ALPHA SOLUTIONS INVESTMENT ADVISORS
ALPHA SOLUTIONS INVESTMENT ADVISORS, LLC Legal Name
Adviser information for ALPHA SOLUTIONS INVESTMENT ADVISORS last updated from Form ADV on March 31st, 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 | 4 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| 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 | 417 | $172.4M |
| Non-Discretionary | 0 | $0 |
| Total | 417 | $172.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 65 | $4.7M |
| HNW Individuals | 165 | $149.3M |
| 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 | $565,611 |
| Charitable organizations | <5 | $1.4M |
| 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 | 19 | $16.3M |
| 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 | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-124857 |
|---|---|
| SEC ERA File Number | 801-124857 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 156541 |
| Legal Entity Identifier | None |
Principal Office
400 OYSTER POINT BLVD.SUITE 407
SOUTH SAN FRANCISCO
CA
United States
Monday - Friday, 9:00AM TO 5:00PM
Tel: 415-882-7088, Fax: None
Chief Compliance Officer
ANTHONY SAM
MANAGER
400 OYSTER POINT BLVD.
SUITE 407
SOUTH SAN FRANCISCO
CA
United States
Tel:
415-882-7088
A******@**************M
(Full email address available in API data)
Regulatory Contact
RD SAM
OPERATIONS MANAGER
400 OYSTER POINT BLVD.
SUITE 407
SOUTH SAN FRANCISCO
CA
United States
Tel:
415-882-7088
R*@**************M
(Full email address available in API data)
Industry Affiliates
| CHATHAM WEALTH MANAGEMENT | 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 |
|---|---|---|---|---|---|
| SAM, ANTHONY, T | Individual | – | CEO, CCO, MANAGER, MEMBER | 03/2011 | 50-75% |
| LUI, JOHN | Individual | – | CIO, MEMBER | 03/2011 | 50-75% |
| MOSES, ROBERT, NORMAN | Individual | – | DIRECTOR OF RESEARCH | 01/2013 | < 5% |