AL
Firm Information
Compensation
Fee-Only (AUM)
Number of Advisors
158 advisors
Number of Clients
10,401 clients
Average Client Portfolio
$245K average
Assets Under Management
$2.6B
Fee Structure
Financial Planning:Included in AUM fee
This firm provides access to wrap fee advisory programs. They also offer financial planning services to wrap fee clients at no additional charge. The firm also receives compensation from the Bank Deposit Sweep Program (BDSP), creating a conflict of interest.
Areas of Practice
Investment ManagementRetirement PlanningEstate Planning
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Advisor Information
Office location
830 Brickell Plaza, Suite 2100, Miami, FL, 33131
Get directionsRegulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Alvin is a co-owner of rental property in Davenport, FL, since November 2024. This non-investment related activity requires minimal time.
Employment History
Current Registrations
Santander Securities
September 2024 - Present · 1 yr 4 mos
Santander Securities LLC Broker
September 2024 - Present · 1 yr 4 mos
Previous Registrations
Citi Private Alternatives, LLCBroker
March 2017 - February 2024 · 6 yrs 11 mos
Citigroup Global Markets INC.
March 2011 - February 2024 · 12 yrs 11 mos
Citigroup Global Markets INC. Broker
June 2010 - February 2024 · 13 yrs 8 mos
Hsbc Securities (usa) INC. Broker
August 2009 - May 2010 · 9 mos
Citigroup Global Markets INC. Broker
May 2007 - July 2009 · 2 yrs 2 mos
Citicorp Investment ServicesBroker
December 2005 - May 2007 · 1 yr 5 mos
J.P. Morgan Securities INC.Broker
April 2001 - August 2004 · 3 yrs 4 mos
Roan Capital Partners L.P.Broker
March 1996 - August 1996 · 5 mos
State Registrations1 state
FL
AdvisorBrokerBoth
Exams
No exam information available for this advisor.