Charlotte, NC 3530 Toringdon Way Office
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Independent Advisor Alliance, LLC
Multi-team
Firm-wide stats for Independent Advisor Alliance, LLC
About
Independent Advisor Alliance (IAA) works with a broad mix of clients — individuals (including high‑net‑worth), small businesses, pooled vehicles, charitable organizations, and retirement plans — offering asset management on both wrap and non‑wrap bases, financial planning, wealth coaching, and retirement plan consulting (including ERISA 3(21) and 3(38) services). The firm also acts as a solicitor and refers clients to third‑party managers and turnkey platforms when appropriate.
IAA’s advisory representatives provide both discretionary and non‑discretionary portfolio management and may implement strategies using model portfolios, sub‑advisors, and a range of analytical techniques (fundamental, quantitative, technical, and modern portfolio theory). The firm leverages technology platforms (for example, a third‑party held‑away account platform and an estate‑planning platform) to aggregate assets, rebalance held‑away accounts, and deliver digital estate‑planning workflows alongside traditional planning and coaching.
Compared with many large peers, IAA combines a network model of several hundred advisory representatives operating under independent DBA names with uncommon industry ties: many IAA representatives are dually registered to perform brokerage services through LPL Financial (IAA is partly owned by LPL), and the firm offers access to a third‑party estate‑planning platform that can connect clients to local T&E attorneys. IAA is not structured as an affiliation of multiple independent registered investment advisers, instead relying on supervised IARs, sub‑advisors, and third‑party managers to deliver client services — a governance and referral model that investors should note.
Based on Independent Advisor Alliance, LLC
Expertise
Based on Independent Advisor Alliance, LLC
Location
3530 Toringdon Way, Suite 108
Charlotte NC 28277
Advisors at this office
5
Advisors at this office
Philip L
CFP®, Series 63, Series 66
Charlotte, NC
Independent Advisor Alliance, LLC
Philip Lee is a financial advisor with Independent Advisor Alliance, LLC, holding the CFP® designation and Series 63 and 66 licenses. He has 22 years of industry experience and has worked with LPL Financial LLC for the past 10 years. Independent Advisor Alliance serves a diverse client base including individuals, small businesses, charitable organizations, and retirement plans, providing asset management, financial planning, and retirement plan consulting. The firm combines a network of advisory representatives with access to various portfolio management strategies and technology platforms to support its services.
Taylor B
Series 66
Charlotte, NC
Independent Advisor Alliance, LLC
Taylor Bryant is a Series 66-licensed financial advisor with 15 years of industry experience. He is currently with Independent Advisor Alliance, LLC and has previously worked with Charlotte Wealth Management and LPL Financial. Bryant also provides administrative support to independent investment advisor firms in the Charlotte area. Independent Advisor Alliance serves a diverse client base including individuals, small businesses, charitable organizations, and retirement plans. The firm offers asset management, financial planning, and retirement plan consulting through a network of advisory representatives using a range of portfolio management strategies and technology platforms.
Chad P
Series 63, Series 65
Charlotte, NC
Independent Advisor Alliance, LLC
Chad Pannell is a financial advisor with Independent Advisor Alliance, LLC in Charlotte, NC, holding Series 63 and Series 65 credentials and bringing 26 years of industry experience. He has been affiliated with LPL Financial and Independent Advisor Alliance since 2016. Independent Advisor Alliance serves a diverse client base including individuals, small businesses, charitable organizations, and retirement plans, providing asset management, financial planning, and retirement consulting services. The firm utilizes a network model of independent advisory representatives and combines discretionary and non-discretionary portfolio management with technology platforms for account aggregation and estate planning.
Stuart G
CFP®, Series 63, Series 65
Charlotte, NC
Independent Advisor Alliance, LLC
Stuart Gardner Jr. is a CFP® professional with over 43 years of industry experience. He is currently with Independent Advisor Alliance, LLC and has held prior roles at Charlotte Wealth Management, LPL Financial, Securities America Advisors, Ameriprise Advisor Services, and Wells Fargo Clearing. Gardner is based in Charlotte, NC. Independent Advisor Alliance serves a diverse client base including individuals, small businesses, charitable organizations, and retirement plans, providing asset management, financial planning, wealth coaching, and retirement plan consulting through a combination of discretionary and non-discretionary portfolio management strategies. The firm integrates technology platforms and a network model that includes advisory representatives dually registered with LPL Financial.
John O
Series 63, Series 65
Charlotte, NC
Independent Advisor Alliance, LLC
John Osterberg is a financial advisor with Independent Advisor Alliance, LLC, holding Series 63 and Series 65 designations and over 32 years of industry experience. He has been with LPL Financial LLC and Independent Advisor Alliance since 2016. Independent Advisor Alliance serves a diverse client base including individuals, small businesses, pooled vehicles, charitable organizations, and retirement plans, offering asset management, financial planning, and retirement plan consulting. The firm utilizes both discretionary and non-discretionary management strategies, employs a range of analytical techniques, and leverages technology platforms for comprehensive wealth and estate planning services.
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