Investment adviser · CRD 137888

FIRST ALLIED ADVISORY SERVICES, INC.

Investment adviser filing (IA)

SAN DIEGO, CA, United States · Form ADV filed Nov 16, 2020

Regulatory AUM: $7B
Client accounts: 29,608
Employees: 564
Advisory professionals: 510

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
Individuals	24,347	$3,987,794,537	57.0%
High-net-worth individuals	4,788	$2,696,027,854	38.5%
Corporations & businesses	263	$212,191,157	3.0%
Retirement plans	201	$101,194,410	1.4%
Charities	9	$3,129,627	0.0%
Banks & thrifts	Fewer than 5	Not reported	Not reported
Government entities	Fewer than 5	Not reported	Not reported
Other investment advisers	Fewer than 5	Not reported	Not reported
Insurance companies	Fewer than 5	Not reported	Not reported
Sovereign wealth & foreign institutions	Fewer than 5	Not reported	Not reported

Filing source

Form ADV 1468002 · Nov 16, 2020 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

0 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

This filing answers No to private funds.

Services & filing details

Most recent filing: Nov 16, 2020. View historical filings

Reported services

Financial planning · Individual portfolio management · Business portfolio management · Pension consulting · Selection of other advisers · Educational seminars

Compensation

Percentage of assets · Hourly · Fixed · Commissions

Principal office

655 W. BROADWAY, 12TH FLOOR
SAN DIEGO, CA, 92101, United States

CRD 137888

Filing source

Form ADV 1468002 · Nov 16, 2020 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.