{
  "crd_number": 157423,
  "slug": "alphastar-capital-management-cornelius-nc-157423",
  "primary_business_name": "ALPHASTAR CAPITAL MANAGEMENT",
  "legal_name": "ALPHASTAR CAPITAL MANAGEMENT, LLC",
  "dbas": [],
  "city": "Cornelius",
  "state": "NC",
  "country": "United States",
  "cbsa_code": "16740",
  "metro": {
    "cbsa_code": "16740",
    "common_name": "Charlotte",
    "msa_name": "Charlotte-Concord-Gastonia, NC-SC",
    "path": "/advisors/nc/charlotte"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2011-05-18",
  "years_registered": 15,
  "period": "2026-10-01",
  "filing_date": "2026-07-30",
  "carried_forward": false,
  "raum_total": 2496202761.0,
  "raum_discretionary": 2494846095.0,
  "raum_non_discretionary": 1356666.0,
  "raum_band": "1b_5b",
  "raum_band_label": "$1 billion to $5 billion",
  "total_employees": 150,
  "advisory_employees": 130,
  "client_count_bucket": null,
  "clients_by_type": {
    "charitable": {
      "raum": 3816498.0,
      "count": 13
    },
    "individuals": {
      "raum": 1443742548.0,
      "count": 8051
    },
    "pension_profit_sharing": {
      "raum": 48478750.0,
      "count": 20
    },
    "other_investment_advisers": {
      "raum": 200816497.0,
      "count": 5
    },
    "high_net_worth_individuals": {
      "raum": 790570835.0,
      "count": 415
    },
    "corporations_other_businesses": {
      "raum": 8777633.0,
      "count": 21
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "educational_seminars",
    "financial_planning",
    "other",
    "pension_consulting",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 3,
  "states_registered": [
    "AK",
    "AL",
    "AR",
    "AZ",
    "CA",
    "CO",
    "CT",
    "DC",
    "DE",
    "FL",
    "GA",
    "HI",
    "IA",
    "ID",
    "IL",
    "IN",
    "KS",
    "KY",
    "LA",
    "MA",
    "MD",
    "ME",
    "MI",
    "MN",
    "MO",
    "MS",
    "MT",
    "NC",
    "ND",
    "NE",
    "NH",
    "NJ",
    "NM",
    "NV",
    "NY",
    "OH",
    "OK",
    "OR",
    "PA",
    "PR",
    "RI",
    "SC",
    "SD",
    "TN",
    "TX",
    "UT",
    "VA",
    "VT",
    "WA",
    "WI",
    "WV",
    "WY"
  ],
  "websites": [
    "https://alphastarclient.com",
    "https://alphastarcm.com",
    "https://facebook.com/ALPHASTARCM",
    "https://instagram.com/alphastarcm",
    "https://linkedin.com/COMPANY/ALPHASTAR-CAPITAL-MANAGEMENT-LLC",
    "https://x.com/ALPHASTARCM"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/157423",
  "disclosure_items": [
    {
      "item": "11.D(2)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?"
    },
    {
      "item": "11.D(4)",
      "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.H(2)",
      "question": "Is the firm or an advisory affiliate now the subject of a civil proceeding that could result in a yes answer to any part of 11.H(1)?"
    }
  ],
  "city_as_filed": "CORNELIUS",
  "url": "https://advisorcensus.com/firm/alphastar-capital-management-cornelius-nc-157423",
  "display_name": "Alphastar Capital Management",
  "summary": "Alphastar Capital Management is an SEC-registered investment advisory firm in Cornelius, NC, registered since 2011, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated July 30, 2026.",
  "citation": "AdvisorCensus. Alphastar Capital Management (CRD 157423): 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)",
    "Educational seminars/workshops",
    "Other"
  ],
  "quick_answers": [
    {
      "q": "How is Alphastar Capital Management compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Alphastar Capital Management reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Where is Alphastar Capital Management located?",
      "a": "Alphastar Capital Management's principal office is in Cornelius, NC, according to its Form ADV; the August 2026 filing also lists 23 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Alphastar Capital Management registered with the SEC or a state?",
      "a": "Alphastar Capital Management is an SEC-registered investment advisory firm, registered since 2011. Status as filed: Approved. CRD 157423."
