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
Office Locations
- Jersey City, NJ (Headquarters)
- Scottsdale, AZ (Headquarters)
Services Offered
- 3(21) Investment Advisor
- 3(38) Investment Manager
Client Statistics (2026)
- Total Clients: 0
- Total AUM: $129.9B
Plans Serviced (2025)
Largest plans where this firm is listed as a service provider (Schedule C) or IQPA (Schedule H) on the most recent filings (From Form 5500).
| Plan | Sponsor | Assets | Participants |
|---|---|---|---|
| PAYCHEX POOLED EMPLOYER 401(K) PLAN | PAYCHEX RETIREMENT LLC, NY | $1.8B | 621,703 |
| PRINCIPAL EASE 401(K) PLAN | PRINCIPAL LIFE INSURANCE COMPANY, IA | $651M | 161,040 |
| ISOLVED 401-K PLAN | PLAN PROFESSIONALS, LLC, NJ | $465M | 47,479 |
| LIBERTY UTILITIES NATIONAL 401(K) PLAN | LIBERTY UTILITIES SERVICE CORP., AZ | $442M | 2,462 |
| ALEXANDRIA REAL ESTATE EQUITIES, INC. 401(K) PROFIT SHARING PLAN | ALEXANDRIA REAL ESTATE EQUITIES, INC., CA | $208M | 537 |
| 401(k) Retirement Plan | Healthcare Sponsor, TX | $168M | 1,519 |
| 401(k) Retirement Plan | Manufacturing Sponsor, CA | $159M | 2,037 |
| 401(k) Retirement Plan | Professional Services Sponsor, CT | $133M | 1,941 |
| 401(k) Retirement Plan | Technology Sponsor, MA | $130M | 2,825 |
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