AUMdb

Alight Financial Advisors, Llc

SEC-registered Broker-Dealer (Dually Registered) · Large ($10B–$100B) CRD 158744 · SEC file 801-72679 · Charlotte, NC · alightfs.com
☆ Save with Pro ADV data as of Mar 03, 2026
Regulatory AUM
$35.1B
Discretionary
$35.1B
Clients
195,957
Avg AUM / client
$179K
Accounts
195,957
Employees
70

AUM over time

$0 $35.1B
Dec 2011 Dec 2025

Annual snapshots from Form ADV filings · as of Mar 03, 2026

Asset allocation (SMA assets by investment type)

as of Mar 03, 2026
Registered investment companies (funds/ETFs)
$35.1B 100%

Share of SMA assets by investment vehicle type, as filed in Form ADV Item 5.K. Dollar figures are percentages applied to total regulatory AUM.

Who they serve

Client typeClientsAUM% of AUM
Individuals (non-high net worth) 195,957 $35.1B 100.0%

Retirement plan clients

Plans that reported this firm as an investment service provider on Form 5500 Schedule C.

Plan Location Plan year
Gsk 401(k) Plan Glaxosmithkline Llc 2024
Nokia Savings/401(k) Plan Nokia Of America Corporation 2024
Alight Solutions Llc 401(k) Plan (Fka Hewitt Associates Llc 401 K Plan) Alight Solutions Llc 2024
Genworth Financial Inc. Retirement And Savings Plan Genworth Financial, Inc 2024
American International Group, Inc. Incentive Savings Plan American International Group, Inc. 2024
Aig Insurance Company Puerto Rico Capital Growth Plan Aig Insurance Company Puerto Rico 2024
Nordstrom 401 K Plan Nordstrom, Inc. 2024
Caterpillar 401(k) Savings Plan Caterpillar Inc. 2024
J. C. Penney Corporation, Inc. Safe Harbor 401(k) Savings Plan Penney Opco, Llc 2024
Caterpillar Global Mining Legacy Hourly Employees' Savings Plan Caterpillar Inc. 2024
Upmc 403(b) Retirement Savings Plan Upmc 2024
Upmc 401(a) Retirement Savings Plan Upmc 2024
Allstate 401(k) Savings Plan The Allstate Corporation 2024
Caterpillar Rail Division Retirement Savings Plan For Collectively Bargained Employees Progress Rail Locomotive Inc. 2024
New York Life Insurance Company Agents Progress Sharing Investment Plan New York Life Insurance Company 2024
New York Life Insurance Company Employee Progress Sharing Investment Plan New York Life Insurance Company 2024
Solar Savings And Investment Plan Solar Turbines Incorporated 2024
Caterpillar Inc. Tax Deferred Retirement Plan Caterpillar Inc. 2024
General Mills 401(k) Plan General Mills, Inc. 2024
Westinghouse Electric Company Savings Plan Westinghouse Electric Company Llc 2024
The Home Depot Futurebuilder The Home Depot, Inc. 2024
The Home Depot Futurebuilder For Puerto Rico Home Depot Puerto Rico, Inc. 2024
Corebridge Financial, Inc. Retirement Savings 401(k) Plan Corebridge Financial, Inc. 2024
Haleon 401(k) Plan Haleon Us Holdings Llc 2024
Accenture United States 401(k) Match And Savings Plan Accenture Llp 2024
U.S. Bank 401(k) Savings Plan U.S. Bancorp 2024

People (65)

