Wealth manager, bank-affiliated · Charlotte, NC
Ally Invest Advisors
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
- Regulatory AUM
- $1.7B
- Rank among independent wealth managers
- #635 of 5,657
- Rank among all SEC RIAs
- #3,944 of 17,210
- Rank in North Carolina
- #11 of 160
- Individual clients
- 83,199
- High-net-worth clients
- 62
- Accounts
- 79,536
- Discretionary
- 100% of AUM
- Employees
- 8
- Advisory staff
- 8
- Offices
- 3
Owners and executives on its Form ADV
- Gerald KragerChief Compliance Officer
- Alex M. MartinChief Financial Officer
- Miteshkumar D PatelPresident
- Loretta B. SpangardDirector
Custody and brokerage
Broker-dealer
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.
- Ally Invest Securities LLC ↗CRD 136131
An introducing broker-dealer: its trades clear through Apex Clearing, which holds the brokerage accounts. Its annual audited report filed with the SEC, February 2026
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 83,137 | $1.6B | 95% |
| High-net-worth individuals | 62 | $85M | 5% |
Disciplinary disclosures
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 ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗ally.com ↗
SEC and FINRA actions
- SEC, Mar 23, 2026Fiduciary duty and conflicts. Settled without admitting or denying.Official release
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The full record on Ally Invest Advisors
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, ten years of filings
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- Growth over one, three and five years
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- Rank against 2,254 peers of its type and size
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- Owners and executives, with titles and stakes
- 4 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Similar-size RIAs in North Carolina
All of North Carolina →| 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 |
Background
Questions
How much does Ally Invest Advisors manage?
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.
How many clients does Ally Invest Advisors have?
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.
Where is Ally Invest Advisors headquartered?
Its main office is in Charlotte, North Carolina. It reports 3 offices in total and 8 employees, 8 of whom perform investment advisory functions.
How does Ally Invest Advisors charge clients?
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.
What custodian does Ally Invest Advisors use?
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.
Is Ally Invest Advisors a hybrid RIA with a broker-dealer?
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.
Is Ally Invest Advisors a fiduciary?
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.
Where these numbers come from
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 →