Alley Investment Management Company, Llc
SEC-registered
Wealth Manager · Small ($100M–$1B)
CRD 317544
· SEC file 801-122856
· Lake Forest, IL
· www.linkedin.com
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ADV data as of Mar 30, 2026
- Regulatory AUM
- $907M
- Discretionary
- $907M
- Clients
- 170
- Avg AUM / client
- $5.3M
- Accounts
- 486
- Employees
- 9
AUM over time
$0
$907M
Nov 11, 2021
Mar 30, 2026
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 30, 2026
Investments (13F portfolio — 85 positions, $821,031,552)
13F period Mar 31, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Alphabet Inc | CAP STK CL A | $32,459,485 | 112,879 | 3.95% | 3.58% |
| 2 | Jpmorgan Chase & Co | COM | $32,284,942 | 109,753 | 3.93% | 3.56% |
| 3 | Apple Inc | COM | $30,994,504 | 122,127 | 3.78% | 3.42% |
| 4 | Philip Morris Intl Inc | COM | $27,293,191 | 165,073 | 3.32% | 3.01% |
| 5 | Chevron Corporation | COM | $26,103,745 | 126,166 | 3.18% | 2.88% |
| 6 | Microsoft Corp | COM | $24,702,925 | 66,734 | 3.01% | 2.72% |
| 7 | Abbvie Inc | COM | $24,419,560 | 112,279 | 2.97% | 2.69% |
| 8 | Ishares Tr | IBOXX INV CP ETF | $21,966,499 | 201,546 | 2.68% | 2.42% |
| 9 | Costco Wholesale Corporation | COM | $21,238,972 | 21,315 | 2.59% | 2.34% |
| 10 | Union Pac Corp | COM | $20,673,650 | 85,210 | 2.52% | 2.28% |
| 11 | Ishares Tr | ISHS 1-5YR INVS | $19,313,067 | 367,448 | 2.35% | 2.13% |
| 12 | Amazon Com Inc | COM | $18,883,216 | 90,667 | 2.3% | 2.08% |
| 13 | Blackrock Inc | COM | $18,745,651 | 19,492 | 2.28% | 2.07% |
| 14 | Paychex Inc | COM | $18,502,026 | 200,847 | 2.25% | 2.04% |
| 15 | Nvidia Corporation | COM | $18,193,600 | 104,321 | 2.22% | 2.01% |
| 16 | Home Depot Inc | COM | $17,872,540 | 54,342 | 2.18% | 1.97% |
| 17 | Lockheed Martin Corp | COM | $16,546,989 | 27,378 | 2.02% | 1.82% |
| 18 | Eaton Corp Plc | SHS | $16,358,037 | 45,735 | 1.99% | 1.8% |
| 19 | Parker Hannifin Corp | COM | $16,279,939 | 18,185 | 1.98% | 1.79% |
| 20 | Mastercard Incorporated | CL A | $15,548,420 | 31,118 | 1.89% | 1.71% |
| 21 | Abbott Laboratories | COM | $15,206,160 | 148,107 | 1.85% | 1.68% |
| 22 | Vanguard Bd Index Fds | TOTAL BND MRKT | $14,869,610 | 201,923 | 1.81% | 1.64% |
| 23 | Prologis Inc. | COM | $14,759,351 | 111,661 | 1.8% | 1.63% |
| 24 | Intuit | COM | $14,301,401 | 33,076 | 1.74% | 1.58% |
| 25 | Ishares Tr | NATIONAL MUN ETF | $14,228,240 | 134,039 | 1.73% | 1.57% |
Top 25 of 85 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 36 | $14.1M | 1.56% |
| High net worth individuals | 125 | $830M | 91.5% |
| Charitable organizations | 3 | $19.9M | 2.2% |
| Corporations and other businesses | 6 | $42.7M | 4.71% |
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Rik Willis Duryea | Managing Director | CFA | Nov 2021 (5y) | Less than 5% |
| Steven James Alley | President & Founder | Nov 2021 (5y) | Less than 5% | |
| Thomas Fisher Van Vuren | Managing Director | CFA | Nov 2021 (5y) | Less than 5% |
| Ambrosini, Stacy, Carol | Chief Compliance Officer | Mar 2024 (2y) | Less than 5% | |
| Ronald James D'ancona | Registered representative | CFA | Oct 2023 (3y) | |
| Justin Ryan Stender | Registered representative | Aug 2025 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Focus Operating, Llc | Member (Manager) | Nov 2021 | A | 75% or more |
| Focus Financial Partners, Llc | Member | Jan 2007 | B | ≈ 56.25% – 100% via Focus Operating, Llc |