roster as of Jul 20, 2026
NameRole / titleCredentialsWith firm sinceOwnership
Jeremy Jason Fritz Chief Executive Officer / Managing Member Jan 2012 (15y) Less than 5%
Chotkowski, Matthew, Adam Chief Compliance Officer Feb 2014 (13y) Less than 5%
Robert Michael Norris Registered representative Nov 2011 (15y)
Paul Joseph Faulkner Registered representative Chartered Financial Consultant Jul 2012 (14y)
Zachary Daniel Ballard Registered representative Aug 2012 (14y)
Amanda Joan Cheng Registered representative Sep 2013 (13y)
Jeffrey Joel Barling Registered representative Jun 2014 (12y)
Ronald L Paulding Registered representative Aug 2014 (12y)
Kenje Miriam Mallot Registered representative Sep 2014 (12y)
Timothy Patrick Barry Registered representative Aug 2015 (11y)
Ingrid Lema Letzig Registered representative Jan 2016 (11y)
Robert Michael Vincic Registered representative Feb 2016 (10y)
Deborah Boyd Eberhart Wilkinson Registered representative Mar 2018 (8y)
Winfield Scott Evens Registered representative CFA Jul 2018 (8y)
Kelly Elizabeth Kubera Registered representative Nov 2018 (8y)
Joshua A Bauder Registered representative Jun 2019 (7y)
Jason Micheal De Long Registered representative Oct 2019 (7y)
Alisha Waters Registered representative Oct 2019 (7y)
Francis John Bradley Sams Registered representative CFP Nov 2019 (7y)
Jason Michael Roberts Registered representative Apr 2020 (6y)
Jeremy David Mccord Registered representative Jun 2020 (6y)
Stephen John Gerek Registered representative Jun 2021 (5y)
Allison Catherine Hall Registered representative CFP Aug 2021 (5y)
Amgad Magdy Yassa Registered representative Aug 2021 (5y)
Sally Jo Osborne Registered representative Jan 2022 (5y)
Jarrod Steven Means Registered representative Mar 2022 (4y)
Ibrahim Nicolas Mitias Registered representative Mar 2022 (4y)
Mary Kathleen Sterle Registered representative Mar 2022 (4y)
Sisi Ding Loudon Registered representative Apr 2022 (4y)
Jarret T Roberts Registered representative May 2022 (4y)
Trisel Y. Blau Registered representative May 2022 (4y)
Anthony Joseph Cafaro Registered representative Jun 2022 (4y)
Danielle Marie Brinkley Registered representative Jun 2022 (4y)
Sara Elizabeth Lyday Registered representative Aug 2022 (4y)
Ridgely Hunt Registered representative CFP Mar 2023 (3y)
Rebekah Ann Campbell Registered representative Mar 2023 (3y)
John Milton Curran Registered representative Apr 2023 (3y)
Jason Andrew Akers Registered representative Sep 2023 (3y)
Faith Goldman Rash Registered representative Oct 2023 (3y)
Evan Eugene Von Waldner Registered representative Jan 2024 (3y)
Beatrice Julie Rivard Registered representative Feb 2024 (2y)
Joseph Nielsen Registered representative Mar 2024 (2y)
Colleen Marie Etue Registered representative May 2024 (2y)
Matthew Wade Deemer Registered representative Jun 2024 (2y)
Holly Laraine Gennings Registered representative Jun 2024 (2y)
Michael E Keady Registered representative Jul 2024 (2y)
Benjamin M Delp Registered representative Chartered Financial Consultant Jul 2024 (2y)
Andre Dillon Le Boeuf Registered representative Jul 2024 (2y)
Robert Michael Bruzik Registered representative CFP Chartered Financial Consultant Aug 2024 (2y)
Ari Kandel Registered representative Sep 2024 (2y)
Justin Hayes Registered representative Mar 2025 (1y)
Nathaniel Clinton Packer Registered representative Apr 2025 (1y)
Kedisha Fleming Registered representative CFP Apr 2025 (1y)
Jonathan Michael Walls Registered representative Jul 2025 (1y)
Michael Armenini Registered representative Aug 2025 (1y)
Andrew Edwards Nelson Registered representative Aug 2025 (1y)
Dustin Morales Registered representative Aug 2025 (1y)
Mark Robert Vossler Registered representative Chartered Financial Consultant Sep 2025 (1y)
Ethan Lee Sartain Registered representative Oct 2025 (1y)
James Russell Registered representative CFP Chartered Financial Consultant Nov 2025 (1y)
Vinny Vinaayak Sanhai Registered representative Dec 2025 (1y)
Benjamin S Walulu Registered representative Feb 2026 (0y)
Michael James Phyillaier Registered representative Mar 2026 (0y)
Timothy Jason Sanford Registered representative Mar 2026 (0y)
Bryan Eugene Donaugh Registered representative CFP May 2026 (0y)

Entity owners (Schedule A/B)

EntityTitle / statusSinceSch.Ownership
Alight Solutions, Llc Owner May 2017 A 75% or more
Tempo Acquisition, Llc Sole Member May 2017 B ≈ 56.25% – 100% via Alight Solutions, Llc
Tempo Intermediate Holding Company Ii, Llc Sole Member May 2017 B ≈ 42.19% – 100% via Tempo Acquisition, Llc
Tempo Intermediate Holding Company I, Llc Sole Member May 2017 B ≈ 31.64% – 100% via Tempo Intermediate Holding Company Ii, Llc
Alight, Inc Owner Jul 2021 B ≈ 2.97% – 37.5% via Foley Trasimene Acquisition Corp
Foley Trasimene Acquisition Corp Owner Jul 2021 B ≈ 3.96% – 37.5% via Alight Holding Company, Llc
Alight Holding Company, Llc Sole Member May 2017 B ≈ 7.91% – 50% via Tempo Intermediate Holding Company I, Llc

Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.

