EAGLE FINANCIAL STRATEGIES
ALPHA CAPITAL ADVISORS, INC Legal Name
Adviser information for EAGLE FINANCIAL STRATEGIES last updated from Form ADV on February 8th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Maine, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 497 | $117.2M |
| Non-Discretionary | 0 | $0 |
| Total | 497 | $117.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 263 | $60.0M |
| HNW Individuals | 26 | $51.1M |
| 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 | <5 | $5.7M |
| 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 | <5 | $461,860 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Insurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 114.5M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| EAGLE FINANCIAL STRATEGIES WRAP | EAGLE FINANCIAL STRATEGIES |
Principal Office
ONE CUMBERLAND PLACESUITE 204
BANGOR
ME
United States
Monday - Friday, 9:00 AM TO 5:00 PM
Tel: 207-989-5522, Fax: None
Websites
Chief Compliance Officer
RICHARD NICKERSON
PRESIDENT
ONE CUMBERLAND PLACE
SUITE 204
BANGOR
ME
United States
Tel:
207-989-5522
R******@***************************M
(Full email address available in API data)
Regulatory Contact
JAMES CULLEN
475 TAUNTON AVENUE
EAST PROVIDENCE
RI
United States
Tel:
401-466-6010
J**@****************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 |
|---|---|---|---|---|---|
| NICKERSON, RICHARD, MILLER | Individual | – | PRESIDENT, COO, TREASURER, CCO, AND CFO | 08/2021 | > 75% |