| Focus Financial Partners Inc. | Member | Jul 2018 | B | ≈ 42.19% – 100% via Focus Financial Partners, Llc |
| Ferdinand Ffp Acquisition, Llc | Shareholder, Class A Common Stock | Aug 2023 | B | ≈ 31.64% – 100% via Focus Financial Partners Inc. |
| Ferdinand Ffp Ultimate Holdings, Lp | Shareholder, Class B Common Stock | Aug 2023 | B | ≈ 31.64% – 100% via Focus Financial Partners Inc. |
| Ferdinand Ffp Intermediate Holdings, Llc | Member | Aug 2023 | B | ≈ 23.73% – 100% via Ferdinand Ffp Acquisition, Llc |
| Ferdinand Ffp Parent, Inc. | Member | Aug 2023 | B | ≈ 17.8% – 100% via Ferdinand Ffp Intermediate Holdings, Llc |
| Cd&R Ferdinand Holdings, L.P. | Partner | Aug 2023 | B | ≈ 15.82% – 75% via Ferdinand Ffp Ultimate Holdings, Lp |
| Clayton, Dubilier & Rice Fund Xii, L.P. | Partner | Aug 2023 | B | ≈ 7.91% – 56.25% via Cd&R Ferdinand Holdings, L.P. |
| Cd&R Ferdinand Co Investor, L.P. | Partner | Aug 2023 | B | ≈ 3.96% – 37.5% via Cd&R Ferdinand Holdings, L.P. |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Focus Financial Partners, Llc: 75% – 100% of Focus Operating, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Focus Financial Partners Inc.: 75% – 100% of Focus Financial Partners, Llc × 75% – 100% of Focus Operating, Llc × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Ferdinand Ffp Acquisition, Llc: 75% – 100% of Focus Financial Partners Inc. × 75% – 100% of Focus Financial Partners, Llc × 75% – 100% of Focus Operating, Llc × 75% – 100% direct ≈ 31.64% – 100% of the firm
- Ferdinand Ffp Ultimate Holdings, Lp: 75% – 100% of Focus Financial Partners Inc. × 75% – 100% of Focus Financial Partners, Llc × 75% – 100% of Focus Operating, Llc × 75% – 100% direct ≈ 31.64% – 100% of the firm
- Ferdinand Ffp Intermediate Holdings, Llc: 75% – 100% of Ferdinand Ffp Acquisition, Llc × 75% – 100% of Focus Financial Partners Inc. × 75% – 100% of Focus Financial Partners, Llc × 75% – 100% of Focus Operating, Llc × 75% – 100% direct ≈ 23.73% – 100% of the firm
- Ferdinand Ffp Parent, Inc.: 75% – 100% of Ferdinand Ffp Intermediate Holdings, Llc × 75% – 100% of Ferdinand Ffp Acquisition, Llc × 75% – 100% of Focus Financial Partners Inc. × 75% – 100% of Focus Financial Partners, Llc × 75% – 100% of Focus Operating, Llc × 75% – 100% direct ≈ 17.8% – 100% of the firm
- Cd&R Ferdinand Holdings, L.P.: 50% – 75% of Ferdinand Ffp Ultimate Holdings, Lp × 75% – 100% of Focus Financial Partners Inc. × 75% – 100% of Focus Financial Partners, Llc × 75% – 100% of Focus Operating, Llc × 75% – 100% direct ≈ 15.82% – 75% of the firm
- Clayton, Dubilier & Rice Fund Xii, L.P.: 50% – 75% of Cd&R Ferdinand Holdings, L.P. × 50% – 75% of Ferdinand Ffp Ultimate Holdings, Lp × 75% – 100% of Focus Financial Partners Inc. × 75% – 100% of Focus Financial Partners, Llc × 75% – 100% of Focus Operating, Llc × 75% – 100% direct ≈ 7.91% – 56.25% of the firm
- Cd&R Ferdinand Co Investor, L.P.: 25% – 50% of Cd&R Ferdinand Holdings, L.P. × 50% – 75% of Ferdinand Ffp Ultimate Holdings, Lp × 75% – 100% of Focus Financial Partners Inc. × 75% – 100% of Focus Financial Partners, Llc × 75% – 100% of Focus Operating, Llc × 75% – 100% direct ≈ 3.96% – 37.5% 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.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/30/2026 | 1.09 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $803M (89% of AUM) Mar 2026
- Pershing $92.2M (12% of AUM) Jan 2025
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 30, 2026.
View current Form ADV (SEC/IAPD) ↗