# Alpha Omega Financial

> Alpha Omega Financial is an SEC-registered investment advisory firm, registered since 2021, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated February 9, 2026.

- CRD: 314289
- Filed as: ALPHA OMEGA FINANCIAL
- Legal name: Alpha Omega Financial Advisory, Inc.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Filing period: October 2026
- Form ADV filing dated: February 9, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/314289
- AdvisorCensus page: https://advisorcensus.com/firm/alpha-omega-financial-314289

## Quick answers

**How is Alpha Omega Financial compensated?**
On its Form ADV (Item 5.E, October 2026), Alpha Omega Financial reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees).

**Is Alpha Omega Financial registered with the SEC or a state?**
Alpha Omega Financial is an SEC-registered investment advisory firm, registered since 2021. Status as filed: Approved. CRD 314289.

**How much does Alpha Omega Financial manage?**
Alpha Omega Financial reports $186,968,599 in regulatory assets under management in its Form ADV filing dated February 9, 2026 (100% discretionary).

**How have Alpha Omega Financial's assets and staff changed since 2021?**
In the Form ADV data for Alpha Omega Financial: Regulatory assets under management: $120,461,351 in the October 2021 data and $186,968,599 in the October 2026 data, up 55%. Total employees: 2 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 Omega Financial serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (46); individuals (other than high net worth individuals) (40); charitable organizations (1).

**Which custodians does Alpha Omega Financial use?**
Alpha Omega Financial'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 Omega Financial 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/314289

**Does Alpha Omega Financial state an account minimum?**
Its Form ADV Part 2A brochure dated February 9, 2026 says: "In general, we require a minimum of $500,000 to open and maintain an advisory account. At our discretion, we may waive this minimum account size."

**What changed in Alpha Omega Financial's recent Form ADV filings?**
In the March 2026 filing data: Regulatory assets under management went from $161,584,105 to $186,968,599 (+16%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)

### Fees and minimums (Form ADV Part 2A brochure dated February 9, 2026)

- Account minimum: $500,000 (the brochure says it may be waived or negotiated)

> In general, we require a minimum of $500,000 to open and maintain an advisory account. At our discretion, we may waive this minimum account size.

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

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

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: $186,968,599
- Discretionary: $186,968,599
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 40 | $17,557,749 |
| High net worth individuals | 46 | $168,277,100 |
| Charitable organizations | 1 | $1,133,750 |

### Advisory services (Item 5.G)
- Financial planning services
- 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: DE, FL, MD, NC, NY, PA, TX, VA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $120,461,351 | 2 | August 27, 2021 |
| October 2022 | $128,946,796 | 2 | January 25, 2022 |
| October 2023 | $111,645,795 | 2 | August 22, 2023 |
| October 2024 | $139,280,898 | 2 | May 23, 2024 |
| October 2025 | $161,584,105 | 2 | February 5, 2025 |
| October 2026 | $186,968,599 | 2 | February 9, 2026 |

Regulatory assets under management: $120,461,351 in the October 2021 data and $186,968,599 in the October 2026 data, up 55%.
Total employees: 2 in October 2021 and 2 in October 2026.

## Changes in the filing (last 12 months)

### March 2026
- Regulatory assets under management went from $161,584,105 to $186,968,599 (+16%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Alpha Omega Financial (CRD 314289): Form ADV filing data as of October 2026.