{ "crd_number": 149842, "slug": "alpha-omega-wealth-management-llc-richmond-va-149842", "primary_business_name": "ALPHA OMEGA WEALTH MANAGEMENT, LLC", "legal_name": "ALPHA OMEGA WEALTH MANAGEMENT, LLC", "dbas": [], "city": "Richmond", "state": "VA", "country": "United States", "cbsa_code": "40060", "metro": { "cbsa_code": "40060", "common_name": "Richmond", "msa_name": "Richmond, VA", "path": "/advisors/va/richmond" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2009-04-21", "years_registered": 17, "period": "2026-10-01", "filing_date": "2026-09-14", "carried_forward": false, "raum_total": 1023955176.0, "raum_discretionary": 913362572.0, "raum_non_discretionary": 110592604.0, "raum_band": "1b_5b", "raum_band_label": "$1 billion to $5 billion", "total_employees": 9, "advisory_employees": 9, "client_count_bucket": null, "clients_by_type": { "charitable": { "raum": 19756106.0, "count": 13 }, "individuals": { "raum": 113256363.0, "count": 267 }, "high_net_worth_individuals": { "raum": 879264365.0, "count": 206 }, "corporations_other_businesses": { "raum": 11678342.0, "count": 4 } }, "compensation_types": [ "fixed", "hourly", "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "pension_consulting", "portfolio_management_individuals", "selection_of_other_advisers" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "FL", "IL", "LA", "MD", "NC", "NH", "NY", "SC", "TX", "VA" ], "websites": [ "https://aowealth.com", "https://linkedin.com/company/alpha-omega-wealth-management", "https://linkedin.com/in/bill-noftsinger-2805527", "https://linkedin.com/in/clay-hilbert-0b906512", "https://linkedin.com/in/clement-teden-362b495", "https://linkedin.com/in/ericfitzgeraldcfp", "https://linkedin.com/in/everett-reveley-9aa9aa1", "https://linkedin.com/in/leann-mitchell-crpc%C2%AE-b5bb7216", "https://linkedin.com/in/nelson-reveley-26575b93" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/149842", "city_as_filed": "RICHMOND", "url": "https://advisorcensus.com/firm/alpha-omega-wealth-management-llc-richmond-va-149842", "display_name": "Alpha Omega Wealth Management, LLC", "summary": "Alpha Omega Wealth Management, LLC is an SEC-registered investment advisory firm in Richmond, VA, registered since 2009, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated September 14, 2026.", "citation": "AdvisorCensus. Alpha Omega Wealth Management, LLC (CRD 149842): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Hourly charges", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses", "Pension consulting services", "Selection of other advisers (including private fund managers)" ], "quick_answers": [ { "q": "How is Alpha Omega Wealth Management, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Alpha Omega Wealth Management, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)." }, { "q": "Where is Alpha Omega Wealth Management, LLC located?", "a": "Alpha Omega Wealth Management, LLC's principal office is in Richmond, VA, according to its Form ADV; the October 2026 filing also lists 1 other office (Schedule D, Section 1.F)." }, { "q": "Is Alpha Omega Wealth Management, LLC registered with the SEC or a state?", "a": "Alpha Omega Wealth Management, LLC is an SEC-registered investment advisory firm, registered since 2009. Status as filed: Approved. CRD 149842." }, { "q": "How much does Alpha Omega Wealth Management, LLC manage?", "a": "Alpha Omega Wealth Management, LLC reports $1,023,955,176 in regulatory assets under management in its Form ADV filing dated September 14, 2026 (89% discretionary)." }, { "q": "How have Alpha Omega Wealth Management, LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for Alpha Omega Wealth Management, LLC: Regulatory assets under management: $1,175,730,087 in the October 2021 data and $1,023,955,176 in the October 2026 data, down 13%. Total employees: 11 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 Omega Wealth Management, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (267); high net worth individuals (206); charitable organizations (13)." }, { "q": "Which custodians does Alpha Omega Wealth Management, LLC use?", "a": "Alpha Omega Wealth Management, 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 Omega Wealth Management, 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/149842" }, { "q": "What changed in Alpha Omega Wealth Management, LLC's recent Form ADV filings?", "a": "In the October 2026 filing data: Registered or notice-filed in IL." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 1175730087.0, "total_employees": 11, "filing_date": "2021-04-30" }, { "period": "2022-10-01", "regulatory_assets_under_management": 995018782.0, "total_employees": 11, "filing_date": "2022-09-15" }, { "period": "2023-10-01", "regulatory_assets_under_management": 904044433.0, "total_employees": 11, "filing_date": "2023-03-07" }, { "period": "2024-10-01", "regulatory_assets_under_management": 995225765.0, "total_employees": 10, "filing_date": "2024-03-14" }, { "period": "2025-10-01", "regulatory_assets_under_management": 905828765.0, "total_employees": 9, "filing_date": "2025-03-27" }, { "period": "2026-10-01", "regulatory_assets_under_management": 1023955176.0, "total_employees": 9, "filing_date": "2026-09-14" } ], "recent_changes": [ { "period": "2026-10-01", "period_label": "October 2026", "notes": [ "Registered or notice-filed in IL." ] }, { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Regulatory assets under management went from $905,828,765 to $1,023,955,176 (+13%)." ] } ], "fees_from_brochure": null, "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-omega-wealth-management-llc-richmond-va-149842.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 267, "fewer_than_5": false, "raum": 113256363.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 206, "fewer_than_5": false, "raum": 879264365.0 }, { "type": "charitable", "label": "Charitable organizations", "count": 13, "fewer_than_5": false, "raum": 19756106.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 4, "fewer_than_5": false, "raum": 11678342.0 } ], "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/149842", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }