Alliance Partners LLC

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
FORBRIGHT BANK
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.

This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
FEDERAL DEPOSIT INSURANCE CORPORATION AND OFFICE OF THE COMMISSIONER OF FINAICAL REGULATION, STATE OF MARYLAND
2.
Principal Sanction:
Other
Other Sanctions: 
CONSENT
3.
Date Initiated (MM/DD/YYYY): 
12/14/2022
 Exact
 Explanation
If not exact, provide explanation:
UPON FURTHER REVIEW, THE FIRM HAS REVISED ITS POSITION AND DETERMINED THAT THE CONSENT ORDER ENTERED INTO ON DECEMBER 14, 2022,
BETWEEN FORBRIGHT BANK AND THE FDIC/OCFR OF MARYLAND IS DISCLOSABLE PURSUANT TO ITEMS 11.D(2) AND 11.D(4). THE FIRM'S INITIAL
INTERPRETATION OF ITEMS 11.D(2) AND 11.D(4) WAS THAT THE CONSENT ORDER INVOLVING THE FIRM'S ADVISORY AFFILIATE WAS NOT MATERIAL TO
THE FIRM'S INVESTMENT-RELATED ACTIVITIES. ACCORDINGLY, THE FIRM IS AMENDING ITS DISCLOSURES.
4.
Docket/Case Number:
FDIC-22-0152B
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
Banking Products (Other than CD(s))
Other Product Types: 
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
THE FDIC AND OCFR DETERMINED, AND FORBRIGHT BANK NEITHER ADMITS NOR DENIES, THAT THE BANK HAS ENGAGED IN UNSAFE OR UNSOUND
BANKING PRACTICES OR VIOLATIONS OF LAW OR REGULATION RELATING TO, AMONG OTHER THINGS, TO DEFICIENCIES AND WEAKNESSES IN THE
BANK'S ANTI-MONEY LAUNDERING/COUNTERING THE FINANCING OF TERRORISM PROGRAMS.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Stipulation and Consent
11. Resolution Date (MM/DD/YYYY):
12/14/2022
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:

A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
STIPULATION AND CONSENT TO THE ISSUANCE OF A CONSENT ORDER.
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
FORBRIGHT BANK HAS CONSENTED, WITHOUT ADMITTING OR DENYING ANY CHARGES OF UNSAFE OR UNSOUND BANKING PRACTICES, TO (A)
IMPROVE, CONSISTENT WITH THE ROLE AND EXPERTISE EXPECTED FOR DIRECTORS OF BANKS OF COMPARABLE SIZE AND RISK, ITS
SUPERVISION AND DIRECTION OF THE AML/CFT PROGRAM; (B) ENSURE THAT THE AML/CFT PROGRAM IS REASONABLY DESIGNED TO ASSURE AND
MONITOR THE BANK'S COMPLIANCE WITH THE BSA AND PROVIDE CLEAR AND UP-TO-DATE GUIDANCE TO BANK STAFF; (C) SUBMIT A PROPOSED
ENGAGEMENT LETTER OR CONTRACT FOR REVIEW AND NON-OBJECTION TO RETAIN A QUALIFIED FIRM ACCEPTABLE TO THE DEPUTY REGIONAL
DIRECTOR AND THE COMMISSIONER TO CONDUCT A REVIEW OF ALL ACCOUNTS AND TRANSACTION ACTIVITY FOR THE SPECIFIED TIME PERIOD;
(D) ENSURE THAT THE BANK COMPLIES WITH THE REQUIREMENTS OF THE LAWS AND REGULATIONS ADMINISTERED BY THE OFFICE OF FOREIGN
ASSETS CONTROL AND THAT THE PROGRAM ESTABLISHED BY THE BANK ENABLES THE BANK TO COMPLY WITH THE OFAC REQUIREMENTS; (E)
ESTABLISH A BOARD AML/CFT COMPLIANCE COMMITTEE WITH THE RESPONSIBILITY OF OVERSEEING THE BANK'S COMPLIANCE WITH THIS
ORDER, THE BSA, AND THE AML/CFT PROGRAM; (F) ENSURE THAT ALL STEPS NECESSARY, CONSISTENT WITH OTHER PROVISIONS OF THIS ORDER
AND SOUND BANKING PRACTICES, ARE TAKEN TO ELIMINATE AND CORRECT ANY VIOLATIONS OF LAW OR REGULATION CITED AND
APPROPRIATELY ADDRESS THE DEFICIENCIES AND WEAKNESSES IDENTIFIED; (G) FURNISH TO THE DEPUTY REGIONAL DIRECTOR AND THE
COMMISSIONER WRITTEN PROGRESS REPORTS DETAILING THE FORM, MANNER, AND RESULTS OF ANY ACTIONS TAKEN TO SECURE COMPLIANCE
WITH THIS ORDER; (H) PROVIDE EITHER A COPY OF THIS ORDER OR AN ACCURATE AND COMPLETE DESCRIPTION OF ALL MATERIAL ASPECTS OF
THE ORDER TO THE BOARD OF DIRECTORS OF ITS PARENT HOLDING COMPANY.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
ON DECEMBER 14, 2022 FORBRIGHT ENTERED INTO A CONSENT AGREEMENT TO CONDUCT A REVIEW OF ITS SUPERVISORY SYSTEMS AND PROCEDURES
IN SPECIFIC AREAS IDENTIFIED IN THE CONSENT ORDER. FORBRIGHT NEITHER ADMITTED NOR DENIED THE FINDINGS AND CONSENTED TO THEM AS
DESCRIBED.

