# Alpha Rock Investments, LLC

> 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.

- CRD: 335453
- Filed as: ALPHA ROCK INVESTMENTS, LLC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Malvern, PA
- Filing period: October 2026
- Form ADV filing dated: January 29, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/335453
- AdvisorCensus page: https://advisorcensus.com/firm/alpha-rock-investments-llc-malvern-pa-335453

## Quick answers

**How is Alpha Rock Investments, LLC compensated?**
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.

**Where is Alpha Rock Investments, LLC located?**
Alpha Rock Investments, LLC's principal office is in Malvern, PA, according to its Form ADV.

**Is Alpha Rock Investments, LLC registered with the SEC or a state?**
Alpha Rock Investments, LLC is a state-registered investment advisory firm, registered since 2025. Status as filed: APPROVED. CRD 335453.

**How much does Alpha Rock Investments, LLC manage?**
Alpha Rock Investments, LLC reports $22,640,000 in regulatory assets under management in its Form ADV filing dated January 29, 2026 (100% discretionary).

**How have Alpha Rock Investments, LLC's assets and staff changed since 2025?**
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.

**What types of clients does Alpha Rock Investments, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (60); high net worth individuals (11).

**Does Alpha Rock Investments, LLC report any disciplinary disclosures?**
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

## From the Form ADV filing

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

### Regulatory assets under management (Item 5.F)
- Total: $22,640,000
- Discretionary: $22,640,000
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 60 | $11,132,000 |
| High net worth individuals | 11 | $11,508,000 |

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

### Firm details
- Registered since: 2025 (1 year)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: PA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- alpharockinvestments.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2025 | $16,500,000 | 1 | July 14, 2025 |
| October 2026 | $22,640,000 | 1 | January 29, 2026 |

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.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Alpha Rock Investments, LLC (CRD 335453): Form ADV filing data as of October 2026.