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SEC data October 1, 2026
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SEC data October 1, 2026
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Sign in or start freeWealth manager, bank-affiliated · Charlotte, NC
Ally Invest Advisors Inc · SEC-registered investment adviser · CRD 170301 · SEC 801-79305
At a glance
Ally Invest Advisors is an SEC-registered investment adviser based in Charlotte, North Carolina, with $1.7B in regulatory assets under management as of its Form ADV filed April 1, 2026. It reports 83,199 individual clients, 62 of them high-net-worth, holding an average of about $0.0 million each, and 8 employees. That ranks it 635th among the nation’s 5,657 independent wealth management RIAs and 11th of 160 in North Carolina. It reports Apex Fintech as the custodian for its clients’ separately managed accounts.
Main office 855-880-2559ally.comAs filed on Form ADV
Hybrid RIA
Ally Invest Advisors is a hybrid RIA: 7 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Ally Invest Securities LLC.
An introducing broker-dealer: its trades clear through Apex Clearing, which holds the brokerage accounts.
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 83,137 | $1.6B | 95% |
| High-net-worth individuals | 62 | $85M | 5% |
Ally Invest Advisors answers yes to 4 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
SEC and FINRA actions
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| Firm | Regulatory AUM | Clients |
|---|---|---|
| Cornerstone WealthHuntersville | $2.5B | 2,373 |
| Capital Investment Advisory Services, LLCRaleigh | $2.4B | 6,172 |
| Novare Capital ManagementCharlotte | $1.9B | 757 |
| Delegate Advisors, LLCChapel Hill | $1.7B | 42 |
| Financial Symmetry Inc.Raleigh | $1.5B | 872 |
| Mill Capital Management, LLCConcord | $1.5B | 97 |
Ally Invest Advisors reports $1.7B in regulatory assets under management across 79,536 accounts, 100% of it on a discretionary basis, on its Form ADV filed April 1, 2026.
It reports 83,199 individual clients: 62 high-net-worth individuals and 83,137 other individuals. Individuals account for about 100% of its regulatory assets.
Its main office is in Charlotte, North Carolina. It reports 3 offices in total and 8 employees, 8 of whom perform investment advisory functions.
On Form ADV it lists these forms of compensation: a percentage of assets under management. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
It reports Apex Fintech as the custodian for its clients’ separately managed accounts. On Schedule D of its Form ADV filed April 1, 2026, it reports these amounts held: Apex Fintech ($1.7B). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Ally Invest Advisors is a hybrid RIA: 7 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Ally Invest Securities LLC. Ally Invest Securities LLC clears through Apex Clearing, according to its annual report filed with the SEC. Those representatives can also earn commissions on brokerage business through the broker-dealer, where different rules apply than for advisory accounts.
As an SEC-registered investment adviser, Ally Invest Advisors owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. 7 of its employees are also registered representatives of a broker-dealer, where different rules apply to brokerage recommendations.
Every figure is Ally Invest Advisors’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-04-01), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →