Overview
A. Business Commencement Date
Allié was organized in September of 2019 to offer investment management services.
B. Ownership
Mr. Bruno Ghio is the sole member of Allié.
C. Services
DISCRETIONARY ACCOUNTS. We offer discretionary investment management services to our
advisory clients. Clients will be asked to provide us with certain information with respect to their
current financial holdings, investment objectives, risk tolerance, liquidity needs, and time horizon.
We will also inquire as to the restrictions the client wishes to impose on the management of the
accounts. From the information that is supplied by the client, we will recommend an allocation
mix and investment strategy that we believe is suitable for that client. We will actively manage the
discretionary account on an ongoing basis in accordance with the account’s investment objective(s).
For a discretionary account, we would have the authority to buy and sell securities in the account
without having to obtain the client’s consent prior to each transaction.
LIMITED DISCRETIONARY ACCOUNTS. We also offer limited-discretionary advisory
services. These services are tailored to the client’s needs. Clients are asked to provide the Firm
with information regarding their financial profile and any restrictions the client wishes to impose
on the management of the accounts. For these limited discretionary accounts, we will recommend
an investment strategy, allocation mix, or changes to the client's existing portfolio that we believe
is suitable for that client. The Firm has an ongoing responsibility to make recommendations to the
client based upon the client's financial and investment profile. We do not buy or sell securities in
the account unless the client approves of the recommendation. Upon approval of a
recommendation, we will arrange for effecting the securities transaction(s) recommended.
RECOMMENDATION SERVICES. We provide
investment advice and portfolio analyses and/or
recommendations to clients on an ongoing basis. Recommendations may cover not only the
accounts owned directly by the client but also accounts of entities owned, beneficially or otherwise,
by the client. The client implements recommendations as the client deems appropriate and arranges
for those transactions.
CONSULTING. We identify potential estate planning and/or related issues and arrange for certain
third-party legal, accounting, trust, and/or tax professionals to prepare and/or review certain
documents and/or provide certain services to help protect the client against legal, financial or tax
liability exposure. The third parties are not our agents. Unless otherwise agreed, we do not have
an ongoing responsibility to make recommendations to the client. We also do not have the
responsibility to arrange any securities transaction but will arrange transactions upon the client's
specific instruction to do so.
INVESTMENT PRODUCT TYPES. The primary investment vehicles in which client accounts
are invested are mutual funds and exchange-traded funds (“ETFs”). Occasionally, and based on
the needs and objectives of the client, we may also advise on:
▪ Exchange-listed securities;
▪ Securities traded over-the-counter;
▪ Securities issued by foreign issuers, including foreign sovereign debt instruments;
▪ Emerging market securities;
▪ Corporate debt securities;
▪ U.S. government securities;
▪ Structured Products (including principal protected notes);
▪ Hedge funds;
▪ Private equity funds;
▪ Real estate investment trusts;
▪ Private placements; and
▪ Options contracts on securities.
D. Assets Under Management
As of December 31, 2023, we were managing approximately $1,119,041,695 of assets
(approximately $495,223,376 on a discretionary basis and approximately $623,818,319 on a
limited-discretionary basis).