Estimated effective ownership (look-through of filed bands):

  • Tempo Acquisition, Llc: 75% – 100% of Alight Solutions, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
  • Tempo Intermediate Holding Company Ii, Llc: 75% – 100% of Tempo Acquisition, Llc × 75% – 100% of Alight Solutions, Llc × 75% – 100% direct ≈ 42.19% – 100% of the firm
  • Tempo Intermediate Holding Company I, Llc: 75% – 100% of Tempo Intermediate Holding Company Ii, Llc × 75% – 100% of Tempo Acquisition, Llc × 75% – 100% of Alight Solutions, Llc × 75% – 100% direct ≈ 31.64% – 100% of the firm
  • Alight, Inc: 75% – 100% of Foley Trasimene Acquisition Corp × 50% – 75% of Alight Holding Company, Llc × 25% – 50% of Tempo Intermediate Holding Company I, Llc × 75% – 100% of Tempo Intermediate Holding Company Ii, Llc × 75% – 100% of Tempo Acquisition, Llc × 75% – 100% of Alight Solutions, Llc × 75% – 100% direct ≈ 2.97% – 37.5% of the firm
  • Foley Trasimene Acquisition Corp: 50% – 75% of Alight Holding Company, Llc × 25% – 50% of Tempo Intermediate Holding Company I, Llc × 75% – 100% of Tempo Intermediate Holding Company Ii, Llc × 75% – 100% of Tempo Acquisition, Llc × 75% – 100% of Alight Solutions, Llc × 75% – 100% direct ≈ 3.96% – 37.5% of the firm
  • Alight Holding Company, Llc: 25% – 50% of Tempo Intermediate Holding Company I, Llc × 75% – 100% of Tempo Intermediate Holding Company Ii, Llc × 75% – 100% of Tempo Acquisition, Llc × 75% – 100% of Alight Solutions, Llc × 75% – 100% direct ≈ 7.91% – 50% of the firm

Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.

Retirement plans served (26)

PlanSponsorParticipantsPlan assetsAs of
Gsk 401(k) Plan Glaxosmithkline Llc 12,254 $8.8B 01/01/2024
Nokia Savings/401(k) Plan Nokia Of America Corporation 6,331 $9.8B 01/01/2024
Alight Solutions Llc 401(k) Plan (Fka Hewitt Associates Llc 401 K Plan) Alight Solutions Llc 7,865 $2.5B 01/01/2024
Genworth Financial Inc. Retirement And Savings Plan Genworth Financial, Inc 2,802 $956M 01/01/2024
American International Group, Inc. Incentive Savings Plan American International Group, Inc. 5,072 $4.5B 01/01/2024
Aig Insurance Company Puerto Rico Capital Growth Plan Aig Insurance Company Puerto Rico 86 $16.7M 01/01/2024
Nordstrom 401 K Plan Nordstrom, Inc. 58,257 $4.3B 01/01/2024
Caterpillar 401(k) Savings Plan Caterpillar Inc. 44,489 $18.8B 01/01/2024
J. C. Penney Corporation, Inc. Safe Harbor 401(k) Savings Plan Penney Opco, Llc 43,488 $2.2B 01/01/2024
Caterpillar Global Mining Legacy Hourly Employees' Savings Plan Caterpillar Inc. 295 $51.5M 01/01/2024
Upmc 403(b) Retirement Savings Plan Upmc 79,337 $4.7B 01/01/2024
Upmc 401(a) Retirement Savings Plan Upmc 98,498 $4.9B 01/01/2024
Allstate 401(k) Savings Plan The Allstate Corporation 39,454 $7.6B 01/01/2024
Caterpillar Rail Division Retirement Savings Plan For Collectively Bargained Employees Progress Rail Locomotive Inc. 55 $16.9M 01/01/2024
New York Life Insurance Company Agents Progress Sharing Investment Plan New York Life Insurance Company 11,418 $1.2B 01/01/2024
New York Life Insurance Company Employee Progress Sharing Investment Plan New York Life Insurance Company 12,706 $5.0B 01/01/2024
Solar Savings And Investment Plan Solar Turbines Incorporated 1,516 $423M 01/01/2024
Caterpillar Inc. Tax Deferred Retirement Plan Caterpillar Inc. 6,852 $749M 01/01/2024
General Mills 401(k) Plan General Mills, Inc. 16,628 $5.0B 01/01/2024
Westinghouse Electric Company Savings Plan Westinghouse Electric Company Llc 12,540 $2.1B 01/01/2024
The Home Depot Futurebuilder The Home Depot, Inc. 391,522 $14.1B 01/01/2024
The Home Depot Futurebuilder For Puerto Rico Home Depot Puerto Rico, Inc. 3,026 $37.0M 01/01/2024
Corebridge Financial, Inc. Retirement Savings 401(k) Plan Corebridge Financial, Inc. 5,142 $2.8B 01/01/2024
Haleon 401(k) Plan Haleon Us Holdings Llc 2,508 $735M 01/01/2024
Accenture United States 401(k) Match And Savings Plan Accenture Llp 67,240 $21.3B 01/01/2024

