SPECTRUM FINANCIAL ALLIANCE LTD LLC

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Spectrum Financial Alliance LTD is based out of Nicholasville. Spectrum Financial Alliance LTD is a large advisory firm with 389 clients and discretionary assets under management (AUM) of $203,354,782 (Form ADV from 2020-01-08). Their last reported 13F filing for Q4 2019 included $171,993,000 in managed 13F securities and a top 10 holdings concentration of 99.31%. Spectrum Financial Alliance LTD's largest holding is Citigroup, Inc. with shares held of 347,825. Whalewisdom has at least 8 13F filings

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12/31/2019

13F Sector Allocation Over Time

12/31/2019

13F Activity

  • Market Value $171.993 Million
  • Prior Market Value $154.838 Million
  • New Purchases1 stock
  • Additional Purchases5 stocks
  • Sold out of0 stocks
  • Reduced holdings in7 stocks
  • Top 10 Holdings % 99.31 %
  • Turnover % [1]:7.69%
  • Turnover Alt % [2]: 3.63 %
  • Time Held Top20:5.77 quarters
  • Time Held Top10:5.90 quarters
  • Time Held All:6.69 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-02-14

Performance for Q4 2019: 0.73%
Performance Last 4 Quarters: 23.43%
Performance Metrics
Stats are not available for the latest quarter

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C.
105 WIND HAVEN DRIVE
NICHOLASVILLE KY    40356
Country: United States

Business Phone: 859-223-6333
Fax: 859-223-6242
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 8
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management
Amount of client funds and securities:
Total Number of Clients: 389
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Recent Insider Transactions

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

ownership team - last updated 2019-12-17
Name Title Start Date Direct/Indirect % Ownership
BUCKLEY, CHARLES, KELLY MANAGING MEMBER AND MANAGING DIRECTOR FOR ASSET MANAGEMENT; CHIEF COMPLIANCE OFFICER 01/01/2000 Direct 75% or more
Fund Name Position direct/indirect start date end date
SPECTRUM FINANCIAL ALLIANCE, LTD.,LLC MANAGING PRINCIPAL direct 2000-01-01
SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C. MANAGING MEMBER AND MANAGING DIRECTOR FOR ASSET MANAGEMENT; CHIEF COMPLIANCE OFFICER direct 2000-01-01
SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C. MANAGING PRINCIPAL AND CHIEF COMPLIANCE OFFICER direct 2000-01-01
SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C. MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER direct 2000-01-01
SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C. MANAGING MEMBER AND MANAGING DIRECTOR FOR ASSET MANAGEMENT direct 2000-01-01

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

ownership team - last updated 2019-04-24
Name Title Start Date Direct/Indirect % Ownership
BUCKLEY, CHARLES, KELLY MANAGING MEMBER AND MANAGING DIRECTOR FOR ASSET MANAGEMENT; CHIEF COMPLIANCE OFFICER 01/01/2000 Direct 75% or more
Fund Name Position direct/indirect start date end date
SPECTRUM FINANCIAL ALLIANCE, LTD.,LLC MANAGING PRINCIPAL direct 2000-01-01
SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C. MANAGING MEMBER AND MANAGING DIRECTOR FOR ASSET MANAGEMENT; CHIEF COMPLIANCE OFFICER direct 2000-01-01
SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C. MANAGING PRINCIPAL AND CHIEF COMPLIANCE OFFICER direct 2000-01-01
SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C. MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER direct 2000-01-01
SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C. MANAGING MEMBER AND MANAGING DIRECTOR FOR ASSET MANAGEMENT direct 2000-01-01

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

ownership team - last updated 2019-02-25
Name Title Start Date Direct/Indirect % Ownership
BUCKLEY, CHARLES, KELLY MANAGING MEMBER AND MANAGING DIRECTOR FOR ASSET MANAGEMENT; CHIEF COMPLIANCE OFFICER 01/01/2000 Direct 75% or more
Fund Name Position direct/indirect start date end date
SPECTRUM FINANCIAL ALLIANCE, LTD.,LLC MANAGING PRINCIPAL direct 2000-01-01
SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C. MANAGING MEMBER AND MANAGING DIRECTOR FOR ASSET MANAGEMENT; CHIEF COMPLIANCE OFFICER direct 2000-01-01
SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C. MANAGING PRINCIPAL AND CHIEF COMPLIANCE OFFICER direct 2000-01-01
SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C. MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER direct 2000-01-01
SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C. MANAGING MEMBER AND MANAGING DIRECTOR FOR ASSET MANAGEMENT direct 2000-01-01

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

ownership team - last updated 2017-09-20
Name Title Start Date Direct/Indirect % Ownership
BUCKLEY, CHARLES, KELLY MANAGING MEMBER AND MANAGING DIRECTOR FOR ASSET MANAGEMENT; CHIEF COMPLIANCE OFFICER 01/01/2000 Direct 75% or more
Fund Name Position direct/indirect start date end date
SPECTRUM FINANCIAL ALLIANCE, LTD.,LLC MANAGING PRINCIPAL direct 2000-01-01
SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C. MANAGING MEMBER AND MANAGING DIRECTOR FOR ASSET MANAGEMENT; CHIEF COMPLIANCE OFFICER direct 2000-01-01
SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C. MANAGING PRINCIPAL AND CHIEF COMPLIANCE OFFICER direct 2000-01-01
SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C. MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER direct 2000-01-01
SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C. MANAGING MEMBER AND MANAGING DIRECTOR FOR ASSET MANAGEMENT direct 2000-01-01

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