Alex Y. Pan

ALLIANT RETIREMENT CONSULTING

New York City, NY 10178

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CRD#: 7534479

Professional summary

Alex Yi Pan is a registered financial advisor currently at ALLIANT RETIREMENT CONSULTING located in New York City, New York.

Alex is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Alex has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Alliant Insurance, not investment related, 101Park Ave, NYC, NY 10178, insurance agency, Account Executive, 06/24/2024, less than 1, general administration as an employee of a wholly entity of Alliant.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alex Yi Pan's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 1, 2024 - Present

ALLIANT RETIREMENT CONSULTING

Office #1: 101 Park Ave, New York City, NY 10178

RIA

CRD#: 167970

New York City, NY

Past

September 22, 2022 - July 15, 2024

ICAPITAL, LLC

RIA

CRD#: 122816

BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ALLIANT RETIREMENT CONSULTING

ALLIANT INSURANCE SERVICES, LLC | ALLIANT RETIREMENT SERVICES, LLC | ALLIANT RETIREMENT SERVICES | ALLIANT RETIREMENT CONSULTING

CRD#: 167970 / SEC#: 801-78240

RIA

Registered Investment Advisory firm - (7/9/2013 Approved)

Alaska

Registered Investment Advisory firm - (2/20/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(7/1/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/8/2022

Uniform Investment Adviser Law Examination

Current Firm

ALLIANT RETIREMENT CONSULTING

ALLIANT INSURANCE SERVICES, LLC | ALLIANT RETIREMENT SERVICES, LLC | ALLIANT RETIREMENT SERVICES | ALLIANT RETIREMENT CONSULTING

CRD#: 167970 / SEC#: 801-78240

RIA

Registered Investment Advisory firm - (7/9/2013 Approved)

Alaska

Registered Investment Advisory firm - (2/20/2015 Terminated)

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Contact information

Main Address

1125 Sanctuary Parkway Suite 300, Alpharetta, GA 30009

Mailing Address

Phone number

(713) 470-4208

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

2025 ANNUAL FILING (3/31/2025)

Regulatory assets under management

Total Number of Accounts	156
AUM (Assets Under Management)	$ 4,493,036,646

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Alex Y. Pan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alex Yi Pan's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLIANT RETIREMENT CONSULTING

ICAPITAL, LLC

Primary Firm SEC Registration

ALLIANT RETIREMENT CONSULTING

State Registrations and Notice Filings

Exams

Series 65

Date: 8/8/2022

Current Firm

ALLIANT RETIREMENT CONSULTING

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLIANT RETIREMENT CONSULTING

TRUST BUT VERIFY

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