of AUMFixed Fees
Advisory Services
Financial PlanningPortfolio Mgmt (Individuals)Adviser SelectionSecurity Ratings
Growth
AUM Growth Rate (Annualized YoY %)
Firm Profile
Normalized 0–100 scores across six dimensions.
Discretionary vs Non-Discretionary
Discretionary
$801M
100.0% of AUM
Non-Discretionary
$0
0.0% of AUM
Disc. mix ▲ 0.0pp vs 1 year ago
Discretionary
Non-Discretionary
Average Account Size
AUM per Employee
Headcount Over Time
Total Employees
Advisory Staff
Clients
Client Account Growth
Total Accounts
Discretionary
Non-Discretionary
Clients by Type (Latest)
Client Type Mix Over Time
High Net Worth
Individuals
Risk & Structure
Regulatory Disclosures
✓ Clean RecordNo regulatory disclosures
Other Registrations
Commodity Trading Advisor