How is Allio Regulated?

Allio or Allio Capital is a Registered Investment Advisor (RIA)—registered as Allio Advisors, LLC— with the U.S. Securities and Exchange Commission (SEC).

As an RIA, Allio has a fiduciary duty to our clients. This required that that we:

📌 You can learn more about the fiduciary duties of an RIA, per the SEC here.

Brokerage accounts on Allio are powered by RQD* Clearing, LLC, an SEC-registered broker-dealer and member FINRA/SIPC. RQD* also serves as a qualified custodian for advisory assets of clients of Allio Advisors LLC. For more information, refer to:

Securities products and brokerage services are offered by Allio Markets, LLC, a broker-dealer registered with the SEC and member of FINRA/SIPC.

Allio Markets, LLC and Allio Advisers LLC are separate but affiliated companies. Accounts are carried and securities execution, clearance, and settlement services are provided by RQD* and RQD* Clearing Corporation, both SEC-registered broker-dealers and members of FINRA/SIPC. Check the background of Allio Markets, LLC and RQD* on FINRA BrokerCheck.

Allio Markets is a member of SIPC, which protects securities customers of its members up to $500,000 (including $250,000 for claims for cash). An explanatory brochure is available upon request or at www.sipc.org. SIPC does not protect against market losses.

Allio integrates with Plaid, a financial technology platform that securely connects your financial accounts to apps like ours. When you link your bank account through Plaid, your login credentials are handled directly by Plaid and are never accessible to Allio. This ensures that your sensitive information remains private, while enabling us to verify your identity and facilitate secure transactions.