Q. Explain your current ownership structure, including
affiliates and subsidiaries?
A. The company is a privately owned California C
corporation. There is no parent company, nor any
affiliates or joint ventures.
Q. How long has your firm been in business?
A. We have been providing high quality investment
consulting services since 1982.
Q. Are you registered under the Investment Advisors
Act of 1940?
A. Yes, we are registered with the SEC. A copy of
the firms current Form ADV Part I can be found
online at the Investment
Adviser Public Disclosure website.
SEC Number = 801-48432.
Q. What is Alan Biller and Associates mission statement
and competitive strengths?
A. Our mission is to help clients meet their financial
objectives by providing them with honest, independent
advice and the operational support they need to
best manage their investments.
Our competitive strength comes from our range of
services, staff talent, analytical rigor, experience,
and strict avoidance of conflicts of interest. We
are adept at helping clients clarify their decision-making
and bringing our expertise to bear on novel and
Q. Do you accept fiduciary responsibility for your
A. Yes, we are a fiduciary for all of our retainer
Q. Do you carry Errors and omissions and fiduciary
Q. Does your firm have any known conflicts of interest?
A. No. We do not have any contracts, agreements,
or other arrangements with any brokerage or investment
management firms. There are no real or apparent
conflicts of interests between us and our clients.
We are fiduciaries for all of our clients, receive
fees only in hard dollars billed directly from our clients,
and are not affiliated with any other entity.