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Imperity Wealth Alliance LLC CRD 339113
$140M regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
445 Broadhollow Road Suite 400, Melville, NY 11747 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2026-03-25 |
Branch Locations
445 Broadhollow Road Suite 400, Melville, NY 11747 • United States
275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2023-05-01 |
Branch Locations
445 Broadhollow Road Suite 400, Melville, NY 11747 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance Co | Melville | NY | 09/2007 | 05/2023 |
| Principal Securities Inc | Melville | NY | 03/2016 | 05/2023 |
| Commonwealth Financial Network | Waltham | MA | 05/2023 | Present |
| Imperity Advisors, Llc | Melville | NY | 05/2023 | Present |
| Imperity Wealth Alliance Llc | Melville | NY | 03/2026 | Present |
1. Fixed insurance sales; as of 04/28/2023; 10% of time spent during business hours; Conducted at branch location; Investment related. 2. Co-Owner, Bear Point Properties, LLC, an entity created for the purpose of buying and managing residential real estate at 153 Neil Bunker Rd., T9 SD, Hancock County, ME, as of 02/08/2021; 5% of time spent during business hours; Not Conducted at branch; Investment related. 3. Subleasing Office Space to Imperity Advisors, LLC, as of 05/10/2023; 10% of time spent during business hours; Conducted at branch location; Investment related. 4. Co-owner, Imperity Group, LLC, an entity involved in ownership of Imperity Advisors, LLC and Imperity Insurance, LLC; as of 05/10/2023; 10% of time spent during business hours; Conducted at branch location; Investment related. 5. Owner, Northern Rock Holdings, Inc.; an entity involved in ownership of Imperity Group, LLC, as of 05/10/2023; 5% of time spent during business hours; Conducted at branch location; Not Investment related. 6. Co-Owner, Imperity Advisors, LLC, a private entity established to facilitate securities, advisory, and insurance business; ownership through Imperity Group, LLC as of 05/10/2023; 90% of time spent; Conducted at branch; Investment related. 7. Co-owner, Imperity Insurance Services, LLC, DBA Imperity Insurance & Benefits Consulting; a private entity established to facilitate insurance business; as of 07/06/2023; 10% of time spent during business hours; Conducted at branch location; Investment related. 8. Tax preparation and planning, Imperity Group, LLC DBA Imperity Tax; as of 11/10/2023; 15% of time spent during business hours; conducted at branch; Not investment related. 9. Co-owner, Imperity Tax Planning, LLC dba Imperity Tax; tax preparation, consulting and planning services; as of 7/01/2025; Less than 5% of time spent during business hours; Conducted at branch location; Not investment related. 10. Co-owner, Imperity Wealth Alliance, LLC; a private entity established as an RIA; as of 09/29/25; 5% of time spent during business hours; Conducted at branch location; Investment related.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1996-10-23 |
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