{ "crd_number": 313285, "slug": "alpha-new-york-ny-313285", "primary_business_name": "ALPHA", "legal_name": "ALPHA RIA LLC", "dbas": [], "city": "New York", "state": "NY", "country": "United States", "cbsa_code": "35620", "metro": { "cbsa_code": "35620", "common_name": "New York", "msa_name": "New York-Newark-Jersey City, NY-NJ", "path": "/advisors/ny/new-york" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2021-05-10", "years_registered": 5, "period": "2026-10-01", "filing_date": "2026-07-20", "carried_forward": false, "raum_total": 54128351.0, "raum_discretionary": 0.0, "raum_non_discretionary": 54128351.0, "raum_band": "25m_100m", "raum_band_label": "$25 million to $100 million", "total_employees": 2, "advisory_employees": 1, "client_count_bucket": null, "clients_by_type": { "high_net_worth_individuals": { "raum": 54128351.0, "count": 19 } }, "compensation_types": [ "percentage_of_aum" ], "advisory_activities": [ "portfolio_management_individuals" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "NY" ], "websites": [ "https://alpha-ria.com", "https://alphainvestmentsolutions.com", "https://facebook.com/alphainvestmentsolutions", "https://instagram.com/alphainvestmentsolutions", "https://linkedin.com/company/alphainvestmentsolutions", "https://twitter.com/Alpha_RIA_" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/313285", "city_as_filed": "NEW YORK", "url": "https://advisorcensus.com/firm/alpha-new-york-ny-313285", "display_name": "Alpha", "summary": "Alpha is an SEC-registered investment advisory firm in New York, NY, registered since 2021, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated July 20, 2026.", "citation": "AdvisorCensus. Alpha (CRD 313285): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management" ], "advisory_activity_labels": [ "Portfolio management for individuals and/or small businesses" ], "quick_answers": [ { "q": "How is Alpha compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Alpha reports these compensation arrangements: a percentage of assets under its management." }, { "q": "What does Alpha's brochure say about its fees?", "a": "Its Form ADV Part 2A brochure dated July 20, 2026 states: Asset-based fee: 1.5% of assets a year. Fees can differ by service and may be negotiable; the brochure is the complete statement." }, { "q": "Where is Alpha located?", "a": "Alpha's principal office is in New York, NY, according to its Form ADV." }, { "q": "Is Alpha registered with the SEC or a state?", "a": "Alpha is an SEC-registered investment advisory firm, registered since 2021. Status as filed: Approved. CRD 313285." }, { "q": "How much does Alpha manage?", "a": "Alpha reports $54,128,351 in regulatory assets under management in its Form ADV filing dated July 20, 2026 (0% discretionary)." }, { "q": "How have Alpha's assets and staff changed since 2021?", "a": "In the Form ADV data for Alpha: Regulatory assets under management: $30,500,000 in the October 2021 data and $54,128,351 in the October 2026 data, up 77%. Total employees: 1 in October 2021 and 2 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Alpha serve?", "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (19)." }, { "q": "Which custodians does Alpha use?", "a": "Alpha's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Morgan Stanley and Ucap Americas as custodians holding 10% or more of its separately managed account assets." }, { "q": "Does Alpha 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/313285" }, { "q": "Does Alpha state an account minimum?", "a": "Its Form ADV Part 2A brochure dated July 20, 2026 says: \"There is an account minimum of $1,000,000 (or foreign currency equivalent) for SMAs. This minimum may be waived by Alpha at its discretion.\"" } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 30500000.0, "total_employees": 1, "filing_date": "2021-05-11" }, { "period": "2022-10-01", "regulatory_assets_under_management": 43276722.0, "total_employees": 1, "filing_date": "2022-04-05" }, { "period": "2023-10-01", "regulatory_assets_under_management": 55492684.0, "total_employees": 2, "filing_date": "2023-04-03" }, { "period": "2024-10-01", "regulatory_assets_under_management": 69967512.0, "total_employees": 2, "filing_date": "2024-04-02" }, { "period": "2025-10-01", "regulatory_assets_under_management": 54462898.0, "total_employees": 2, "filing_date": "2025-03-31" }, { "period": "2026-10-01", "regulatory_assets_under_management": 54128351.0, "total_employees": 2, "filing_date": "2026-07-20" } ], "recent_changes": [], "fees_from_brochure": { "source": "Form ADV Part 2A brochure dated July 20, 2026", "tiers": [], "flat_rate": "1.5% of assets a year", "stated_range": null, "stated_maximum": null, "account_minimum": "$1,000,000", "account_minimum_may_be_waived": true, "minimum_annual_fee": null, "figures": [ { "label": "Asset-based fee", "statements": [ "Asset-based fee: 1.5% of assets a year" ], "quotes": [ "Total Assets Under Management Annual Management Fee\nAll Assets 1.50% or lower" ] }, { "label": "Account minimum", "statements": [ "Account minimum: $1,000,000 (the brochure says it may be waived or negotiated)" ], "quotes": [ "There is an account minimum of $1,000,000 (or foreign currency equivalent) for SMAs. This minimum may be waived by Alpha at its discretion." ] } ], "quotes": [ "Total Assets Under Management Annual Management Fee\nAll Assets 1.50% or lower", "There is an account minimum of $1,000,000 (or foreign currency equivalent) for SMAs. This minimum may be waived by Alpha at its discretion." ], "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable." }, "custodians": [ { "name": "Morgan Stanley", "name_as_filed": "MORGAN STANLEY", "affiliated": false }, { "name": "Ucap Americas", "name_as_filed": "UCAP AMERICAS", "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-new-york-ny-313285.md", "clients": [ { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 19, "fewer_than_5": false, "raum": 54128351.0 } ], "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/313285", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }