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Employer firm

Imperity Wealth Alliance LLC CRD 339113

$140M regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Imperity Wealth Alliance Llc

445 Broadhollow Road Suite 400, Melville, NY 11747 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2026-03-25
  • NY RA
    APPROVED
    Since 2026-03-25

Branch Locations

445 Broadhollow Road Suite 400, Melville, NY 11747 • United States

Commonwealth Financial Network

275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2023-05-01
  • NY RA
    APPROVED
    Since 2023-05-01

Branch Locations

445 Broadhollow Road Suite 400, Melville, NY 11747 • United States

295 Madison Ave Ste 915, New York, NY 10017 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
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
Previous Registrations
Other Businesses

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.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1996-10-23
  • S63 Uniform Securities Agent State Law Examination
    1996-10-23

View on SEC IAPD

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