AdvisorCensus / Financial advisors / Colorado / Denver / Alps Advisors, Inc.
Alps Advisors, Inc. is an SEC-registered investment advisory firm in Denver, CO, registered since 2006, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated September 30, 2026.
Quick answers
From the filingHow is Alps Advisors, Inc. compensated?
On its Form ADV (Item 5.E, October 2026), Alps Advisors, Inc. reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); other.
Where is Alps Advisors, Inc. located?
Alps Advisors, Inc.'s principal office is in Denver, CO, according to its Form ADV; the October 2026 filing also lists 1 other office (Schedule D, Section 1.F).
Is Alps Advisors, Inc. registered with the SEC or a state?
Alps Advisors, Inc. is an SEC-registered investment advisory firm, registered since 2006. Status as filed: Approved. CRD 134340.
How much does Alps Advisors, Inc. manage?
Alps Advisors, Inc. reports $38,832,034,748 in regulatory assets under management in its Form ADV filing dated September 30, 2026 (99% discretionary).
How have Alps Advisors, Inc.'s assets and staff changed since 2021?
In the Form ADV data for Alps Advisors, Inc.: Regulatory assets under management: $16,170,093,064 in the October 2021 data and $38,832,034,748 in the October 2026 data, up 140%. Total employees: 53 in October 2021 and 73 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Alps Advisors, Inc. serve?
By number of clients on Form ADV Item 5.D: other investment advisers (14); investment companies (8).
Does Alps Advisors, Inc. 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/134340
What changed in Alps Advisors, Inc.'s recent Form ADV filings?
In the April 2026 filing data: Regulatory assets under management went from $30,756,201,205 to $38,832,034,748 (+26%).
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Other
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2ASee the firm's brochure (dated March 31, 2026) for its fees and any account minimum, on the SEC's IAPD site.
Regulatory assets under management
Item 5.F$38,832,034,748 as of October 2026, filing dated September 30, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Portfolio management for investment companies (and business development companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2006 (20 years)
- Employees
- Total: 73. Performing investment advisory functions: 28.
- Wrap fee program participation
- No.
- Other offices (Schedule D, Section 1.F)
-
1 other office, as of the October 2026 filing
- States registered or notice-filed
-
53 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $38,832,034,748 | 73 | September 30, 2026 |
| October 2025 | $28,608,287,124 | 74 | March 31, 2025 |
| October 2024 | $24,019,792,910 | 64 | September 20, 2024 |
| October 2023 | $19,334,512,529 | 64 | June 30, 2023 |
| October 2022 | $18,876,170,687 | 56 | August 19, 2022 |
| October 2021 | $16,170,093,064 | 53 | June 18, 2021 |
Regulatory assets under management: $16,170,093,064 in the October 2021 data and $38,832,034,748 in the October 2026 data, up 140%.
Total employees: 53 in October 2021 and 73 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- April 2026
- Regulatory assets under management went from $30,756,201,205 to $38,832,034,748 (+26%).
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Alps Advisors, Inc. (CRD 134340): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/alps-advisors-inc-denver-co-134340