Alightfinancialadvisors

ALIGHT FINANCIAL ADVISORS, LLC
doing business as AON HEWITT FINANCIAL ADVISORS, LLC

Firm Overview

ALIGHT FINANCIAL ADVISORS, LLC is an SEC Registered Investment Adviser (RIA). The firm is based in CHARLOTTE NC UNITED STATES. As of the firm's last SEC filing on March 27, 2019, the firm has 60 employees and has $27 Billion in Regulatory Assets Under Management (RAUM).


Form ADV Summary as of March 27, 2019

Latest Headlines

$16.5B investment adviser ALIGHT FINANCIAL ADVISORS, LLC, has just disclosed a new or amended regulatory disciplinary action against it or its affiliates to the Securities and Exchange Commission, as of August 10, 2017, according to the latest SEC filing.

Address Information

MAIN ADDRESS

7201 UNIVERSITY OAKS DRIVE
CHARLOTTE NC 28262
UNITED STATES
866-560-7256

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Adviser Information

Legal Name

ALIGHT FINANCIAL ADVISORS, LLC

Business Name

AON HEWITT FINANCIAL ADVISORS, LLC

Jurisdiction/Type

DE Limited Liability Company

Website(s)

http://alightfinancialadvisors.com

SEC Status

Registered - Approved

Registration Date

2011-09-13

Registration Information

SEC Number

801-72679

CRD Number

158744

Public Reporting Company

No

CIK Number

LEI Number

Legal Structure and Domicile

Legal Structure

Limited Liability Company

Legal Domicile Country

United States

Legal Domicile State/Province

DE

Key Figures Summary

Regulatory Assets Under Management (RAUM)

26,995,269,177.00

Number of Employees

60 (Advisory: 50)

Number of Clients

0

Number of Accounts

219624

Services, Fees, and Clients

Services Offered

  • Financial Planning
  • Portfolio Management - Small Businesses
  • Provides Education Seminar

Fee Type Charged

  • Percentage of AUM
  • Fixed Fees
  • Other (SET-UP FEES AND RELATED SERVICES)

Client Types

  • Individuals (non-High Net Worth)

Significant Red Flags

Disclosure Reporting Pages (DRPs)

  • Has SRO Violation

Potential Conflicts

  • None


Books and Records Locations

FINANCIAL ENGINES ADVISORS L.L.C.

4742 N. 24TH STREET
PHOENIX Arizona 85016
UNITED STATES
Phone: 602 522 4100

HEWITT ASSOCIATES LLC

4 OVERLOOK POINT
LINCOLNSHIRE Illinois 60069
UNITED STATES
Phone: 847-295-5000
Fax: 847-554-1462


Control Persons

Direct Owners

HEWITT ASSOCIATES LLC

OWNER/MEMBER (since 09/2011)
Ownership Percentage: 75% or more

JEREMY JASON FRITZ

CONTROL PERSON

CHIEF EXECUTIVE OFFICER / MANAGING MEMBER (since 09/2013)
Ownership Percentage: Less than 5%

MATTHEW ADAM CHOTKOWSKI

CONTROL PERSON

CHIEF COMPLIANCE OFFICER (since 02/2014)
Ownership Percentage: Less than 5%


Indirect Owners

BLACKSTONE CAPITAL PARTNERS VII NQ L.P.

CONTROL PERSON

MEMBER (since 05/2017)
Owned through: TEMPO HOLDING COMPANY, LLC
Ownership Percentage: More than 25% but less than 50%

BLACKSTONE MANAGEMENT ASSOCIATES VII NQ LLC

CONTROL PERSON

GENERAL PARTNER (since 05/2017)
Owned through: BLACKSTONE CAPITAL PARTNERS VII NQ L.P.
Ownership Percentage: Other

TEMPO ACQUISITION, LLC

CONTROL PERSON

SOLE MEMBER (since 05/2017)
Owned through: HEWITT ASSOCIATES LLC
Ownership Percentage: 75% or more

TEMPO HOLDING COMPANY, LLC

CONTROL PERSON

SOLE MEMBER (since 05/2017)
Owned through: TEMPO INTERMEDIATE HOLDING COMPANY I, LLC
Ownership Percentage: 75% or more

TEMPO INTERMEDIATE HOLDING COMPANY I, LLC

CONTROL PERSON

SOLE MEMBER (since 05/2017)
Owned through: TEMPO INTERMEDIATE HOLDING COMPANY II, LLC
Ownership Percentage: 75% or more

TEMPO INTERMEDIATE HOLDING COMPANY II, LLC

CONTROL PERSON

SOLE MEMBER (since 05/2017)
Owned through: TEMPO ACQUISITION, LLC
Ownership Percentage: 75% or more


Relying Advisers and Affiliates

ALIGHT FINANCIAL SOLUTIONS, LLC

AON HEWITT FINANCIAL ADVISORS LLC


DRPs


Regulatory DRPs

Plaintiff: FINRA

Filed: 01/03/2008
Docket/Case No.: 20070081344
Amended
Fine: $ 8,500.00
Resolution Details: Monetary/Fine Amount, Censure

Allegations: SEC RULES 15C3-1, 17A-3, 17A-5, FINRA RULES 2110, 3110(A) - APPLICANT USED THE MAILS OR OTHER MEANS OR INSTRUMENTALITIES OF INTERSTATE COMMERCE TO EFFECT TRANSACTIONS IN SECURITIES WHEN IT FAILED TO MAINTAIN SUFFICIENT NET CAPITAL. THE FINDINGS STATED THAT APPLICANT FAILED TO PREPARE ACCURATE BOOKS AND RECORDS BY PREPARING INACCURATE NET CAPITAL COMPUTATIONS AND BY IMPROPERLY CALCULATING APPLICANT'S LEVEL OF AVAILABLE CAPITAL AND AMOUNT OF AGGREGATE INDEBTEDNESS. THE FINDINGS ALSO STATED THAT APPLICANT FILED A FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT (FOCUS REPORT) PART II WHICH FAILED TO REPORT ACCURATE NET CAPITAL COMPUTATIONS AND FAILED TO ACCURATELY REPORT APPLICANT'S LEVEL OF CAPITAL AND AGGREGATE INDEBTEDNESS.
Sanctions: WITHOUT ADMITTING OR DENYING THE FINDINGS, APPLICANT CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, THEREFORE, APPLICANT WAS CENSURED AND FINED $8,500. DATE PAID: 1/16/2008.