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Alan Joyce

Rossby Financial, LLC
37 Years of Experience
Jacksonville, FL
4 Disclosures
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Alan Joyce is a registered investment advisor at Rossby Financial, LLC, based in Jacksonville, FL, with 37 years of industry experience. Alan operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Alternative Investments, Estate Planning, Financial Planning & Coaching, High Net Worth, and 4 more. Their firm serves 3,910 clients with $850M in assets under management.

Rossby Financial, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
31 advisors
Number of Clients
3,910 clients
Average Client Portfolio
$219K average
Assets Under Management
$854.8M

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Maximum management fee will not exceed 2.50% of assets under management. Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Jacksonville, FL

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History

Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
February 2024
Regulatory
December 2013
Final
Regulatory
January 2013
Final
Customer Dispute
March 2010
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Alan is the owner/proprietor of The Alan R Joyce Company LLC, providing consulting services to real estate and structured settlement sellers. He is also a partner in The Britus Group LLC, which currently has no operations; both activities require minimal time.

Employment History
Current Registrations
Rossby Financial, LLC
May 2025 - Present · 1 yr 5 mos
Previous Registrations
Coral Reef Advisors LLC
November 2024 - June 2025 · 7 mos
Raymond James & Associates, INC.
November 2003 - March 2024 · 20 yrs 4 mos
Raymond James & Associates, INC.Broker
October 2003 - March 2024 · 20 yrs 5 mos
Deutsche Bank Securities INC.
July 2002 - December 2002 · 5 mos
Deutsche Bank Securities INC.Broker
January 2001 - October 2003 · 2 yrs 9 mos
Db Alex. Brown LLCBroker
December 1999 - January 2001 · 1 yr 1 mo
Prudential Securities IncorporatedBroker
August 1998 - September 1998 · 1 mo
Bt Alex. Brown IncorporatedBroker
September 1997 - August 1998 · 11 mos
Alex. Brown & Sons IncorporatedBroker
March 1996 - September 1997 · 1 yr 6 mos
Barnett Investments, INC.Broker
June 1989 - April 1996 · 6 yrs 10 mos
Kidder, Peabody & CO. IncorporatedBroker
July 1987 - June 1989 · 1 yr 11 mos
State Registrations2 states
FLTX
Advisor

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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