Alpha
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Alpha is an independent, fee‑only registered investment adviser that provides personalized separately managed account (SMA) portfolio management primarily to high‑net‑worth and ultra‑high‑net‑worth individuals and their families. The firm manages a relatively small client base and assets (roughly $54 million across fewer than 20 clients) and offers both discretionary and non‑discretionary SMA services.
Alpha’s investment process emphasizes top‑down macroeconomic analysis combined with quantitative portfolio construction and behavioral finance, favoring diversified, low‑turnover allocations across U.S. and non‑U.S. equities, fixed income, ETFs/ETNs, mutual funds, REITs and private placements. For clients who authorize higher‑risk strategies, the firm may employ leverage and borrowing (margin), short sales, and listed options, and may include leveraged ETFs and ETNs as part of portfolio construction.
The brochure highlights explicit use of non‑U.S. securities and UCITS funds and notes account minimums stated in foreign‑currency equivalents, indicating capabilities to accommodate non‑U.S. assets and clients that are less common among peers. Alpha also documents individualized risk profiles and investment restrictions, and has voluntarily affirmed the Real Fiduciary™ Practices, while noting that the use of margin, derivatives and shorting introduces additional risk for authorized accounts.
Client services
Expertise
Fee options
1.50% or lower (negotiable based on client assets)
Account minimum: $1,000,000 (may be waived at Alpha's discretion) Fee-only: Fee-only investment advisor compensated by portfolio management fees based on assets under management; no commissions or sales-based compensation.
Main office
40 Wall Street, 28th Floor
New York NY 10005-1304
Advisors at this office
1
Most active in
New York
Also doing business as
Alpha · Alpha Ria LLC
Disclosures
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Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
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Broker-dealer / trader
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Bank
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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