AdvisorCensus / Financial advisors / North Carolina / Charlotte / Alpha Financial Advisors, LLC
Alpha Financial Advisors, LLC is an SEC-registered investment advisory firm in Charlotte, NC, registered since 2014, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated June 26, 2026.
Quick answers
From the filingHow is Alpha Financial Advisors, LLC compensated?
On its Form ADV (Item 5.E, October 2026), Alpha Financial Advisors, LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees).
What does Alpha Financial Advisors, LLC's brochure say about its fees?
Its Form ADV Part 2A brochure dated March 22, 2026 states: Up to $1,000,000: 1% a year; $1,000,000 to $3,000,000: 0.5% a year; Above $3,000,000: 0.35% a year. Fees can differ by service and may be negotiable; the brochure is the complete statement.
Where is Alpha Financial Advisors, LLC located?
Alpha Financial Advisors, LLC's principal office is in Charlotte, NC, according to its Form ADV.
Is Alpha Financial Advisors, LLC registered with the SEC or a state?
Alpha Financial Advisors, LLC is an SEC-registered investment advisory firm, registered since 2014. Status as filed: Approved. CRD 122545.
How much does Alpha Financial Advisors, LLC manage?
Alpha Financial Advisors, LLC reports $619,320,059 in regulatory assets under management in its Form ADV filing dated June 26, 2026 (100% discretionary).
How have Alpha Financial Advisors, LLC's assets and staff changed since 2021?
In the Form ADV data for Alpha Financial Advisors, LLC: Regulatory assets under management: $341,580,625 in the October 2021 data and $619,320,059 in the October 2026 data, up 81%. Total employees: 7 in October 2021 and 9 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Alpha Financial Advisors, LLC serve?
By number of clients on Form ADV Item 5.D: high net worth individuals (181); individuals (other than high net worth individuals) (78).
Which custodians does Alpha Financial Advisors, LLC use?
Alpha Financial Advisors, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.
Does Alpha Financial Advisors, LLC report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/122545
What changed in Alpha Financial Advisors, LLC's recent Form ADV filings?
In the July 2026 filing data: Registered or notice-filed in CT.
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Fixed fees (other than subscription fees)
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2A| Assets | Annual rate |
|---|---|
| Up to $1,000,000 | 1% |
| $1,000,000 to $3,000,000 | 0.5% |
| Above $3,000,000 | 0.35% |
The brochure's wording
The annualized fee for investment management services is calculated according to the following schedule: Assets under management Annual fee First $1,000,000 1.00%* Additional assets above $1,000,000 but less than $3,000,000 0.50% Additional assets above $3,000,000 0.35%
As stated in the firm's Form ADV Part 2A brochure dated March 22, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$619,320,059 as of October 2026, filing dated June 26, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Financial planning services
- Portfolio management for individuals and/or small businesses
- Other
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2014 (12 years)
- Employees
- Total: 9. Performing investment advisory functions: 7.
- Wrap fee program participation
- No.
- Custodians (Schedule D, Section 5.K(3))
-
Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.
- States registered or notice-filed
-
8 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $619,320,059 | 9 | June 26, 2026 |
| October 2025 | $503,100,285 | 10 | June 27, 2025 |
| October 2024 | $444,127,297 | 10 | August 2, 2024 |
| October 2023 | $353,648,198 | 10 | May 25, 2023 |
| October 2022 | $412,341,503 | 6 | August 30, 2022 |
| October 2021 | $341,580,625 | 7 | March 30, 2021 |
Regulatory assets under management: $341,580,625 in the October 2021 data and $619,320,059 in the October 2026 data, up 81%.
Total employees: 7 in October 2021 and 9 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- July 2026
- Registered or notice-filed in CT.
- April 2026
- Employees performing advisory functions went from 8 to 7.
- Regulatory assets under management went from $503,100,285 to $619,320,059 (+23%).
- Updated its list of owners and control persons (Schedule A).
- December 2025
- Registered or notice-filed in NJ.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Alpha Financial Advisors, LLC (CRD 122545): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/alpha-financial-advisors-llc-charlotte-nc-122545