Professional Alliance Associates, LLC

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Client assets under management

Clients

0% high-net-worth

Advisors

of 2 employees

Firm type

Supported

1-4 advisors or >$200M in AUM

Clients per advisor

Very Low

Average account size

About

Professional Alliance Associates, LLC does not provide investment advice or manage client assets directly; the firm receives fees from other investment management firms under fee‑splitting arrangements. The brochure states the firm has operated since 2002 and that it does not custody client assets or accept discretionary authority to manage securities.

The firm does not offer portfolio management, does not describe any investment methods or strategies, and does not charge percentage‑of‑AUM fees — its revenue is derived solely from fee‑sharing with third‑party managers. It also does not review client accounts or vote client securities, reflecting an operational role distinct from hands‑on asset management.

Compared with most supported advisory firms, Professional Alliance Associates is notable for its operational focus and its principals’ professional background: both owners are full‑time Certified Public Accountants. Rather than maintaining direct relationships with individual or high‑net‑worth clients, the firm’s activities are structured around referrals and contractual fee arrangements with firms that manage client assets.

Client services

Selection of other advisers

Occupation focus

Financial Professional

Main office location

Professional Alliance Associates, LLC

141 Durham Rd, Suite 14

Madison CT 06443, United States

Number of offices

Most active in

Connecticut

Disclosures

Business activities & affiliations

Is active or affiliated with:

Accountant / CPA / tax prep

They offer tax and accounting services, typically for separate fees.

Is not 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.

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.

Fund sponsor

They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.

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.

Forms ADV

Form ADV Part 2: Client Brochure

Quick links

203-245-9264

Advisors at this firm

John S

Series 65

Madison, CT

Professional Alliance Associates, LLC

John Shaw is a Series 65-licensed financial advisor with 23 years of industry experience. He has been with Professional Alliance Associates, LLC since 2002 and concurrently serves as a full-time CPA and officer at Mason DiMarco and Shaw PC, a certified public accounting firm where he has worked since 1992. Professional Alliance Associates, LLC operates through fee‑sharing arrangements with other investment management firms and does not provide direct investment advice, manage client assets, or maintain discretionary authority. The firm focuses on operational support rather than hands-on asset management.

Financial Professional

Robert D

Series 65

Madison, CT

Professional Alliance Associates, LLC

Robert Dimarco is a Series 65-licensed financial advisor with 23 years of industry experience. He has been with Professional Alliance Associates, LLC since 2002 and is also a full-time Certified Public Accountant and officer at Mason, DiMarco & Shaw, PC, where he has worked since 1984. Professional Alliance Associates, LLC operates on a fee‑splitting basis with other investment management firms and does not provide direct investment advice or manage client assets. The firm focuses on operational support rather than portfolio management or client account oversight.

Financial Professional

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