The ALIGN IMPACT is a privately held investment adviser that advises $857.13mn in regulatory assets under management held in 2 SEC fund types across 2 investment strategies. ALIGN IMPACT is a Retail Wealth A retail wealth manager is a manager whose >=75% of total assets under management are managed for individual investors through retail advisory or brokerage channels. Manager. Assets increased by 618.55% over the last 5-years.
The Group has been registered with the SEC for 10.76 years and is comprised of 1 filing and 0 relying advisers. They operate out of 3 office locations with their Headquarters at 1001 BANNOCK ST 3RD FLOOR, DENVER, CO. The Group has not been subject to regulatory enforcement actions. They are regulated by 1 US and Non-US bodies.
They have 23 employees comprised of 19 investment and 4 non-investment staff. The total number of Employees increased by 109.09% over the last 5-years.
Their $857.13mn in assets advised are owned by 3 private funds, 0 public funds and BDCs and 22 other accounts. Assets of High Net Worth Individuals clients own $531.29mn or 61.98% of Total Assets and Charitable Organizations own $176.24mn or 20.56% of Total Assets.
The Group's top investment strategies include ESG and Fund of Funds, representing 78.49% and 21.51% of total assets, respectively.
They advise 4 types of clients, top clients are High Net Worth Individuals and Charitable Organizations.
The Group uses 1 Fund Administrators, 1 Fund Auditors, 0 Prime Brokers, 2 Custodians and 0 Marketers. It does not report a third-party Fund Administrator in 0 private funds with $0 in assets.
The Group discloses fixed fees, management fees and performance-based fees.
ALIGN IMPACT names 1 sub-adviser PPB ADVISORS, LLC to 2 different funds advised by the group. The Group has been named as the sub-adviser to 0 funds.
They have a HIGH-WATCH risk business model that requires a high degree of process maturity to manage operational risk. A Manager Group has a "High Complexity" when 25% or more of 63 business conditions measured require a high level of process maturity to manage the risk. The "Watch" suffix indicates that one or more of the following business conditions carry a high-complexity score: 1) % Fund Assets Valued Internally, 2) prior Regulatory Violations, 3) Unqualified Audits, 4) Multi-Functional C-Suite and 5) Business Concentration Risk with an Auditor or Administrator.
In ALIGN IMPACT's case, they have 15 business conditions that require high process maturity and 1 Watch Factors.