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
This advisory affiliate is 
a Firm
an Individual

Registered:
Yes
No
Name:
FORBRIGHT BANK
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
FEDERAL DEPOSIT INSURANCE CORPORATION AND OFFICE OF FINANCIAL REGULATION, STATE OF MARYLAND
2.
Principal Sanction:
Other
Other Sanctions: 
CONSENT
3.
Date Initiated (MM/DD/YYYY): 
05/03/2024
 Exact
 Explanation
If not exact, provide explanation:
THE FIRM CONDUCTED A THOROUGH REVIEW TO ENSURE THE ACCURACY AND COMPLETENESS OF ITS ASSESSMENT BEFORE DETERMINING THAT THE
CONSENT ORDER INVOLVING THE FIRM'S ADVISORY AFFILIATE, FORBRIGHT BANK, AND THE FDIC/OFR OF MARYLAND IS DISCLOSABLE CONCERNING THE
FIRM'S INVESTMENT-RELATED ACTIVITIES. ACCORDINGLY, THE FIRM IS ADDING A DISCLOSURE REPORTING PAGE SPECIFICALLY FOR THIS CONSENT
ORDER.
4.
Docket/Case Number:
FDIC-23-0125B
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
Debt - Corporate
Other Product Types: 
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
THE FDIC AND OFR DETERMINED, AND FORBRIGHT BANK NEITHER ADMITS NOR DENIES, THAT THE BANK HAS ENGAGED IN (I) UNSAFE AND UNSOUND
BANKING PRACTICES RELATING TO, AMONG OTHER THINGS, DEFICIENCIES AND WEAKNESSES IN THE SUPERVISION AND DIRECTION OF MANAGEMENT
BY THE BANK'S BOARD OF DIRECTORS; MANAGEMENT PERFORMANCE; RISK MANAGEMENT; CAPITAL PLANNING; LIQUIDITY AND FUNDS MANAGEMENT;
AND INTEREST RATE RISK; (II) VIOLATIONS OF LAW OR REGULATIONS, INCLUDING SECTION 22(H) OF THE FEDERAL RESERVE ACT AS IMPLEMENTED BY
12 C.F.R. § 215, AND MARYLAND ANNOTATED CODE, FINANCIAL INSTITUTIONS ARTICLE 2 § 3­403(B); AND (III) NONCONFORMANCE WITH THE
INTERAGENCY GUIDELINES ESTABLISHING STANDARDS FOR SAFETY AND SOUNDNESS, APPENDIX A TO 12 C.F.R. PART 364 WITH RESPECT TO THE
BANK'S INTERNAL CONTROLS AND INFORMATION SYSTEMS, AND INTEREST RATE EXPOSURE.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved:
Stipulation and Consent
11. Resolution Date (MM/DD/YYYY):
05/03/2024
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
