ALPHA ADVISORS, LLC
Adviser information for ALPHA ADVISORS, LLC last updated from Form ADV on March 28th, 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 | Virginia, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 361 | $185.5M |
| Non-Discretionary | 0 | $0 |
| Total | 361 | $185.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 44 | $15.9M |
| HNW Individuals | 57 | $167.7M |
| 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 | 0 | $0 |
| Charitable organizations | 0 | $0 |
| 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 | 0 | $0 |
| Other | <5 | $1.9M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesASSET ALLOCATION SERVICES |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-113120 |
|---|---|
| SEC ERA File Number | 801-113120 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 118107 |
| Legal Entity Identifier | None |
Principal Office
3951 WESTERRE PARKWAYSUITE 130
RICHMOND
VA
United States
Monday - Friday, 9:00 A.M. - 5:00 P.M.
Tel: 804-754-8532, Fax: 804-754-8533
Websites
Chief Compliance Officer
SARAH C. BYRD
EXECUTIVE VICE PRESIDENT
3951 WESTERRE PARKWAY
SUITE 130
RICHMOND
VA
United States
Tel:
804-754-8532
Fax:
804-754-8533
S****@*****************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 |
|---|---|---|---|---|---|
| WALLACE, ROLAND, DOUGLAS | Individual | – | CHAIRMAN AND CHIEF INVESTMENT OFFICER | 02/2001 | 25-50% |
| BYRD, SARAH, CATHERINE | Individual | – | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 01/2010 | 5-10% |
| SCOTT, ALEXANDER, KENNETH | Individual | – | PRESIDENT | 06/2013 | 25-50% |
| LEIMBERGER, MARK, DOUGLAS | Individual | – | CHIEF EXECUTIVE OFFICER | 06/2014 | 5-10% |