Steven Patrick Melen

Employer firm

Independent Advisor Alliance, LLC CRD 168267

$17.2B regulatory AUM 533 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2007 → 03/2019
  Morgan Stanley & Co., Inc.
  San Francisco, CA
• 06/2009 → 03/2019
  Morgan Stanley Smith Barney
  San Francisco, CA
• 01/2015 → 03/2019
  Morgan Stanley Private Bank, National Association
  New York, NY
• 03/2019 → 04/2021
  Lpl Financial Llc
  Tiburon, CA
• 03/2021 → 03/2026
  Nich Capital Partners, Llc
  Belvedere, CA
• 02/2025 → Present
  Peony Consulting Llc
  Larkspur, CA
• 03/2026 → Present
  Independent Advisor Alliance
  Charlotte, NC

Previous Registrations

• 2021-09-28 → 2026-03-02
  Nich Capital Partners, Inc.
  Belvedere, CA
  Wilmington, NC
• 2021-03-26 → 2021-06-16
  Nich Capital Partners, Inc.
  Belvedere, CA
  Wilmington, NC
• 2019-03-19 → 2021-04-27
  Lpl Financial Llc
  Belvedere, CA
  Tiburon, CA
  Citrus Heights, CA
  San Diego, CA
• 2009-06-01 → 2019-04-01
  Morgan Stanley
  San Francisco, CA
• 2007-05-11 → 2009-06-01
  Morgan Stanley & Co. Llc
  San Francisco, CA
• 2005-11-21 → 2007-06-05
  Charles Schwab & Co., Inc.
  San Francisco, CA
  San Francisco, CA

Other Businesses

08/01/2019 - Red Frog Bunglaows- Not investment related - Bocas del Toro Panama - Real Estate Rental - start date:10/15/2013 - 0 hrs/mo - 0 hrs during trading. 06/2021 - Abbondanza Racing; not investment-related; Mr. Melen has invested funds into a portion of one racehorse with plan to race at Del Mar meet from July 2021 - September 2021; Passive investor; 0 hours per month; 0 hours during trading. Peony Consulting LLC - Not investment related - Landscaping Company - 53 Creek View Circle, Larkspur, CA 94939 - Title: Project Manager - Start date: 02/2025 - Duties: help coordinate workers and pick up, deliver and assist in planting private residences gardens and yards - Approx 30 hours per month, 0 during trading. 03/2026 - Ashwood Wealth Mgmt - Investment Related - DBA of RIA - Investment Advisor Representative

Exams

• S66 Uniform Combined State Law Examination
  2005-11-15
• S63 Uniform Securities Agent State Law Examination
  1994-02-02

Other Names

• Steven P Melen