ALPHATRAI FUNDS INC.
Adviser information for ALPHATRAI FUNDS INC. last updated from Form ADV on March 3rd, 2023. 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 | California, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| 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 | 3 | $23.6M |
| Non-Discretionary | 0 | $0 |
| Total | 3 | $23.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 3 | $23.6M |
| 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 | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companies |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-123633 |
|---|---|
| SEC ERA File Number | 801-123633 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 318658 |
| Legal Entity Identifier | None |
Principal Office
500 TAMAL PLAZASUITE 24
CORTE MADERA
CA
United States
Monday - Friday, 8:30 TO 5:00
Tel: 415-634-8530, Fax: None
Chief Compliance Officer
ANDREW ARMSTRONG
255 EAST FIFTH STREET
SUITE 1900
CINCINNATI
OH
United States
Tel:
513-832-5385
Fax:
513-977-8141
A***************@*****************************M
(Full email address available in API data)
Regulatory Contact
BRUCE LAVINE
MANAGER
500 TAMAL PLAZA
SUITE 24
CORTE MADERA
CA
United States
Tel:
415-634-8530
B****@************M
(Full email address available in API data)
Industry Affiliates
| ALPHATRAI IM, LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ARMSTRONG, ANDY, JOHN | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2022 | < 5% |
| LAVINE, BRUCE, IVINS | Individual | – | MANAGING MEMBER | 11/2021 | 10-25% |
| ALPHATRAI INC. | Domestic Entity | – | OWNER | 11/2021 | 50-75% |
| LB ALPHA, LLC | Domestic Entity | – | OWNER | 12/2021 | 10-25% |
| ANALYTICS VENTURES FUND I, LP | Domestic Entity | ALPHATRAI INC. | OWNER | 11/2021 | 25-50% |