Western Alliance is a strong trusted partner for Registered Investment Advisors and Independent
Broker-Dealers who can benefit from working with one relationship banker that helps you do more for your clients.
Our reputation as one of the best banks in the country is a match for the trust and confidence your clients have in you.

Your clients choose you for your valuable investment expertise. Choose Western Alliance Securities-Based Lending for our longstanding experience in helping registered investment advisors and independent broker dealers deliver a welcome financing option – that also benefits you.

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    Dan Babayan
  • jeff-holmes-headshot
    Jeff Holmes
Dan Babayan
Managing Director, Securities-Based Lending
Jeff Holmes
Senior Vice President, Securities-Based Lending

When your clients require quick access to funds for planned or unplanned needs, our cloud-based, fully digital securities-based lending solution is there for you. Designed to feature your brand, if desired, this streamlined solution helps you answer clients’ needs for funds typically within 24 to 48 hours.

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A Must-Have For Recruiting. Eliminate a barrier to recruiting advisors who wish to move their book of business, but have clients whose existing loans must be repaid before assets are released.

Retain Assets Under Management. Help clients obtain liquidity for discretionary or crisis needs while leaving investment strategies intact.

Grow Revenue Through Enhanced Value. Add income through revenue share opportunities within the Western Alliance Securities-Based Lending program.

Manage Both Assets and Liabilities For Your Client:

  • Protect your relationship by preventing intrusion by traditional lenders that offer competing services – your clients are your own (we operate completely behind the scenes).
  • Add value to your relationships with a new way to meet clients’ often significant cash needs.

Competitive. Offer rates that may be lower than other traditional lending solutions.

Tax Efficient. Avoid taxes on capital gains due to selling highly appreciated securities.

Streamlined Approval Process. Benefit from quick credit approval relative to other lending solutions.

Flexibility. Use proceeds for a variety of purposes, with flexible terms.

Liquidity. Provide easy access with no need to draw down cash reserves.

Tech Driven. Take advantage of easy-to-use technology that lets your clients manage their loan facility however they choose.

Financial Discipline:

  • Stay on track with financial goals.
  • Avoid liquidating securities (low cost basis).
  • Retain control over assets pledged as collateral.
Private Banking Solutions

To support the banking needs of wealth management firms, Western Alliance Bank also offers a wide range of business banking products and services for you. Our vast experience in banking for professional services organizations, like yours, means that everything is designed to respond to your needs and timeline. Beyond Securities-Based Lending, we can work with you to offer your high-net-worth clients a variety of important private banking and financing capabilities.

Mortgage Warehouse Lending. Through our Mortgage Warehouse Lending group, not only do we provide warehouse lines of credit to mortgage originators – we also buy mortgages and hold them to maturity. We can support Non-QM and portfolio mortgage products developed in collaboration with customers and bring mortgage originators to the table to assist your high-net-worth clients with outside-the-box mortgage loan solutions.

Signature/Unsecured Lines of Credit. Many of your high-net-worth investment clients value the flexibility and convenience of having signature/unsecured lines of credit for whatever purposes they desire. Our expert bankers can structure a variety of signature lines of credit with terms that meet your clients’ individualized needs and exacting standards.

Commercial Banking. Many of your investment clients are often also small- and medium- sized business owners structured as S-Corps, LLCs, Family Trusts and limited partnerships. Our significant business banking expertise lets us work with you to offers these clients a wide variety of tailored lending solutions such as commercial real estate loans and working capital lines of credit.

About Us

Western Alliance Securities-Based Lending, a national banking group within Western Alliance Bank, Member FDIC, specializes in helping registered investment advisors and independent broker-dealers deliver securities-based lending and private banking solutions, including warehouse lending, signature lines of credit and commercial banking, to their clients. The group’s in-depth experience combines with expert, personalized service and a turnkey digital securities-based lending solution to help investment and financial advisory firms do more for their clients. Western Alliance Bank is the primary subsidiary of Phoenix-based Western Alliance Bancorporation, with more than $50 billion in assets. The bank is again #1 best-performing of the 50 largest public U.S. banks in the S&P Global Market Intelligence listing for 2020 and ranks high on the Forbes “Best Banks in America” list year after year. Serving clients across the country wherever business happens, Western Alliance Bank operates individually branded, full-service banking and financial services divisions and has offices in key markets nationwide.