Asset manager · Deerfield, IL
Alera Investment Advisors, LLC
SEC-registered investment adviser · CRD 287906 · SEC 801-111892
At a glance
Alera Investment Advisors, LLC is an SEC-registered investment adviser based in Deerfield, Illinois, with $5.3 billion in regulatory assets under management as of its Form ADV filed March 30, 2026. Its largest client group by assets is pension and profit sharing plans, and it reports 2,034 individual clients. By Form ADV it is a asset manager, ranked 677th of 3,218 asset managers and 2,017th of 17,210 SEC-registered advisers by assets.
Main office 847-457-3000aleragroup.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $5.3B
- Rank among asset managers
- #677 of 3,218
- Rank among all SEC RIAs
- #2,017 of 17,210
- Rank in Illinois
- #111 of 684
- Individual clients
- 2,034
- High-net-worth clients
- 352
- Accounts
- 4,077
- Discretionary
- 100% of AUM
- Employees
- 107
- Advisory staff
- 67
- Offices
- 28
Owners and executives on its Form ADV
- Lyndsay R. KimChief Compliance Officer
- Michael J. MossPresident of Wealth Services
- Holly KnightRetirement Plan Services Practice Leader
Custody and brokerage
Broker-dealer
Hybrid RIA
Alera Investment Advisors, LLC is a hybrid RIA: 46 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Alera Securities LLC.
- Alera Securities LLC ↗CRD 335132
It doesn’t hold client accounts or customer funds itself. Its annual audited report filed with the SEC, March 2026
Its Form ADV brochure (filed March 2026) names Osaic Wealth as the broker-dealer its advisers are registered with.
Certain Advisory Persons of AIA are registered representatives of Osaic Wealth, Inc (“Osaic”).
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pension and profit sharing plans | 414 | $3.7B | 70% |
| High-net-worth individuals | 352 | $938M | 18% |
| Individuals | 1,682 | $496M | 9% |
| Charitable organizations | 5 | $92M | 2% |
| Corporations or other businesses | 13 | $83M | 2% |
Disciplinary disclosures
Alera Investment Advisors, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗aleragroup.com ↗
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The full record on Alera Investment Advisors, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 8 years of filings
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- Growth over one, three and five years
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- Rank against 688 peers of its type and size
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- 3 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Background
Questions
How much does Alera Investment Advisors, LLC manage?
Alera Investment Advisors, LLC reports $5.3 billion in regulatory assets under management across 4,077 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 30, 2026.
What kind of firm is Alera Investment Advisors, LLC?
Alera Investment Advisors, LLC is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.
Who are Alera Investment Advisors, LLC’s clients?
By assets, its largest client types are pension and profit sharing plans ($3.7 billion, 414 clients); high-net-worth individuals ($938 million, 352 clients); individuals ($496 million, 1,682 clients).
Does Alera Investment Advisors, LLC have any disciplinary history?
Alera Investment Advisors, LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Alera Investment Advisors, LLC’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 (2026-03-30), 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). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. 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 →