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SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C.

NICHOLASVILLE, KY · CRD 125147 · IAPD ↗ · 859-223-6333

$813.0MRegulatory AUM
3Advisory reps
14Employees
0Clients
51-100Planning clients
0Private funds
11States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

63
April 2026 — SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C. reported RAUM up 26% ($516.9M -> $653.6M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
70
December 2025 — SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C. crossed $500M in regulatory AUM ($406.1M -> $516.9M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting
45
April 2025 — SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C. notice-filed in CO.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
51
April 2024 — SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C. notice-filed in AL, PA, UT, VA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
63
April 2024 — SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C. reported RAUM up 28% ($227.9M -> $292.8M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.