SEC-registered wealth management firm Broker-dealer affiliated
Supreme Alliance LLC
As of its Form ADV filed June 29, 2026, Supreme Alliance LLC, an SEC-registered, broker-dealer affiliated wealth management firm in Charlotte, North Carolina, reported $35.3 million in regulatory assets under management across 107 accounts, ranking #324 among all wealth firms in North Carolina by assets.
Registration
- Registration
- SEC-registered, Approved
- CRD number
- 45348
- SEC file number
- 801-108980
- Registered since
- January 23, 2017
- Latest Form ADV filing
- June 29, 2026
- Organized as
- Limited Liability Company
- Fiscal year ends
- December
- Other offices
- 1
Key figures
- Regulatory assets under management
- $35.3 million
- Discretionary
- $19.5 million (55.1%)
- Non-discretionary
- $15.9 million
- Accounts
- 107 (57 discretionary)
- Clients
- 120, approximate as reported
- Employees
- 16
- Advisory staff
- 15 performing investment advisory functions
- Average account
- $330,040
- Asset growth, 1 year
- 93.2% (from $18.3 million a year earlier)
- Asset growth, 3-year annual rate
- 51.5% (from $10.2 million three years earlier)
- Asset growth, 5-year annual rate
- 17.5% (from $15.8 million five years earlier)
- Client growth, 1 year
- 41.2% (from 85)
Broker-dealer affiliated. The firm is itself a broker-dealer as well as an investment adviser (Form ADV Item 6.A(1)). It is ranked among all wealth firms, the directory's view that includes wirehouses and broker-dealer firms, not in the main lists of independent RIAs. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among all wealth firms, including wirehouses and broker-dealer firms.
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 2, 2017 | $693,500 |
| October 1, 2018 | $8.3 million |
| October 1, 2019 | $2.8 million |
| October 1, 2020 | $2.8 million |
| October 4, 2021 | $15.8 million |
| October 3, 2022 | $15.8 million |
| October 5, 2023 | $10.2 million |
| October 1, 2024 | $11.1 million |
| September 2, 2025 | $18.3 million |
| October 2, 2026 | $35.3 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| Individuals (other than high net worth) 86 clients | $30.1 million | |
| High net worth individuals 23 clients | $5.2 million |
How the firm is paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Commissions
- Other
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Pension consulting
- Selection of other advisers
Financial planning clients (Item 5.H): 51-100.
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Broker-dealer
- Insurance broker or agent
Financial industry affiliations (Item 7.A)
- Broker-dealer
- Insurance company or agency
Custody (Item 9)
The firm reported no custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 14
- Also registered through a broker-dealer
- 14
- Employees who are IARs (Form ADV 5.B(3))
- 16
Designations held by the firm's IARs: CFP 1, ChFC 1.
Between 5 and 14 of the firm's 14 IARs are registered in jurisdictions that require IAR CE. The source counts registrations by jurisdiction, and many IARs are registered in more than one, so the exact number is not knowable from it. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 2 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in North Carolina
| Firm | City | RAUM |
|---|---|---|
| Double Eagle Partners, LLC | Matthews | $36.1 million |
| Hicks Financial Partners, LLC | Southern Pines | $35.4 million |
| Vintage Asset Advisors, LLC | Not reported | $34.9 million |
| Endurance Financial LLC | Cary | $34.7 million |
| Park Wealth Management, LLC | Greensboro | $34.2 million |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- Supreme Alliance LLC on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.supremealliancellc.com
- Wealth management firms in North Carolina
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.