Western Alliance Investment Management, Inc. (Phoenix)


Western Alliance Investment Management, Inc. is a large advisory firm based in Phoenix. It manages $652.51 million of regulatory assets for 994 client accounts. It has been registered with the SEC as an adviser since 2004 and has operated in the jurisdictions of Arizona, California, Colorado, and 3 other states.

Western Alliance Investment Management provides financial planning services, portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, and portfolio management for businesses and institutional clients. It prepares financial plans for less than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Western Alliance Investment Management: assets under management

The assets under management (AUM) of Western Alliance Investment Management, Inc. is $652.51 million, all of which is managed in discretionary accounts. The company doesn't manage any assets belonging to foreign clients.

The firm manages $652.51 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $656.44 thousand each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Western Alliance Investment Management, Inc. for their services and products based on a percentage of assets under management and hourly charges. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Western Alliance Investment Management, Inc.

Robert Gary Sarver has been acting as President since 1 Mar 2004. Western Alliance Bancorporation joined the executive team most recently as the Parent Company.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Western Alliance Bancorporation Parent company 1 Mar 2004 75% - 100% 88-0365922
Robert Gary Sarver Director 1 Mar 2004 Other 1738644
Dale M Gibbons Director 1 Mar 2004 Other 4797841
Mark Dreschler Director 1 Mar 2004 Other 4797843
James Harwood Lundy Director 1 Mar 2004 Other 4797847
Dennis Harrison Miller Chief financial officer, director 1 Mar 2004 Other 2581097
Christopher Charles Wilkinson Chief operating officer, director 1 Mar 2004 Other 1839998
Maureen Ann Rzeppa Chief compliance officer 1 Mar 2004 Other 4769528
Larry L Woodrum Director 1 Mar 2004 Other 4798868
Dale Moroni Gibbons Director 1 Mar 2004 Other 4797841
Mark Allan Dreschler Director 1 Mar 2004 Other 4797843
Larry Leon Woodrum Director 1 Mar 2004 Other 4798868

Indirect Owners

The SEC currently registers 2 indirect owners.

Name Entity Date acquired Ownership Employer ID
William S Boyd Shareholder 1 May 1994 25% - 50% 4797850
William Samuel Boyd Shareholder 1 May 1994 25% - 50% 4797850

Based in Phoenix

The principal office where Western Alliance Investment Management, Inc. performs its advisory services is located at 3131 E. Camelback Road, Phoenix, AZ 85016, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 602-468-1232 or by fax 602-468-1054. The normal business hours are 8 am to 5 pm arizona time on Monday - Friday. You can find more information about the New York firm at www.miller-russell.com.

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