ALPHA PRINCIPLE, LLC
Adviser information for ALPHA PRINCIPLE, LLC last updated from Form ADV on March 4th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 5 |
| 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 | 146 | $112.7M |
| Non-Discretionary | 15 | $157.0M |
| Total | 161 | $269.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 15 | $5.1M |
| HNW Individuals | 26 | $260.1M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $3.2M |
| Pension and profit sharing plans | <5 | $1.2M |
| 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 | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesSelection of other advisers (including private fund managers)Publication of periodicals or newslettersEducational seminars/workshops |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-128123 |
|---|---|
| SEC ERA File Number | 801-128123 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 317053 |
| Legal Entity Identifier | None |
Principal Office
155 INVERNESS DR WSUITE 210
ENGLEWOOD
CO
United States
Monday - Friday, 7:30 AM - 5:30 PM MST
Tel: 8003031553, Fax: None
Chief Compliance Officer
JARED CALVERT
CHIEF COMPLIANCE OFFICER
36 W. PIKE ST
COVINGTON
KY
United States
Tel:
8592871657
J*******@**********************M
(Full email address available in API data)
Regulatory Contact
JOHN HARLAN
CHIEF OPERATIONS OFFICER
155 INVERNESS DR W
SUITE 210
ENGLEWOOD
CO
United States
O*********@*****************M
(Full email address available in API data)
Industry Affiliates
| GP FOR FLAGSHIP FUND BY ALPHA PRINCIPLE, LLC | Sponsor, GP, manager of pooled investment vehicles |
| GP FOR LEMONADE FUND BY ALPHA PRINCIPLE, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| FLAGSHIP FUND BY ALPHA PRINCIPLE, LP | Hedge Fund | $3.2M | $1.0M | 5 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CALVERT, JARED, BENNETT | Individual | – | CHIEF COMPLIANCE OFFICER | 05/2023 | < 5% |
| KOEPLIN, ERIC, THOMAS | Individual | – | CHIEF EXECUTIVE OFFICER & CHIEF INVESTMENT OFFICER | 10/2022 | > 75% |
| SWENDIMAN, MATTHEW, ASHLEY | Individual | – | GENERAL COUNSEL | 11/2021 | < 5% |
| FOLKERTS, BRIAN, ERNEST | Individual | – | EXECUTIVE VICE PRESIDENT | 08/2022 | < 5% |
| Harlan, John, Franklin | Individual | – | CHIEF OPERATIONS OFFICER | 11/2021 | < 5% |