ALPHA WEALTH MANAGEMENT AND PLANNING LLC
Adviser information for ALPHA WEALTH MANAGEMENT AND PLANNING LLC last updated from Form ADV on March 27th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 6 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 6 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,331 | $295.3M |
| Non-Discretionary | 1 | $7.3M |
| Total | 1,332 | $302.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 501 | $101.1M |
| HNW Individuals | 234 | $189.0M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $8.8M |
| Charitable organizations | <5 | $3.5M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $175,414 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 302.5M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| FUNDAMENTAL PLATFORM WRAP FEE PROGRAM | ALPHA WEALTH MANAGEMENT AND PLANNING LLC |
| TECHNICAL PLATFORM WRAP FEE PROGRAM | ALPHA WEALTH MANAGEMENT AND PLANNING LLC |
Identifiers
| SEC RIA File Number | 801-108554 |
|---|---|
| SEC ERA File Number | 801-108554 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 163917 |
| Legal Entity Identifier | None |
Principal Office
350 IGNACIO BLVDSUITE 105
NOVATO
CA
United States
Monday - Friday, 9AM-5PM
Tel: 415-506-4569, Fax: 415-508-3467
Chief Compliance Officer
ANDREI JIGALIN
PRESIDENT
350 IGNACIO BLVD
SUITE 105
NOVATO
CA
United States
Tel:
415-506-4569
Fax:
(415) 508-3467
A******@***********M
(Full email address available in API data)
Regulatory Contact
WILLIAM BOMAR
OPERATIONS MANAGER
350 IGNACIO BLVD
SUITE 105
NOVATO
CA
United States
Tel:
(415) 506 - 4569
Fax:
(415) 508-3467
B****@***********M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| JIGALIN, ANDREI, NICOLAI | Individual | – | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | 06/2012 | 50-75% |
| FANNIN, MATTHEW, JONES | Individual | – | MANAGING MEMBER/PRINCIPAL | 07/2012 | 50-75% |