ALPHA & OMEGA
ALPHA & OMEGA FINANCIAL MANAGEMENT CONSULTANTS, INC. Legal Name
Adviser information for ALPHA & OMEGA last updated from Form ADV on June 16th, 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 | OCTOBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 10 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| 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 | 0 | $0 |
| Non-Discretionary | 246 | $29.5M |
| Total | 246 | $29.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 246 | $28.1M |
| HNW Individuals | 2 | $1.3M |
| 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 | 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 | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-45517 |
|---|---|
| SEC ERA File Number | 801-45517 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 105548 |
| Legal Entity Identifier | None |
Principal Office
8580 LA MESA BLVD STE 100LA MESA
CA
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 619-462-7812, Fax: 619-462-1766
Chief Compliance Officer
ATHANASIOS K. PREOVOLOS
450 B. STREET
SUITE 1600
SAN DIEGO
CA
United States
Tel:
619-696-0520X120
Fax:
619-238-5344
T******@*************M
(Full email address available in API data)
Industry Affiliates
| PENCHECKS TRUST | Trust company |
| PENCHECKS TRUST | Trust company |
| PREOVOLOS LEWIN APC | Lawyer or law firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PREOVOLOS, SPIRO, GEORGE | Individual | – | CHIEF OPERATING OFFICER | 01/2007 | < 5% |
| PREOVOLOS, PETER, EMANUEL | Individual | – | STOCKHOLDER | 06/1979 | 25-50% |
| PREOVOLOS FAMILY TRUST 1979 | Domestic Entity | – | STOCKHOLDER | 02/1978 | 10-25% |
| PREOVOLOS, ATHANASIOS, K | Individual | – | CHIEF COMPLIANCE OFFICER & CLO | 10/2004 | 25-50% |
| PREOVOLOS, ATHANASIOS, K | Individual | PREOVOLOS FAMILY TRUST 1979 | BENEFICIARY | 10/1979 | 25-50% |
| PREOVOLOS, SPIRO, GEORGE | Individual | PREOVOLOS FAMILY TRUST 1979 | BENEFICIARY | 10/1979 | 25-50% |
| PREOVOLOS, LITSA, STELLA | Individual | – | CO-FOUNDER AND EXECUTIVE VICE PRESIDENT | 06/1975 | < 5% |
| Preovolos, Nicholas, John | Individual | PREOVOLOS FAMILY TRUST 1979 | BENEFICIARY | 10/1979 | 25-50% |