STIPULATION AND CONSENT TO THE ISSUANCE OF THE CONSENT ORDER
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
FORBRIGHT BANK HAS CONSENTED, WITHOUT ADMITTING OR DENYING ANY CHARGES OF UNSAFE OR UNSOUND BANKING PRACTICES, TO (A)
IMMEDIATELY INCREASE, COMMENSURATED WITH THE SIZE OF THE BANK AND THE NATURE, SCOPE, COMPLEXITY, AND RISK OF BANK
ACTIVITIES, ITS SUPERVISION AND DIRECTION OF BANK MANAGEMENT, AND ITS OVERSIGHT AND MONITORING OF THE BANK'S FINANCIAL
CONDITION, RISK PROFILE, OPERATIONS; (B) ENSURE THAT THE BANK'S FUNDS MANAGEMENT PROGRAM, RELATED POLICIES & PROCEDURES,
AND THE LIQUIDITY ANALYSIS IS REVISED TO ADEQUATELY ADDRESS THE DEFICIENCIES AND WEAKNESSES IDENTIFIED; (C) REVISE ITS CAPITAL
PLANNING AND MONITORING FRAMEWORK AND SUBMIT IT TO THE DRD AND THE COMMISSIONER FOR REVIEW AND COMMENT; (D) ENSURE IT
ADDRESSES THE DEFICIENCIES AND WEAKNESSES RELATED TO INTEREST RATE RISK MANAGEMENT; (E) ENSURE THAT THE BANK DOES NOT
DECLARE OR PAY ANY CASH DIVIDENDS OR OTHER CAPITAL DISTRIBUTIONS WITHOUT THE PRIOR NON-OBJECTION OF THE DRD AND THE
COMMISSIONER; (F) ENSURE THAT THE BANK'S TOTAL ASSETS, DO NOT INCREASE BY MORE THAN 5% DURING ANY CALENDAR QUARTER AND DO
NOT INCREASE BY MORE THAN 10% ANNUALLY; (G) SUBMIT A WRITTEN PLAN DETAILING HOW THE BOARD WILL ENSURE THE REQUIREMENTS OF
THIS ORDER ARE MET IN A TIMELY MANNER TO THE DRD AND THE COMMISSIONER FOR REVIEW AND COMMENT; (H) TO FURNISH WRITTEN
PROGRESS REPORTS DETAILING THE FORM, MANNER, AND RESULTS OF ANY ACTIONS TAKEN TO SECURE COMPLIANCE WITH THIS ORDER TO THE
DRD AND THE COMMISSIONER; (I) PROVIDE EITHER A COPY OF THIS ORDER OR AN ACCURATE AND COMPLETE DESCRIPTION OF ALL MATERIAL
ASPECTS OF THE ORDER TO THE BOARD OF DIRECTORS OF ITS PARENT HOLDING COMPANY.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
ON MAY 3, 2024 FORBRIGHT ENTERED INTO A CONSENT AGREEMENT TO CONDUCT A REVIEW OF ITS SUPERVISORY SYSTEMS AND PROCEDURES IN
SPECIFIC AREAS IDENTIFIED IN THE CONSENT ORDER. FORBRIGHT NEITHER ADMITTED NOR DENIED THE FINDINGS AND CONSENTED TO THEM AS
DESCRIBED.