SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Alm First Financial Advisors LLC
Dallas, TX
CRD 108561
Firm filing updated March 30, 2026 ·
- $76.2BAssets
- 10Advisory staff
- 189Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Fixed feesYes
- Hourly chargesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- Banks155
- Pooled vehicles3
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| High net worth individuals | Fewer than 5 clients | $39.7 million |
| Banking or thrift institutions | 155 | $74.6 billion |
| Pooled investment vehicles (other than investment companies and business development companies) | 3 | $42.0 million |
| Insurance companies | Fewer than 5 clients | $1.5 billion |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Publication of periodicals or newsletters
See all 4 services
- Educational seminars/workshops
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Publication of periodicals or newsletters
- Educational seminars/workshops
Assets and accounts
- Regulatory assets$76.2 billion
- Accounts189
- Discretionary$2.3 billion · 40 accounts
- Non-discretionary$73.9 billion · 149 accounts
People
- Employees23
- Advisory staff10
- Broker-dealer reps0
- Licensed insurance agents2
Registration details
- SEC-registered investment advisor. CRD 108561, SEC file 801-57980.
- Registered with the SEC as an investment advisor (status date on record: September 22, 2000).
Is Alm First Financial Advisors LLC a fiduciary?
Short answer: Alm First Financial Advisors LLC is registered with the SEC as an investment advisor.
More detail
Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
2 staff are licensed insurance agents and the firm has a related insurance company or agency.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.