Royal Alliance Associates, Inc.

About Royal Alliance Associates, Inc.

<p>Founded in 1969, Royal Alliance Associates, Inc. is a dual-registered broker-dealer and investment adviser that operates as part of Osaic. The firm reports $129.9B in assets under management (2026).</p> <p>Royal Alliance maintains headquarters in Jersey City, New Jersey in the New York metro area, and Scottsdale, Arizona in the Phoenix metro. It supports a nationwide network of over 11,000 financial professionals and works with more than 4 million clients.</p> <p>For retirement plans, Royal Alliance provides fiduciary support for sponsors that want to delegate investment and administrative decisions. The firm offers both 3(21) co-fiduciary services and 3(38) investment manager services, depending on how much discretion a plan sponsor wants to outsource.</p> <p>One differentiator is its national licensing footprint—licensed in all 50 states, Washington, DC, and Puerto Rico—paired with a platform built to support a large advisor network under the Osaic umbrella.</p> <ul> <li>Plan fiduciary services: 3(21) and 3(38)</li> <li>Advisor support through Osaic’s broker-dealer and RIA platform</li> <li>Headquarters in the New York and Phoenix metro areas</li> <li>Licensed in all 50 states, DC, and Puerto Rico</li> <li>Listed among <a href="/plan-advisors">plan advisors</a> and other <a href="/retirement-plans">retirement plan providers</a></li> </ul>

Website: https://osaic.com

Founded: 1969