NA
Neo Alliance Llc
State-registered
Institutional / Pension Advisor · Boutique (under $100M)
CRD 329395
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ADV data as of Mar 10, 2026
- Regulatory AUM
- $12.0M
- Discretionary
- $3.8M
- Clients
- 4
- Avg AUM / client
- $3.0M
- Accounts
- 4
- Employees
- 4
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 3 | $3.8M | 31.8% |
| Pension and profit sharing plans | 1 | $8.2M | 68.2% |
People (2)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Alfredo Oliva | Registered representative | Nov 2024 (2y) | ||
| Alfredo Oliva | Registered representative | CFP | Aug 2025 (1y) |
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) | 03/10/2026 | 1.11 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
- • Other fees
- • CONSULTING FEES
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
- • Other services
Custody
Reported custodians
- Vanguard Marketing Corporation $8.2M (68% of AUM) Mar 2026
- Charles Schwab & Co. $3.8M (32% of AUM) Mar 2026
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 10, 2026.
View current Form ADV (SEC/IAPD) ↗