Alpha Initiative
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
The firm provides discretionary portfolio management and investment advisory services primarily to individual investors, high-net-worth individuals, and family trusts. It typically charges percentage-of-AUM fees and focuses on managing client portfolios on an ongoing basis.
The firm uses an active, research-driven approach that combines qualitative and quantitative fundamental analysis to construct customized portfolios and model allocations for different risk tolerances. It operates as a fee-only adviser under a fiduciary standard, custodying client assets with a third-party custodian and disclosing the potential use of listed options, short selling, margin, derivatives, and hedging as part of its investment toolkit.
Although organized as a very small independent RIA, the firm is not a solo practitioner: it is owned and run by two principals and assigns multiple operational roles internally, with one principal also engaged in external employment and real estate activities. Its small scale combined with the use of relatively sophisticated trading strategies and participation in an institutional custody/brokerage program that provides research and trading support distinguishes it from many peers.
Client services
Expertise
Fee options
2% annually
Account minimum: $100,000 Fee-only: Fee-only adviser
Main office
10687 Swede Creek Road
Palo Cedro CA 96073
Advisors at this office
1
Most active in
California
Also doing business as
Alpha Initiative · Alpha Initiative, Inc.
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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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.
Forms ADV
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