Alliant Securities, Inc.
- Regulatory AUM
- $300M
- Discretionary
- $235M
- Clients
- 711
- Avg AUM / client
- $422K
- Accounts
- 696
- Employees
- 9
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Feb 05, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 696 | $233M | 77.5% |
| High net worth individuals | 12 | $65.0M | 21.7% |
| Charitable organizations | 3 | $2.5M | 0.83% |
People (8)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Paul Douglas Kienbaum | Treasurer Ceo Co Cco Cfo | Oct 2000 (26y) | 50% – 75% | |
| Nord, Michael Odell | President Cfo Co Cco | Dec 2004 (22y) | 50% – 75% | |
| Jeffrey Myles Newton | Co Cco | Oct 2009 (17y) | Less than 5% | |
| Mann, Sally Sue | Secretary Cfo | Nov 2013 (13y) | Less than 5% | |
| John Grant Woodhead | Registered representative | Sep 2007 (19y) | ||
| Stephanie Marie Bates | Registered representative | Nov 2016 (10y) | ||
| Charles Willard Kienbaum | Registered representative | Nov 2021 (5y) | ||
| Canada M Anderson | Registered representative | Feb 2026 (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) | 02/05/2026 | 1.1 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: BOZARTH & TURNER SECURITIES, INC WAS IN VIOLATION OF ARTICLE III, SECTION I OF THE RULES OF FAIR PRACTICE IN FEBRUARY OF 1985. OUR RATIO EXCEEDED 15 TO 1 BECAUSE WE WERE REPORTING ON A TRADE DATE BASIS AND MOST OF OUR FAILS TO RECEIVE, SCHEDULE 4, SETTLED IN MARCH OF 1985. WE RECEIVED A LETTER FROM THE NASD, ORDER OF ACCEPTNACE OF ADMISSION WAIVER AND CONSENT, #SEA-369-AWC, DATED MARCH 11, 1986 ADVISING US OF THE FINE. $500.00 WAS PAID MARCH 13, 1986. Status: Final Sanction Detail: CENSURED AND FINED $500.00, J&S. Summary: BOZARTH & TURNER SECURITIES,INC CHANGED THEIR BOOKKEEPING PRACTICE FROM A TRADE DATE TO A SETTLEMENT DATE BASIS ON MARCH 1ST 1985.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Wells Fargo $109M (36% of AUM) Feb 2026
- Charles Schwab & Co. $45.8M (15% of AUM) Feb 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: Feb 05, 2026.
View current Form ADV (SEC/IAPD) ↗