ARK Alliance Financial LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Ark Alliance Financial provides discretionary and non‑discretionary investment management, financial planning, and consulting to individuals, high‑net‑worth clients, trusts, estates, corporations and charitable organizations. The firm acts as a fiduciary for retirement accounts and coordinates with clients’ tax and estate professionals when delivering planning and implementation services.
Investment advice is delivered around an asset‑allocation framework that emphasizes diversification, periodic rebalancing, and risk‑aware use of mutual funds, ETFs and, when appropriate, individual securities. The firm cites fundamental analysis, modern portfolio theory and cyclical analysis as inputs and incorporates tax‑sensitive planning and goal‑based work (including social security timing and charitable giving strategies) into recommendations.
Compared with many peers, Ark Alliance Financial explicitly serves charitable organizations and embeds charitable‑giving options (for example, donor‑advised funds and strategic RMD gifting) into its services, a client segment that is relatively uncommon among independent advisory firms. The firm operates with a compact advisory team while relying on institutional custody and reporting arrangements (it generally recommends Fidelity as custodian and uses Tamarac/Envestnet reporting), an operational model intended to combine small‑firm attention with institutional back‑office capabilities.
Client services
Expertise
Occupation focus
Demographic focus
Fee options
$0 - $250,000: 1.25% $250,001 - $750,000: 1.00% $750,001 - $1,500,000: 0.85% $1,500,001 - $3,000,000: 0.75% $3,000,001 - $5,000,000: 0.65% $5,000,001+: 0.50%
$300 per hour for financial planning and consulting services when provided as stand-alone
Fee-only: Financial planning and consulting services charged on hourly basis at $300 per hour when stand-alone (no investment management)
Offices (1)
Most active in
Texas
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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