{
  "crd_number": 122545,
  "slug": "alpha-financial-advisors-llc-charlotte-nc-122545",
  "primary_business_name": "ALPHA FINANCIAL ADVISORS, LLC",
  "legal_name": "ALPHA FINANCIAL ADVISORS, LLC",
  "dbas": [],
  "city": "Charlotte",
  "state": "NC",
  "country": "United States",
  "cbsa_code": "16740",
  "metro": {
    "cbsa_code": "16740",
    "common_name": "Charlotte",
    "msa_name": "Charlotte-Concord-Gastonia, NC-SC",
    "path": "/advisors/nc/charlotte"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2014-05-06",
  "years_registered": 12,
  "period": "2026-10-01",
  "filing_date": "2026-06-26",
  "carried_forward": false,
  "raum_total": 619320059.0,
  "raum_discretionary": 617135744.0,
  "raum_non_discretionary": 2184315.0,
  "raum_band": "500m_1b",
  "raum_band_label": "$500 million to $1 billion",
  "total_employees": 9,
  "advisory_employees": 7,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "individuals": {
      "raum": 43213019.0,
      "count": 78
    },
    "pension_profit_sharing": {
      "raum": 1320037.0,
      "count": null,
      "fewer_than_5": true
    },
    "high_net_worth_individuals": {
      "raum": 574787003.0,
      "count": 181
    }
  },
  "compensation_types": [
    "fixed",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "other",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "CT",
    "FL",
    "NC",
    "NJ",
    "NY",
    "SC",
    "TX",
    "VA"
  ],
  "websites": [
    "https://alphafa.com",
    "https://facebook.com/ALPHAFINANCIALADVISORS",
    "https://linkedin.com/COMPANY/ALPHAFINANCIAL",
    "https://plus.google.com/+ALPHAFINANCIALADVISORSCHARLOTTE",
    "https://x.com/ALPHAFA_FEEONLY",
    "https://youtube.com/CHANNEL/UC9OUBDYKDIEHHTOKKQFKB6W"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/122545",
  "city_as_filed": "CHARLOTTE",
  "url": "https://advisorcensus.com/firm/alpha-financial-advisors-llc-charlotte-nc-122545",
  "display_name": "Alpha Financial Advisors, LLC",
  "summary": "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.",
  "citation": "AdvisorCensus. Alpha Financial Advisors, LLC (CRD 122545): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Other"
  ],
  "quick_answers": [
    {
      "q": "How is Alpha Financial Advisors, LLC compensated?",
      "a": "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)."
    },
    {
      "q": "What does Alpha Financial Advisors, LLC's brochure say about its fees?",
      "a": "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."
    },
    {
      "q": "Where is Alpha Financial Advisors, LLC located?",
      "a": "Alpha Financial Advisors, LLC's principal office is in Charlotte, NC, according to its Form ADV."
    },
    {
      "q": "Is Alpha Financial Advisors, LLC registered with the SEC or a state?",
      "a": "Alpha Financial Advisors, LLC is an SEC-registered investment advisory firm, registered since 2014. Status as filed: Approved. CRD 122545."
    },
    {
      "q": "How much does Alpha Financial Advisors, LLC manage?",
      "a": "Alpha Financial Advisors, LLC reports $619,320,059 in regulatory assets under management in its Form ADV filing dated June 26, 2026 (100% discretionary)."
    },
    {
      "q": "How have Alpha Financial Advisors, LLC's assets and staff changed since 2021?",
      "a": "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."
    },
    {
      "q": "What types of clients does Alpha Financial Advisors, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (181); individuals (other than high net worth individuals) (78)."
    },
    {
      "q": "Which custodians does Alpha Financial Advisors, LLC use?",
      "a": "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."
    },
    {
      "q": "Does Alpha Financial Advisors, LLC report any disciplinary disclosures?",
      "a": "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"
    },
    {
      "q": "What changed in Alpha Financial Advisors, LLC's recent Form ADV filings?",
      "a": "In the July 2026 filing data: Registered or notice-filed in CT."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 341580625.0,
      "total_employees": 7,
      "filing_date": "2021-03-30"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 412341503.0,
      "total_employees": 6,
      "filing_date": "2022-08-30"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 353648198.0,
      "total_employees": 10,
      "filing_date": "2023-05-25"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 444127297.0,
      "total_employees": 10,
      "filing_date": "2024-08-02"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 503100285.0,
      "total_employees": 10,
      "filing_date": "2025-06-27"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 619320059.0,
      "total_employees": 9,
      "filing_date": "2026-06-26"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-07-01",
      "period_label": "July 2026",
      "notes": [
        "Registered or notice-filed in CT."
      ]
    },
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "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)."
      ]
    },
    {
      "period": "2025-12-01",
      "period_label": "December 2025",
      "notes": [
        "Registered or notice-filed in NJ."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 22, 2026",
    "tiers": [
      {
        "band": "Up to $1,000,000",
        "rate": "1%"
      },
      {
        "band": "$1,000,000 to $3,000,000",
        "rate": "0.5%"
      },
      {
        "band": "Above $3,000,000",
        "rate": "0.35%"
      }
    ],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": null,
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "figures": [
      {
        "label": "Fee schedule",
        "statements": [
          "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"
        ],
        "quotes": [
          "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%"
        ]
      }
    ],
    "quotes": [
      "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%"
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    }
  ],
  "custodians_note": "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.",
  "markdown_url": "https://advisorcensus.com/firm/alpha-financial-advisors-llc-charlotte-nc-122545.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 78,
      "fewer_than_5": false,
      "raum": 43213019.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 181,
      "fewer_than_5": false,
      "raum": 574787003.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": null,
      "fewer_than_5": true,
      "raum": 1320037.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/122545",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}