    },
    {
      "q": "How much does Alphastar Capital Management manage?",
      "a": "Alphastar Capital Management reports $2,496,202,761 in regulatory assets under management in its Form ADV filing dated July 30, 2026 (100% discretionary)."
    },
    {
      "q": "How have Alphastar Capital Management's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Alphastar Capital Management: Regulatory assets under management: $804,553,597 in the October 2021 data and $2,496,202,761 in the October 2026 data, up 210%. Total employees: 128 in October 2021 and 150 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Alphastar Capital Management serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (8,051); high net worth individuals (415); corporations or other businesses not listed above (21)."
    },
    {
      "q": "Which custodians does Alphastar Capital Management use?",
      "a": "Alphastar Capital Management'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 Alphastar Capital Management report any disciplinary disclosures?",
      "a": "Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation), 11.D(4) (another regulator's order in the past ten years), and 11.H(2) (pending civil proceeding). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/157423"
    },
    {
      "q": "What changed in Alphastar Capital Management's recent Form ADV filings?",
      "a": "In the August 2026 filing data: Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 804553597.0,
      "total_employees": 128,
      "filing_date": "2021-08-06"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 1567171002.0,
      "total_employees": 134,
      "filing_date": "2022-08-10"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 1450962289.0,
      "total_employees": 128,
      "filing_date": "2023-09-06"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 1146934809.0,
      "total_employees": 109,
      "filing_date": "2024-04-02"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 1841154148.0,
      "total_employees": 124,
      "filing_date": "2025-06-17"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 2496202761.0,
      "total_employees": 150,
      "filing_date": "2026-07-30"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-08-01",
      "period_label": "August 2026",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 109 to 130.",
        "Regulatory assets under management went from $1,841,154,148 to $2,496,202,761 (+36%).",
        "Added an office in Davenport, IA.",
        "Added an office in Enfield, CT.",
        "Added an office in Greenville, SC.",
        "Added an office in Hemet, CA.",
        "Added an office in Lincoln, NE.",
        "Added an office in Louisville, KY.",
        "Added an office in North Concord, NC.",
        "Added an office in Sarasota, FL.",
        "No longer lists an office in Cornelius, NC.",
        "No longer lists an office in Hudson, WI.",
        "No longer lists an office in Jenks, OK.",
        "No longer lists an office in Nashville, TN.",
        "No longer lists an office in Port Charlotte, FL.",
        "No longer lists an office in Scottsdale, AZ.",
        "No longer lists an office in Solon, OH.",
        "No longer lists an office in Winchester, VA."
      ]
    },
    {
      "period": "2026-02-01",
      "period_label": "February 2026",
      "notes": [
        "Item 11 disclosure answers changed: 3 yes answers, previously 2 (now yes: 11.H(2))."
      ]
    },
    {
      "period": "2025-12-01",
      "period_label": "December 2025",
      "notes": [
        "Item 11 disclosure answers changed: 2 yes answers, previously 0 (now yes: 11.D(2), 11.D(4))."
      ]
    }
  ],
  "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/alphastar-capital-management-cornelius-nc-157423.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 8051,
      "fewer_than_5": false,
      "raum": 1443742548.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 415,
      "fewer_than_5": false,
      "raum": 790570835.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 20,
      "fewer_than_5": false,
      "raum": 48478750.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 13,
      "fewer_than_5": false,
      "raum": 3816498.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 5,
      "fewer_than_5": false,
      "raum": 200816497.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 21,
      "fewer_than_5": false,
      "raum": 8777633.0
    }
  ],
  "disclosure_line": "Reports 3 disclosure items on Form ADV Item 11.",
  "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/157423",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}