No.of Employees

100-499

CRD#

2075689

Firm CRD#

468

Insurance License#

0798553

Name of Broker/Dealer

Royal Alliance Associates, Inc.

Name of Custodial Firm

Charles Schwab & Fidelity

States Licensed in

CA

Years of Experience in Financial Services

29

Number of Years with Current Firm

29

Work with the following types of clients

Businesses, Individual Investors

Registered Investment Advisor

Yes

Registered Representative

Yes

Acknowledged fiduciary

Yes

Compliance Disclosures in Last 5 years

Have a clean record

Criminal Disclosures in Last 5 years

Have a clean record

Certifications, Accreditations & Designations

CFP^®, CERTIFIED FINANCIAL PLANNER" Certificant

Securities Licenses

Series 63, Series 24, Series 22, Series 7, Series 6

Insurance and Annuity Licenses

Disability, Health, Life, Long Term Care, Variable Annuity, Variable Life, Annuity

Financial Organization Memberships

Provisors

Firm's Number of Clients

1500

Assets Managed by Firm

$9.4 Billion

Advisor's Number of Managed Clients

200

Assets Managed by Advisor

$583,000,000

Fee Structure

Fee-Based

Minimum Portfolio Size for New Managed Accounts

$500,000

Fee % Based on Assets

.75%- 1%

Additional Details on Charges

The actual fee for any portfolio is negotiated based on the unique objectives of each client, the complexity of the investment plan, the types of assets held in the account, and other factors.

Minimum Fee Charged for Managed Accounts

$3,500

Securities Offered through Signator Investors, Inc., Member FINRA, SIPC

2121 Avenue of the Stars, Suite 1600, Los Angeles, CA 90067 (310) 712-2323.

SEIA, LLC and its investment advisory services are offered independent of Signator Investors, Inc., and any subsidiaries or affiliates.