# Alpha Wealth Management and Planning LLC

> Alpha Wealth Management and Planning LLC is an SEC-registered investment advisory firm in Novato, CA, registered since 2016, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated August 3, 2026.

- CRD: 163917
- Filed as: ALPHA WEALTH MANAGEMENT AND PLANNING LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Novato, CA
- Filing period: October 2026
- Form ADV filing dated: August 3, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/163917
- AdvisorCensus page: https://advisorcensus.com/firm/alpha-wealth-management-and-planning-llc-novato-ca-163917

## Quick answers

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

**How much does Alpha Wealth Management and Planning LLC charge?**
Its Form ADV Part 2A brochure dated July 21, 2026 states: Hourly rate: $250 to $400 an hour (financial planning services); Flat fee: $1,000 to $15,000 (financial planning services). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is Alpha Wealth Management and Planning LLC located?**
Alpha Wealth Management and Planning LLC's principal office is in Novato, CA, according to its Form ADV; the September 2026 filing also lists 1 other office (Schedule D, Section 1.F).

**Is Alpha Wealth Management and Planning LLC registered with the SEC or a state?**
Alpha Wealth Management and Planning LLC is an SEC-registered investment advisory firm, registered since 2016. Status as filed: Approved. CRD 163917.

**How much does Alpha Wealth Management and Planning LLC manage?**
Alpha Wealth Management and Planning LLC reports $319,574,000 in regulatory assets under management in its Form ADV filing dated August 3, 2026 (97% discretionary).

**How have Alpha Wealth Management and Planning LLC's assets and staff changed since 2021?**
In the Form ADV data for Alpha Wealth Management and Planning LLC: Regulatory assets under management: $233,549,127 in the October 2021 data and $319,574,000 in the October 2026 data, up 37%. Total employees: 8 in October 2021 and 8 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Alpha Wealth Management and Planning LLC serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (241); individuals (other than high net worth individuals) (232); corporations or other businesses not listed above (4).

**Which custodians does Alpha Wealth Management and Planning LLC use?**
Alpha Wealth Management and Planning LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists LPL Financial LLC as a custodian holding 10% or more of its separately managed account assets.

**Does Alpha Wealth Management and Planning LLC 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/163917

**What changed in Alpha Wealth Management and Planning LLC's recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $355,865,030 to $319,574,000 (-10%).

## From the Form ADV filing

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

### Fees and minimums (Form ADV Part 2A brochure dated July 21, 2026)

- Hourly rate: $250 to $400 an hour (financial planning services)

> Alpha Wealth Management and Planning offers financial planning services either on an hourly basis or a fixed engagement fee. Hourly engagements range from $250 to $400 per hour.

- Flat fee: $1,000 to $15,000 (financial planning services)

> Fixed fee engagement fee range from $1,000 to $15,000. Fees may be negotiable based on the nature and complexity of the services to be provided

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

### Custodians (Schedule D, Section 5.K(3))
- LPL Financial LLC

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: $319,574,000
- Discretionary: $309,519,000
- Non-discretionary: $10,055,000

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 232 | $84,105,000 |
| High net worth individuals | 241 | $216,701,000 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 2 | $12,372,000 |
| Charitable organizations | 1 | $5,947,000 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 4 | $449,000 |
| Other | 0 | $0 |

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

### Firm details
- Registered since: 2016 (9 years)
- Employees: 8 total, 5 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: AZ, CA, FL, NV, OR, TX, WA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the September 2026 filing
- Santa Rosa, CA

### Websites listed on Form ADV (Item 1.I)
- [alphawmp.com](https://alphawmp.com)
- Facebook @northbayfinancialadvisor
- LinkedIn @andreijigalinfinancialplanner

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $233,549,127 | 8 | March 24, 2021 |
| October 2022 | $271,295,000 | 8 | March 28, 2022 |
| October 2023 | $244,149,000 | 8 | April 17, 2023 |
| October 2024 | $302,523,915 | 8 | March 27, 2024 |
| October 2025 | $355,865,030 | 8 | July 17, 2025 |
| October 2026 | $319,574,000 | 8 | August 3, 2026 |

Regulatory assets under management: $233,549,127 in the October 2021 data and $319,574,000 in the October 2026 data, up 37%.
Total employees: 8 in October 2021 and 8 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $355,865,030 to $319,574,000 (-10%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Alpha Wealth Management and Planning LLC (CRD 163917): Form ADV filing data as of October 2026.