{
  "crd_number": 335453,
  "slug": "alpha-rock-investments-llc-malvern-pa-335453",
  "primary_business_name": "ALPHA ROCK INVESTMENTS, LLC",
  "legal_name": "ALPHA ROCK INVESTMENTS, LLC",
  "dbas": [],
  "city": "Malvern",
  "state": "PA",
  "country": "United States",
  "cbsa_code": "37980",
  "metro": {
    "cbsa_code": "37980",
    "common_name": "Philadelphia",
    "msa_name": "Philadelphia-Camden-Wilmington, PA-NJ-DE-MD",
    "path": "/advisors/pa/philadelphia"
  },
  "registration_type": "state",
  "registration_status": "APPROVED",
  "registration_date": "2025-08-06",
  "years_registered": 1,
  "period": "2026-10-01",
  "filing_date": "2026-01-29",
  "carried_forward": false,
  "raum_total": 22640000.0,
  "raum_discretionary": 22640000.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "under_25m",
  "raum_band_label": "Under $25 million",
  "total_employees": 1,
  "advisory_employees": 1,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 11132000.0,
      "count": 60
    },
    "high_net_worth_individuals": {
      "raum": 11508000.0,
      "count": 11
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "PA"
  ],
  "websites": [
    "https://alpharockinvestments.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/335453",
  "city_as_filed": "MALVERN",
  "url": "https://advisorcensus.com/firm/alpha-rock-investments-llc-malvern-pa-335453",
  "display_name": "Alpha Rock Investments, LLC",
  "summary": "Alpha Rock Investments, LLC is a state-registered investment advisory firm in Malvern, PA, registered since 2025, reporting under $25 million in regulatory assets under management in its Form ADV filing dated January 29, 2026.",
  "citation": "AdvisorCensus. Alpha Rock Investments, LLC (CRD 335453): Form ADV filing data as of October 2026.",
  "registration_type_label": "State-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 Rock Investments, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Alpha Rock Investments, LLC reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Where is Alpha Rock Investments, LLC located?",
      "a": "Alpha Rock Investments, LLC's principal office is in Malvern, PA, according to its Form ADV."
    },
    {
      "q": "Is Alpha Rock Investments, LLC registered with the SEC or a state?",
      "a": "Alpha Rock Investments, LLC is a state-registered investment advisory firm, registered since 2025. Status as filed: APPROVED. CRD 335453."
    },
    {
      "q": "How much does Alpha Rock Investments, LLC manage?",
      "a": "Alpha Rock Investments, LLC reports $22,640,000 in regulatory assets under management in its Form ADV filing dated January 29, 2026 (100% discretionary)."
    },
    {
      "q": "How have Alpha Rock Investments, LLC's assets and staff changed since 2025?",
      "a": "In the Form ADV data for Alpha Rock Investments, LLC: Regulatory assets under management: $16,500,000 in the October 2025 data and $22,640,000 in the October 2026 data, up 37%. Total employees: 1 in October 2025 and 1 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Alpha Rock Investments, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (60); high net worth individuals (11)."
    },
    {
      "q": "Does Alpha Rock Investments, 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 public record on IAPD: https://adviserinfo.sec.gov/firm/summary/335453"
    }
  ],
  "filing_history": [
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 16500000.0,
      "total_employees": 1,
      "filing_date": "2025-07-14"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 22640000.0,
      "total_employees": 1,
      "filing_date": "2026-01-29"
    }
  ],
  "recent_changes": [],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/alpha-rock-investments-llc-malvern-pa-335453.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 60,
      "fewer_than_5": false,
      "raum": 11132000.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 11,
      "fewer_than_5": false,
      "raum": 11508000.0
    }
  ],
  "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/335453",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}