AdvisorCensus / Financial advisors / Tappalpha
Tappalpha is an SEC-registered investment advisory firm, registered since 2023, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated June 2, 2026.
Quick answers
From the filingHow is Tappalpha compensated?
On its Form ADV (Item 5.E, October 2026), Tappalpha reports these compensation arrangements: a percentage of assets under its management; other. The amounts are in Item 5 of its Form ADV Part 2A brochure.
Is Tappalpha registered with the SEC or a state?
Tappalpha is an SEC-registered investment advisory firm, registered since 2023. Status as filed: Approved. CRD 327980.
How much does Tappalpha manage?
Tappalpha reports $385,969,101 in regulatory assets under management in its Form ADV filing dated June 2, 2026 (100% discretionary).
How have Tappalpha's assets and staff changed since 2023?
In the Form ADV data for Tappalpha: Regulatory assets under management: $0 in the October 2023 data and $385,969,101 in the October 2026 data. Total employees: 1 in October 2023 and 2 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Tappalpha serve?
By number of clients on Form ADV Item 5.D: investment companies (4).
Does Tappalpha 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/327980
What changed in Tappalpha's recent Form ADV filings?
In the July 2026 filing data: Regulatory assets under management went from $31,270,596 to $385,969,101 (+1134%).
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
- 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 June 2, 2026) for its fees and any account minimum, on the SEC's IAPD site.
Regulatory assets under management
Item 5.F$385,969,101 as of October 2026, filing dated June 2, 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 individuals and/or small businesses
- Portfolio management for investment companies (and business development companies)
Registration and firm details
Items 1, 2, 5- Legal name
- Tapp Finance, Inc.
- Also doing business as
- TAPPALPHA
- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2023 (3 years)
- Employees
- Total: 2. Performing investment advisory functions: 1.
- Wrap fee program participation
- No.
- States registered or notice-filed
-
1 state or jurisdiction
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 | $385,969,101 | 2 | June 2, 2026 |
| October 2025 | $31,270,596 | 2 | July 17, 2025 |
| October 2024 | $0 | 2 | September 19, 2024 |
| October 2023 | $0 | 1 | August 22, 2023 |
Regulatory assets under management: $0 in the October 2023 data and $385,969,101 in the October 2026 data.
Total employees: 1 in October 2023 and 2 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- July 2026
- Regulatory assets under management went from $31,270,596 to $385,969,101 (+1134%).
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. Tappalpha (CRD 327980): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/tappalpha-327980