ALLY INVEST ADVISORS INC of CHARLOTTE, NC is an SEC-registered investment adviser (CRD 170301). Regulatory assets under management: $1.7B.
Compensation: % of AUM.
Clients served: Individuals, High net worth.
| Name | Role | Location |
|---|---|---|
| Martin Michael | CHIEF FINANCIAL OFFICER | Los Angeles, CA |
| Gerald Krager | CHIEF COMPLIANCE OFFICER | Southlake, TX |
| Alex Michael Martin | CHIEF FINANCIAL OFFICER | — |
| Miteshkumar D Patel | PRESIDENT | — |
| Loretta Ballard Spangard | DIRECTOR | — |
| HAGEN DANIEL JOHN | CHIEF EXECUTIVE OFFICER/PRESIDENT | — |
| DESMOND THOMAS ALBERT | CHIEF FINANCIAL OFFICER/SECRETARY; INTERIM EXECUTIVE DIRECTOR | — |
| CHIODO MICHAEL J | VICE PRESIDENT; VICE PRESIDENT OF FINANCE | — |
| DONOVAN ROBERTO ETTORE | CHIEF COMPLIANCE OFFICER | — |
| DUSSEAULT DAVID STANLEY | CHIEF COMPLIANCE OFFICER; PRESIDENT; VICE PRESIDENT | — |
| MONTANARO DONATO ANTHONY | CHAIRMAN OF THE BOARD | — |
| PATEL KARTIKEY D | INTERIM EXECUTIVE DIRECTOR; PRESIDENT | — |
| CLAXTON PHILIP ANDREW | CHIEF COMPLIANCE OFFICER | — |
| CIERO JESSICA MEI-LING BELOIN | CHIEF COMPLIANCE OFFICER | — |
| PINKSTON CRAIG WYLIE | CHIEF COMPLIANCE OFFICER | — |
| Flynn Jennifer Upchurch | EXECUTIVE DIRECTOR | — |
| Armstrong Kevin James | CHIEF COMPLIANCE OFFICER | — |
| Bell Lindsey Catherine | PRESIDENT | — |
| Krager Gerald | CHIEF COMPLIANCE OFFICER | — |
| Spangard Loretta Ballard | DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2026-03-23 | regulatory | THE SEC FOUND THAT THE FIRM FAILED TO: (1) FULLY AND FAIRLY DISCLOSE MATERIAL FACTS, INCLUDING ITS CONFLICT OF INTEREST, CONCERNING ITS SELECTION OF A THIRTY PERCENT CASH ALLOCATION FOR ITS NO-ADVISORY-FEE CASH-ENHANCED "ROBO-ADVISOR" ACCOUNTS; AND (2) ACCURATELY DISCLOSE THE APPLICATION OF ITS STAT… | Final | $500K |