ALPHA ARCHITECT
ALPHA ARCHITECT, LLC Legal Name
Adviser information for ALPHA ARCHITECT last updated from Form ADV on March 29th, 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 | Pennsylvania, United States |
Employees
| Total Number of Employees | 9 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 12 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 170 | $711.7M |
| Non-Discretionary | 0 | $0 |
| Total | 170 | $711.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 37 | $39.0M |
| HNW Individuals | 81 | $550.5M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $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 | 8 | $122.2M |
| 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 individuals and/or small businessesPortfolio management for investment companiesPortfolio management for businesses or institutional clientsQUANTITATIVE INDEX LICENSING, ETF SERVICING |
|---|---|
| Compensation | % of AUMFixed fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-71697 |
|---|---|
| SEC ERA File Number | 801-71697 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 153905 |
| Legal Entity Identifier | 5493004OW9VWINAYRX18 |
Principal Office
19 E EAGLE ROADHAVERTOWN
PA
United States
Monday - Friday, 9 AM TO 5 PM
Tel: +1.215.882.9983, Fax: +1.216.245.3686
Chief Compliance Officer
WESLEY ROBERT GRAY
CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER
19 E EAGLE ROAD
HAVERTOWN
PA
United States
Tel:
+1.215.882.9983
Fax:
+1.216.245.3686
A***********@*****************M
(Full email address available in API data)
Regulatory Contact
JOHN QUINN
COMPLIANCE COUNSEL
150 N. RADNOR CHESTER ROAD
SUITE F200
RADNOR
PA
United States
Tel:
(484) 354-8080
J******@**********M
(Full email address available in API data)
Industry Affiliates
| ETF ARCHITECT | 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 |
|---|---|---|---|---|---|
| GRAY, WESLEY, ROBERT | Individual | – | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER/CHIEF COMPLIANCE OFFICER | 07/2010 | < 5% |
| VOGEL, JOHN, ROBERT | Individual | – | CHIEF FINANCIAL OFFICER | 03/2012 | < 5% |
| EMPIRICAL FINANCE, LLC | Domestic Entity | – | MEMBER | 04/2014 | > 75% |
| GRAY, WESLEY, ROBERT | Individual | EMPIRICAL FINANCE, LLC | MANAGING MEMBER | 07/2010 | 50-75% |
| VOGEL, JOHN, ROBERT | Individual | EMPIRICAL FINANCE, LLC | MANAGING MEMBER | 03/2012 | |
| CLEARY, PATRICK, RUSSELL | Individual | EMPIRICAL FINANCE, LLC | MANAGING MEMBER | 10/2014 | |
| BABULAK FAMILY TRUST | Domestic Entity | EMPIRICAL FINANCE, LLC | MEMBER | 01/2017 | |
| Babulak, Lien | Individual | BABULAK FAMILY TRUST | TRUSTEE | 01/2017 | |
| BABULAK, DAVID, MICHAEL | Individual | BABULAK FAMILY TRUST | TRUSTEE | 01/2017 |