ALETHEA CAPITAL MANAGEMENT, LLC

Advisory Business

Type of Organization	Limited Liability Company
Fiscal Year End	DECEMBER
Legal Location	Washington, United States

Employees

Total Number of Employees	4
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	112	$167.9M
Non-Discretionary	0	$0
Total	112	$167.9M

Clients

Type	Number	RAUM
Individuals	11	$3.0M
HNW Individuals	28	$98.2M
Banking or thrift institutions	0	$0
Investment companies	0	$0
Business development companies	0	$0
Pooled investment vehicles	2	$46.8M
Pension and profit sharing plans	0	$0
Charitable organizations	<5	$19.7M
State or municipal gov entities	0	$0
Other investment advisers	<5	$261,690
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	2
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 AUMPerformance-based fees

Identifiers

SEC RIA File Number	801-72176
SEC ERA File Number	801-72176
SEC CIK Numbers	1549408
SEC CRD Numbers	156500
Legal Entity Identifier	None

Principal Office

8223 SE 30TH ST
MERCER ISLAND
WA
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic