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RD

Ronald J. D'ancona

ALLEY COMPANY
Lake Forest, IL 60045
Some features on this profile are disabled
CRD#: 7816842
RD

Professional summary

Ronald James D'ancona, who also goes by Rj D'ancona, is a registered financial advisor currently at ALLEY COMPANY located in Lake Forest, Illinois.

Ronald is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Ronald has worked at 1 firm .

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Rj D'ancona

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronald James D'ancona's CRS (Customer Relationship Summary).
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

October 18, 2023 - Present

ALLEY COMPANY

Office #1: 272 Market Square Suite 214, Lake Forest, IL 60045
RIA
CRD#: 317544
Lake Forest, IL

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".
AC
ALLEY COMPANY
ALLEY COMPANY | ALLEY INVESTMENT MANAGEMENT COMPANY, LLC

CRD#: 317544 / SEC#: 801-122856

RIA
Registered Investment Advisory firm - (12/16/2021 Approved)

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
Illinois
(10/18/2023)

Exams

Current Firm

AC
ALLEY COMPANY
ALLEY COMPANY | ALLEY INVESTMENT MANAGEMENT COMPANY, LLC

CRD#: 317544 / SEC#: 801-122856

RIA
Registered Investment Advisory firm - (12/16/2021 Approved)
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Contact information

Main Address
272 Market Square Suite 214, Lake Forest, IL 60045
Mailing Address
Phone number
(847) 482-0938
Established
Firm type
Fiscal year end
# of Employees
8

SEC notice filing (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ALLEY INVESTMENT MANAGEMENT COMPANY, LLC PART 2A BROCHURE (3/25/2025)

Regulatory assets under management

Total Number of Accounts455
AUM (Assets Under Management)$ 843,699,361

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
11/27/2024
Cover Page
Report
10/30/2023
Cover Page
Report
10/28/2022
Cover Page
Report

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.

Company Information

ALLEY COMPANY

CRD#: 317544Lake Forest, IL 60045

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