Alley Company
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$844,508,147
Clients
161
Advisors
5
of 9 employees
About
Alley Investment Management Company is an SEC‑registered adviser that primarily serves high‑net‑worth individuals, family offices, and institutions, offering discretionary separate‑account portfolio management centered on U.S. large‑cap equities as well as fixed income and ETFs. The firm also provides sub‑advisory and model portfolio services, acts as a model manager for wrap‑fee sponsors, and serves as a fiduciary for retirement accounts and IRAs.
Alley’s investment approach is organized around three flagship equity strategies — Core, Dividend, and Hybrid — using fundamental analysis and ETFs to construct tax‑efficient, low‑turnover asset‑allocation programs; the firm may employ covered‑call option strategies and, in some cases, margin leverage in separately managed accounts. Alley uses third‑party vendors and platforms (including uploading models to Envestnet), conducts frequent account reviews, and delivers quarterly reporting and periodic client meetings.
The brochure highlights several uncommon features for a firm of its size: Alley is an indirect, wholly‑owned subsidiary of Focus Financial Partners and discloses affiliated arrangements with SCS Capital Management (offering private pooled investment vehicles to certain clients) and Focus Risk Solutions (introducing clients to insurance placement and noting platform fees flow to Focus). It also discloses promoter and referral arrangements (e.g., Bernardi Securities and Bernardi Asset Management), reports $4.7 billion in Unified Managed Account program assets versus about $907 million in discretionary AUM, and explicitly notes the use of derivatives and borrowing in some client accounts — all items the firm identifies as potential conflicts and describes steps to mitigate through disclosure and nondiscretionary offerings.
Client services
Expertise
Occupation focus
Fee options
$0 - $5,000,000: 1.00% annually Above $5,000,000+: 0.80% annually
Account minimum: $2,000,000 Fee-only: Asset-based fee only; no commissions accepted.
Main office
272 Market Square, Suite 214
Lake Forest IL 60045
Advisors at this office
5
Most active in
Arizona · Florida · Illinois · Minnesota
Also doing business as
Alley Company · Alley Investment Management Company, LLC
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Lawyer
They provide legal services, typically billed separately.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Is not active or affiliated with:
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
Quick links
Advisors at this firm
Rik D
CFA®, Series 63
Lake Forest, IL
Alley Company
Rik Duryea is a CFA® charterholder with 14 years of industry experience. He is currently with Alley Company, where he has worked since 2005, including its affiliate Alley Investment Management Company since 2022. The firm provides discretionary portfolio management primarily for high-net-worth individuals, institutions, foundations, and family offices. Alley Investment Management emphasizes a tax-conscious, long-term large-cap equity approach with low turnover, incorporating ETFs, options strategies, and customized asset allocation.
Thomas V
CFA®, Series 63
Lake Forest, IL
Alley Company
Thomas Van Vuren is a CFA® charterholder with 11 years of experience in the financial industry. He has worked at Alley Company, LLC from 2014 to 2021 and currently serves at Alley Investment Management Company since 2022. Alley Investment Management Company provides discretionary separate-account portfolio management primarily for high-net-worth individuals, institutions, foundations, and family offices. The firm focuses on a tax-conscious, long-term large-cap equity approach with low turnover and uses ETFs, options, and margin as appropriate to meet client objectives.
Steven A
Series 63, Series 65
Lake Forest, IL
Alley Company
Steven Alley is a financial advisor with Alley Company, holding Series 63 and Series 65 credentials and 12 years of industry experience. He has worked at Alley Investment Management Company since 2022 and previously at Alley Company from 1998 to 2021. Alley Investment Management Company provides discretionary separate-account portfolio management for high-net-worth individuals, institutions, foundations, and family offices. The firm focuses on tax-conscious, long-term large-cap equity strategies with low turnover, incorporating ETFs, options, and margin as appropriate, and offers customized asset allocation and sub-advisory services.
Justin S
Series 63, Series 65
Lake Forest, IL
Alley Company
Justin Stender is a financial advisor at Alley Company with 24 years of industry experience. He holds Series 63 and Series 65 licenses and previously worked for Morningstar Investment Services, Inc. for 24 years before joining Alley Company. Alley Investment Management Company provides discretionary separate-account portfolio management primarily for high-net-worth individuals, institutions, foundations, and family offices. The firm focuses on tax-conscious, long-term large-cap equity strategies combined with customized asset-allocation programs, utilizing ETFs, options, and margin where appropriate.
Ronald D
CFA®
Lake Forest, IL
Alley Company
Ronald D'ancona is a CFA® charterholder with two years of industry experience, currently serving as an advisor at Alley Company. His prior work includes positions at Morningstar Inc. and Constellation Software. Alley Investment Management Company provides discretionary separate-account portfolio management primarily for high-net-worth individuals, institutions, foundations, and family offices. The firm focuses on a tax-conscious, long-term large-cap equity approach with low turnover, utilizing ETFs and occasionally options and margin, and offers customized asset allocation and sub-advisory services.
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