Royal Alliance Associates, Inc

Investment Advisor
in Charlotte, NC
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About this Advisor

Max Hockenberry is a certified financial planner and chartered financial consultant who works out of Charlotte, North Carolina, who has been in the financial industry for 32 years. Hockenberry is on the advisory team at Royal Alliance Associates, Inc. Throughout their career, they have worked at Royal Alliance Associates, Inc, Signator Investors, Inc and Maxworth Consulting Group, LLC. Hockenberry has Series 63 and Series 65 licenses, designating them as both a securities agent and an investment advisor representative, and is able to operate in North Carolina. Royal Alliance Associates, Inc is a registered investment firm that has its headquarters in Charlotte, North Carolina. It has offices in 459 locations and a total of 1,933 people on staff. It controls $8 billion in assets between its 30,657 client accounts, placing it among the largest firms in the country by assets under management. The firm advises 40 charitable organizations. Of its 30,657 accounts, just 13% belong to high-net-worth individuals who have at least $1 million in assets available to invest. The business has a number of services, including financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, selection of other advisers and educational seminars. Fees for financial management usually are based on which services the firm provides the client. Fee types charged by Royal Alliance Associates, Inc may include any combination of asset-based, hourly, fixed and commission-based fees.

Certifications and Registrations

Series 63, Series 65, Certified Financial Planner, Chartered Financial Consultant

Years of Experience

32 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Pension consulting services, Selection of other advisers, Educational seminars/workshops

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees, Commissions



Office Location

10800 Sikes Place Suite 205
Charlotte, NC 28277

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Royal Alliance Associates, Inc Brokerage Details

Total Assets Under Management


NC Average: $10,121,009,343
Total Number of Employees


NC Average: 92
Total Number of Accounts


NC Average: 6,978
Average Account Size


NC Average: $1,450,417

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Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Pension consulting services
  • Selection of other advisers
  • Educational seminars/workshops

Max Hockenberry Work History

Max has 32 years of experience.

2018 - Present (1 year)

Royal Alliance Associates, Inc

2006 - Present (13 years)

Maxworth Consulting Group, LLC

1986 - Present (33 years)

Signator Investors, Inc


Max Hockenberry has disclosures.

Please visit their SEC profile for more details.

This content was compiled from the SEC and FINRA.

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