Broker-dealer firm · Wayne, PA
Retirement and Wealth at Alliant, LLC
SEC-registered investment adviser · CRD 167970 · SEC 801-78240
At a glance
Retirement and Wealth at Alliant, LLC is an SEC-registered investment adviser based in Wayne, Pennsylvania, with $7.4 billion in regulatory assets under management as of its Form ADV filed July 30, 2026. Its largest client group by assets is pension and profit sharing plans. By Form ADV it is a broker-dealer firm, ranked 82nd of 391 broker-dealer firms and 1,642nd of 17,210 SEC-registered advisers by assets.
Main office 267-363-2865alliantretirementconsulting.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $7.4B
- Rank among broker-dealer firms
- #82 of 391
- Rank among all SEC RIAs
- #1,642 of 17,210
- Rank in Pennsylvania
- #57 of 564
- Clients
- 222
- Accounts
- 248
- Discretionary
- 100% of AUM
- Employees
- 30
- Advisory staff
- 30
- Offices
- 12
Owners and executives on its Form ADV
- Wendy M. ConnerChief Compliance Officer
- Amit R. DograManaging Director, EVP
Custody and brokerage
Custodian
Retirement and Wealth at Alliant, LLC’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Hybrid RIA
Retirement and Wealth at Alliant, LLC is a hybrid RIA: 13 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed March 2026) names Cetera Advisor Networks and Cetera Advisors as the broker-dealer its advisers are registered with.
Item 10 – Other Financial Industry Activities and Affiliations Broker-Dealer Affiliation Certain representatives of ARC may also be registered representatives of Cetera Advisor Networks, LLC.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pension and profit sharing plans | 216 | $7.3B | 99% |
| Pooled investment vehicles | 6 | $88M | 1% |
Disciplinary disclosures
Retirement and Wealth at Alliant, LLC answers yes to 1 disclosure item 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
- Portfolio management for pooled investment vehicles
- Pension consulting
- Selecting other advisers
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
- Fixed fees
- Other
Form ADV and brochures on the SEC’s adviser search ↗alliantretirementconsulting.com ↗
AtlasMembers
The full record on Retirement and Wealth at Alliant, 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, ten years of filings
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- Growth over one, three and five years
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- Rank against 77 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 2 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 5Locked
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Background
Questions
How much does Retirement and Wealth at Alliant, LLC manage?
Retirement and Wealth at Alliant, LLC reports $7.4 billion in regulatory assets under management across 248 accounts, 100% of it on a discretionary basis, on its Form ADV filed July 30, 2026.
What kind of firm is Retirement and Wealth at Alliant, LLC?
Retirement and Wealth at Alliant, LLC is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are Retirement and Wealth at Alliant, LLC’s clients?
By assets, its largest client types are pension and profit sharing plans ($7.3 billion, 216 clients); pooled investment vehicles ($88 million, 6 clients).
Does Retirement and Wealth at Alliant, LLC have any disciplinary history?
Retirement and Wealth at Alliant, LLC answers yes to 1 disclosure item in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Retirement and Wealth at Alliant, 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 (2026-07-30), 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 →