ALLEY INVESTMENT MANAGEMENT COMPANY, LLC

B55
CRD 317544·SEC 801-122856·LAKE FOREST, IL
AUM
$907.2M
$500M-$1B
Est. Revenue
$9.1M
@ 1% on AUM
Est. EBITDA
$2.7M
@ 30% margin
Est. Deal Value
$21.8M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
ALLEY INVESTMENT MANAGEMENT COMPANY, LLC
CRD
317544
SEC file #
801-122856
EIN
873357150
DBA names
Alley Company

Economics

AUM
$907.2M
AUM band
$500M-$1B
AUM trajectory
'22'26
$780.0M → $907.2M▲ +16%
Client mix
Individuals High Net Worth125
Individuals Other36
Corporations6
Charitable Organizations3

Operations

Employees (total)
9
Advisory staff (per ADV)
5
Advisory staff (5-yr trend)
'22'26
3 advisors → 5 advisors▲ +67%
Primary office
LAKE FOREST IL
Branches

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Portfolio mgmt — individualsPortfolio mgmt — businessesSelection of other advisersOther Advisory Services
Fee basis
% of AUM

Filings

Latest ADV filing
03/30/2026
ADV-W filed at

Compliance

Disclosures (firm)
0
Trademark
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
FOCUS OPERATING, LLC
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
5
Control Persons
FOCUS OPERATING, LLC
ALLEY, STEVEN, JAMES
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
fallback_guess:alley.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001917618
Edgar Registered
Yes
Edgar Filing Count
19
Edgar First Filing Date
2022-05-10
Edgar Last Filing Date
2026-04-24
Edgar 13f Count
17
Edgar 13f Latest AUM Estimate
Filing Date2026-04-24
Accession0001917618-26-000002

Compliance & brand

Firm Registration Status
active

All other collected signals (11)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
5
Bc Firm IAR Count
5
Custodian Candidates
Full
Charles Schwab6
E*trade4
Edgar Addresses
Mailing
272 MARKET SQUARESUITE 214LAKE FOREST, IL 60045
Business
272 MARKET SQUARESUITE 214LAKE FOREST, IL 60045
Edgar EIN
873357150
Edgar Recent Filings
13F-HR2026-04-24 · 0001917618-26-000002
13F-HR2026-01-27 · 0001917618-26-000001
Firm Has Custody
Yes
Mailing Office Differs
No
Trust Company Affiliate
Yes