# Alpha

> 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.

- CRD: 313285
- Filed as: ALPHA
- Legal name: Alpha RIA LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New York, NY
- Filing period: October 2026
- Form ADV filing dated: July 20, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/313285
- AdvisorCensus page: https://advisorcensus.com/firm/alpha-new-york-ny-313285

## Quick answers

**How is Alpha compensated?**
On its Form ADV (Item 5.E, October 2026), Alpha reports these compensation arrangements: a percentage of assets under its management.

**What does Alpha's brochure say about its fees?**
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.

**Where is Alpha located?**
Alpha's principal office is in New York, NY, according to its Form ADV.

**Is Alpha registered with the SEC or a state?**
Alpha is an SEC-registered investment advisory firm, registered since 2021. Status as filed: Approved. CRD 313285.

**How much does Alpha manage?**
Alpha reports $54,128,351 in regulatory assets under management in its Form ADV filing dated July 20, 2026 (0% discretionary).

**How have Alpha's assets and staff changed since 2021?**
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.

**What types of clients does Alpha serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (19).

**Which custodians does Alpha use?**
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.

**Does Alpha 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/313285

**Does Alpha state an account minimum?**
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."

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Fees and minimums (Form ADV Part 2A brochure dated July 20, 2026)

- Asset-based fee: 1.5% of assets a year

> Total Assets Under Management Annual Management Fee All Assets 1.50% or lower

- Account minimum: $1,000,000 (the brochure says it may be waived or negotiated)

> 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.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Morgan Stanley
- Ucap Americas

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.

### Regulatory assets under management (Item 5.F)
- Total: $54,128,351
- Discretionary: $0
- Non-discretionary: $54,128,351

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| High net worth individuals | 19 | $54,128,351 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2021 (5 years)
- Employees: 2 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: NY
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- alpha-ria.com
- alphainvestmentsolutions.com
- Facebook @alphainvestmentsolutions
- Instagram @alphainvestmentsolutions
- LinkedIn @alphainvestmentsolutions
- X @Alpha_RIA_

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $30,500,000 | 1 | May 11, 2021 |
| October 2022 | $43,276,722 | 1 | April 5, 2022 |
| October 2023 | $55,492,684 | 2 | April 3, 2023 |
| October 2024 | $69,967,512 | 2 | April 2, 2024 |
| October 2025 | $54,462,898 | 2 | March 31, 2025 |
| October 2026 | $54,128,351 | 2 | July 20, 2026 |

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.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Alpha (CRD 313285): Form ADV filing data as of October 2026.