Alliance Investment Management, LLC provides both discretionary and non-discretionary investment management and/or investment consulting services, each as described below, to our clients.
Discretionary Investment Management Services
If you select our discretionary investment management services, you will be asked to provide us with the information necessary for us to understand your financial needs and circumstances by completing a background profile. Based upon the information you provide to us, and which you update when information changes, we will work directly with you to recommend an appropriate investment strategy and we will advise you with respect to one or more investment accounts that you place under our management. (See our Form ADV Part 2 for more details and fee schedule)
Non-Discretionary Investment Management Services
If you select our non-discretionary investment management services, you will be asked to provide us with the information necessary for us to understand your financial needs and circumstances by completing a background profile. Based upon the information you provide to us, and which you update when information changes, we will work directly with you to recommend an appropriate investment strategy and we will advise you with respect to one or more investment accounts that you place under our management on a non-discretionary basis, meaning that we will only act on your behalf upon your specific authorization. Going forward, we will periodically review your account holdings and, if appropriate per the client investment strategy, suggest alternative investments for your account from among various asset classes. We will only initiate transactions with your prior approval. You are under no obligation to act upon any of our recommendations and you retain sole discretion to implement, or direct us to implement, our recommendations. You are always free to accept or reject our recommendations. (See our Form ADV Part 2 for more details and fee schedule)
Investment Consulting Services
We offer investment consulting services that are tailored to the specific request of our clients. For example, we will provide a one time analysis of current investments or produce research reports on specific sectors or industries.
Depending upon the nature of the project, its complexity, the anticipated time required, and other factors, typically, we will agree upon a fixed fee (general range of $500-$10,000) for the project at the time the Agreement is signed.
(See our Form ADV Part 2 for more details and fee schedule)
Other Investment Management Services
We also may render investment management services to clients relative to their individual accounts held within employer-sponsored retirement plans. In so doing, we either direct or recommend the allocation of your assets among the various mutual fund or exchange traded fund subdivisions that are available to you within the retirement plan. Depending on the plan’s investment alternatives, you may be permitted to hold your investments in a self-directed segregated account within the plan. Your investments within the plan will be maintained at the custodian(s) designated by the plan sponsor. You may authorize us to use your personal identification number to obtain access to your retirement plan account and manage your account in accordance with the terms of the plan and our Investment Advisory Agreement with you. (See our Form ADV Part 2 for more details and fee schedule)