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Royal Alliance Associates Inc.

Royal Alliance is an independent wealth management firm that provides me with back office, technology, regulatory and operational support. Thanks to my association with the firm, I can offer you access to thousands of diverse financial strategies. Royal Alliance is not in the business of creating and marketing their own investment products—their only “products” are service and support. This allows me to offer objective, independent investment advice, with no obligation to promote any particular investment. After all, I don’t work for Royal. I work for my clients.

Royal Alliance works with approximately 1,600 independence-minded financial advisors like me, with offices across the United States. As part of one of the largest networks of independent financial advisors in the country—Advisor Group—Royal Alliance provides stability and financial strength that has been maintained through various market cycles. Royal Alliance is one of four firms within the Advisor Group network. Advisor Group, Inc. is an independent company owned by Advisor Group Holdings, Inc., a holding company owned by investment funds affiliated with Lightyear Capital LLC, a New York-based private equity firm focused on financial services investing, PSP Investments, one of Canada’s largest pension investment managers, and certain private funds. The Advisor Group network includes more than 5,000 licensed financial advisors.

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Pershing - Our Clearing Firm

Have you ever wondered what exactly happens to your funds once you’ve decided to make an investment? An advisor’s “clearing firm” may have a lot to do with the answer. Pershing, a BNY Mellon company, (member FINRA, NYSE, and SIPC)—a trusted, established, and financially stable financial services firm—provides clearing services for my practice. A clearing firm works with various financial exchanges to handle confirmation, delivery and settlement of your financial transactions.