Alm First Financial Advisors LLC (Dallas)


Alm First Financial Advisors LLC is a large advisory firm based in Dallas. It manages $18.81 billion of regulatory assets for 117 client accounts. It has been registered with the SEC as an adviser since 2001.

Alm First Financial Advisors provides portfolio management for investment companies, portfolio management for businesses and institutional clients, and educational seminars and workshops. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Alm First Financial Advisors: assets under management

The assets under management (AUM) of Alm First Financial Advisors LLC is $18.81 billion. The firm's AUM has grown by 152% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $1.63 billion in discretionary accounts and $17.19 billion in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $90.32 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $173.62 million.

Investments

The firm invests in government bonds the most. They account for 85% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 4% of the firm’s portfolio. Investments in derivatives form 4% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Alm First Financial Advisors LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Alm First Financial Advisors serves?

The firm provides services to investment companies, banking or thrift institutions, and corporations or other businesses. The largest group of clients of Alm First Financial Advisors is banking or thrift institutions with 103 clients and $18.05 billion of assets under management. Among the 11 most similar advisory firms, Alm First Financial Advisors has the highest percentage of banking or thrift institutions out of all clients.

The amount of regulatory assets under management is $18.81 billion for 107 clients. None of the firm’s clients are foreign persons or businesses.

Alm First Financial Advisors doesn't advise any private funds.

Careers at Alm First Financial Advisors LLC

The company employs 8 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Emily More Hollis Managing partner 1 Jul 2001 25% - 50% 1401084
Thomas Williams Manley Managing director 1 Jul 2001 Other 1645178
Eastern Corporate Federal Credit Union Unit holder 1 Jul 2001 75% - 100% 04-2658574
Sharon Lapham Criswell Chief compliance officer 1 Oct 2004 Other 4928847
Angela Copeland Calvert Executive director 1 Jan 2005 Other 2568678
Western Corporate Federal Credit Union Unit holder 1 Jun 2006 Other 95-4576487
Kevin Scott Kirksey Chief compliance officer 1 Dec 2012 Other 6151959
Travis Eugene Goodman Managing director 1 Jun 2013 Other 6590232
Michael Eddon Ensweiler Managing director 1 Jun 2013 Other 5488284
Robert Perry Managing director 1 Jun 2013 Other 2020796
Llc Rambler Ventures Director 1 Nov 2015 Other xxx-xx-xxxx
Llc Platform Alm Holdings Director 1 Nov 2015 25% - 50% 30-0886406

Indirect Owners

The SEC currently registers 2 indirect owners.

Name Entity Date acquired Ownership Employer ID
John Arthur Graf Director 1 Nov 2015 Other 1010354
Frederick Walter Brazelton Director 1 Nov 2015 25% - 50% 5513251

Based in Dallas

The principal office where Alm First Financial Advisors LLC performs its advisory services is located at 2911 Turtle Creek Boulevard, Dallas, TX 75219, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 214-987-0860 or by fax 214-987-1052. The normal business hours are 8-5 on Monday - Friday. You can find more information about the New York firm at almfirst.com.

Registered investment advisers similar to Alm First Financial Advisors LLC