Lori Smith
Lori Smith is a registered investment advisor at Independent Advisor Alliance, LLC, based in Clemmons, NC, with 25 years of industry experience. Lori operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Insurance Planning, Investment Management, and 2 more. Their firm serves 34,127 clients with $14B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
IAA offers asset management services where they manage your investments based on your goals, time horizon, and risk tolerance. The annual advisory fee is a maximum of 2.00% of the market value of your account, including cash holdings. This fee may also include financial planning and consulting services. The advisory fee is negotiable. Fees are billed quarterly in advance.
Location
2625 Neudorf Rd., Ste. 400, Clemmons, NC, 27012
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Lori operates under two DBAs, Marzano Capital Group, for her LPL and RIA businesses, dedicating full-time hours to each. She also provides full-time administrative support to Independent Advisor Alliance, LLC, an independent investment advisor firm.
Employment History
Current Registrations
Independent Advisor Alliance, LLC
LPL Financial LLCBroker
Previous Registrations
Fidelity Personal and Workplace Advisors
Fidelity Brokerage Services LLCBroker
MML Investors Services, LLCBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
UBS Financial Services INC.Broker
UBS Financial Services INC.
Bb&t Securities, LLC
Bb&t Securities, LLCBroker
Scott & Stringfellow, LLC
Scott & Stringfellow, LLCBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations1 state
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.