ALPENGLOBAL CAPITAL, LLC
Adviser information for ALPENGLOBAL CAPITAL, LLC last updated from Form ADV on March 5th, 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 | 3 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 266 | $132.2M |
| Non-Discretionary | 0 | $0 |
| Total | 266 | $132.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 75 | $24.1M |
| HNW Individuals | 54 | $108.1M |
| 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 | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 4 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-119789 |
|---|---|
| SEC ERA File Number | 801-119789 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 140186 |
| Legal Entity Identifier | None |
Principal Office
3315 DARDANELLES AVENUETAHOE CITY
CA
United States
Monday - Friday, 7:00 AM - 4:00 PM
Tel: 415-424-4005 XT. 21, Fax: 415-799-2575
Websites
Chief Compliance Officer
KAREN SCHORR CRAIG
MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER
334 17TH STREET
SANTA MONICA
CA
United States
Tel:
415-424-4005 XT 22
Fax:
415-799-2575
K*****@*********************M
(Full email address available in API data)
Regulatory Contact
ALEX GUTT
MANAGING DIRECTOR
3315 DARDANELLES AVENUE
TAHOE CITY
CA
United States
Tel:
415-424-4005 XT. 21
Fax:
415-799-2575
A****@*********************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 |
|---|---|---|---|---|---|
| GUTT, ALEX, JOHN | Individual | – | MANAGING DIRECTOR | 03/2006 | > 75% |
| CRAIG, KAREN, SCHORR | Individual | – | MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER | 01/2019 | < 5% |