DISCIPLINED ALPHA LLC
Adviser information for DISCIPLINED ALPHA LLC last updated from Form ADV on March 28th, 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 | Massachusetts, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| 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 | 4 | $28.7M |
| Non-Discretionary | 0 | $0 |
| Total | 4 | $28.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $21.9M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 2 | $6.8M |
| 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 | <5 | $34,587 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 50 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehiclesSEPARATELY MANAGED ACCOUNT |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-77808 |
|---|---|
| SEC ERA File Number | 801-77808 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 167254 |
| Legal Entity Identifier | 635400LEK5XVCX9BRL |
Principal Office
ONE MARINA PARK DRIVESUITE 1410
BOSTON
MA
United States
Monday - Friday, 9 AM - 5 PM
Tel: 857-350-3958, Fax: None
Chief Compliance Officer
KEVIN SHEA
MANAGING MEMBER
ONE MARINA PARK DRIVE
SUITE 1410
BOSTON
MA
United States
Tel:
857-350-3958
K*********@*******************M
(Full email address available in API data)
Industry Affiliates
| DISCIPLINED ALPHA GP LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| DISCIPLINED ALPHA MASTER FUND, L.P. | Hedge Fund | $3.2M | $0.3M | 1 |
| DISCIPLINED ALPHA OFFSHORE FUND, LTD. | Hedge Fund | $1.9M | $0.3M | 1 |
| DISCIPLINED ALPHA U.S. LONG SHORT UCITS FUND | UCITS FUND | $3.6M | $0.1M | 2 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SHEA, KEVIN, WILLIAM | Individual | – | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | 03/2013 | > 75% |