Top 25 of 26 plans by assets.

From Form 5500 service-provider disclosures.

Documents (1 archived)

FormPeriodSize
Form ADV (full filing) 03/03/2026 1.21 MB View · PDF · Source ↗

Archived copies of the firm's regulatory filings, versioned by content hash.

Disciplinary disclosures

Regulatory · Item 11.E(2) as of Dec 17, 2024

Allegations: SEC RULES 15C3-1, 17A-3, 17A-5, FINRA RULES 2110, 3110(A) - APPLICANT USED THE MAILS OR OTHER MEANS OR INSTRUMENTALITIES OF INTERSTATE COMMERCE TO EFFECT TRANSACTIONS IN SECURITIES WHEN IT FAILED TO MAINTAIN SUFFICIENT NET CAPITAL. THE FINDINGS STATED THAT APPLICANT FAILED TO PREPARE ACCURATE BOOKS AND RECORDS BY PREPARING INACCURATE NET CAPITAL COMPUTATIONS AND BY IMPROPERLY CALCULATING APPLICANT'S LEVEL OF AVAILABLE CAPITAL AND AMOUNT OF AGGREGATE INDEBTEDNESS. THE FINDINGS ALSO STATED THAT APPLICANT FILED A FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT (FOCUS REPORT) PART II WHICH FAILED TO REPORT ACCURATE NET CAPITAL COMPUTATIONS AND FAILED TO ACCURATELY REPORT APPLICANT'S LEVEL OF CAPITAL AND AGGREGATE INDEBTEDNESS. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, APPLICANT CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, THEREFORE, APPLICANT WAS CENSURED AND FINED $8,500. DATE PAID: 1/16/2008. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, APPLICANT CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, THEREFORE, APPLICANT WAS CENSURED AND FINED $8,500. DATE PAID: 1/16/2008.

Regulatory · Item 11.D(2) as of Dec 17, 2024

Allegations: FAILED TO FILE NAME CHANGE DOCUMENTS REALTED TO NAME CHANGE FROM HEWITT SOLUTIONS Status: Final Sanction Detail: $500 FINE PAID BY APPLICANT, NO OTHER ACTION REQUIRED Summary: APPLICANT DID NOT FILE ENTIRE REQUIRED SET OF DOCUMENTS AS REQUIRED BY THE STATE AS PART OFOWNERSHIP AND NAME CHANGE IN 2019. $500 FINE WAS PAID AS A RESULT OF LATE FILING.

Disclosure text reproduced verbatim from the firm's own Form ADV filings.

How they charge

  • Percentage of assets under management
  • Fixed fees
  • Other fees
  • SET-UP FEES AND RELATED SERVICES

Services

  • Financial planning services
  • Portfolio management for individuals/small businesses
  • Educational seminars/workshops

Custody

Firm reports it does not have custody of client funds or securities (Item 9.A).

No custodian data reported or mined yet.

Source

All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 03, 2026.

View current Form ADV (SEC/IAPD) ↗