{ "crd_number": 130115, "slug": "alphapoint-inc-corona-del-mar-ca-130115", "primary_business_name": "ALPHAPOINT, INC.", "legal_name": "ALPHAPOINT, INC.", "dbas": [], "city": "Corona del Mar", "state": "CA", "country": "United States", "cbsa_code": "31080", "metro": { "cbsa_code": "31080", "common_name": "Los Angeles", "msa_name": "Los Angeles-Long Beach-Anaheim, CA", "path": "/advisors/ca/los-angeles" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2004-01-20", "years_registered": 22, "period": "2026-10-01", "filing_date": "2026-03-31", "carried_forward": false, "raum_total": 5557761894.0, "raum_discretionary": 39112167.0, "raum_non_discretionary": 5518649727.0, "raum_band": "over_5b", "raum_band_label": "Over $5 billion", "total_employees": 1, "advisory_employees": 1, "client_count_bucket": null, "clients_by_type": { "pension_profit_sharing": { "raum": 5557761894.0, "count": 115 } }, "compensation_types": [ "fixed", "hourly" ], "advisory_activities": [ "financial_planning", "pension_consulting" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "CA", "HI", "MO", "NM", "NY" ], "websites": [], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/130115", "city_as_filed": "CORONA DEL MAR", "url": "https://advisorcensus.com/firm/alphapoint-inc-corona-del-mar-ca-130115", "display_name": "Alphapoint, Inc.", "summary": "Alphapoint, Inc. is an SEC-registered investment advisory firm in Corona del Mar, CA, registered since 2004, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated March 31, 2026.", "citation": "AdvisorCensus. Alphapoint, Inc. (CRD 130115): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "Hourly charges", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Financial planning services", "Pension consulting services" ], "quick_answers": [ { "q": "How is Alphapoint, Inc. compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Alphapoint, Inc. reports these compensation arrangements: hourly charges; fixed fees (other than subscription fees)." }, { "q": "Where is Alphapoint, Inc. located?", "a": "Alphapoint, Inc.'s principal office is in Corona del Mar, CA, according to its Form ADV." }, { "q": "Is Alphapoint, Inc. registered with the SEC or a state?", "a": "Alphapoint, Inc. is an SEC-registered investment advisory firm, registered since 2004. Status as filed: Approved. CRD 130115." }, { "q": "How much does Alphapoint, Inc. manage?", "a": "Alphapoint, Inc. reports $5,557,761,894 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (1% discretionary)." }, { "q": "How have Alphapoint, Inc.'s assets and staff changed since 2021?", "a": "In the Form ADV data for Alphapoint, Inc.: Regulatory assets under management: $4,092,126,152 in the October 2021 data and $5,557,761,894 in the October 2026 data, up 36%. Total employees: 1 in October 2021 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 Alphapoint, Inc. serve?", "a": "By number of clients on Form ADV Item 5.D: pension and profit sharing plans (but not the plan participants or government pension plans) (115)." }, { "q": "Which custodians does Alphapoint, Inc. use?", "a": "Alphapoint, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc., Empower Financial Services, Inc., Fidelity Brokerage Services LLC, Lincoln Financial Investment Services Corporation and Voya Financial Advisors, Inc. as custodians holding 10% or more of its separately managed account assets." }, { "q": "Does Alphapoint, Inc. 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/130115" }, { "q": "Does Alphapoint, Inc. state an account minimum?", "a": "Its Form ADV Part 2A brochure dated March 31, 2026 says: \"AlphaPoint does not have a minimum account size requirement for opening or maintaining an account.\"" }, { "q": "What changed in Alphapoint, Inc.'s recent Form ADV filings?", "a": "In the April 2026 filing data: Regulatory assets under management went from $4,976,536,283 to $5,557,761,894 (+12%)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 4092126152.0, "total_employees": 1, "filing_date": "2021-04-27" }, { "period": "2022-10-01", "regulatory_assets_under_management": 4721726887.0, "total_employees": 1, "filing_date": "2022-05-11" }, { "period": "2023-10-01", "regulatory_assets_under_management": 4006463683.0, "total_employees": 1, "filing_date": "2023-03-24" }, { "period": "2024-10-01", "regulatory_assets_under_management": 4577887532.0, "total_employees": 1, "filing_date": "2024-03-14" }, { "period": "2025-10-01", "regulatory_assets_under_management": 4976536283.0, "total_employees": 1, "filing_date": "2025-03-26" }, { "period": "2026-10-01", "regulatory_assets_under_management": 5557761894.0, "total_employees": 1, "filing_date": "2026-03-31" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Regulatory assets under management went from $4,976,536,283 to $5,557,761,894 (+12%)." ] }, { "period": "2026-01-01", "period_label": "January 2026", "notes": [ "No longer registered or notice-filed in WA." ] } ], "fees_from_brochure": { "source": "Form ADV Part 2A brochure dated March 31, 2026", "tiers": [], "flat_rate": null, "stated_range": null, "stated_maximum": null, "account_minimum": "None", "account_minimum_may_be_waived": false, "minimum_annual_fee": null, "figures": [ { "label": "Account minimum", "statements": [ "Account minimum: None" ], "quotes": [ "AlphaPoint does not have a minimum account size requirement for opening or maintaining an account." ] } ], "quotes": [ "AlphaPoint does not have a minimum account size requirement for opening or maintaining an account." ], "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable." }, "custodians": [ { "name": "Charles Schwab & Co., Inc.", "name_as_filed": "CHARLES SCHWAB & CO., INC.", "affiliated": false }, { "name": "Empower Financial Services, Inc.", "name_as_filed": "EMPOWER FINANCIAL SERVICES, INC.", "affiliated": false }, { "name": "Fidelity Brokerage Services LLC", "name_as_filed": "FIDELITY BROKERAGE SERVICES LLC", "affiliated": false }, { "name": "Lincoln Financial Investment Services Corporation", "name_as_filed": "LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION", "affiliated": false }, { "name": "Voya Financial Advisors, Inc.", "name_as_filed": "VOYA FINANCIAL ADVISORS, 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/alphapoint-inc-corona-del-mar-ca-130115.md", "clients": [ { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": 115, "fewer_than_5": false, "raum": 5557761894.0 } ], "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/130115", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }