Alpha Rising Advisors LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Alpha Rising Advisors LLC provides portfolio management, financial planning, and estate-planning related services to individuals, high‑net‑worth individuals, and business entities, preparing individualized Investment Policy Statements and conducting ongoing portfolio monitoring. The single‑advisor firm reports approximately $26 million in assets under management across 19 client relationships and may recommend third‑party money managers or other specialists as part of its service model.
The firm documents client goals and risk tolerances and employs a mix of analytical methods — including charting, cyclical, fundamental, quantitative, technical analysis, and modern portfolio theory — to inform investment selection and allocation. While it is structured to accept discretionary authority, its reported AUM is managed on a non‑discretionary basis and its strategies include long‑ and short‑term trading, options and margin activity, ETFs (including precious‑metal ETFs), real‑estate funds/REITs, private funds, hedge funds, and other alternative investments.
Alpha Rising is atypical among similarly sized independent advisors because its principal maintains multiple outside industry roles: affiliation with a broker‑dealer, licensing to sell insurance products, and licensure as a real‑estate broker, and the brochure discloses the potential conflicts when commissionable products or private real‑estate investments are recommended. The firm also directs custody to a designated institutional custodian, may receive research or soft‑dollar benefits, and may participate in fee‑sharing or referral arrangements with third‑party managers, all of which are disclosed and monitored in its brochure.
Client services
Expertise
Occupation focus
Fee options
$0 - $500,000: 1.25% $500,001 - $1,000,000: 1.00% $1,000,001 - $5,000,000: 0.85% $5,000,001 - $10,000,000: 0.75% $10,000,000+: 0.50%
Commission-based compensation is received by Denise Pauline Carcel in her outside business activities as a registered representative and licensed insurance agent, but advisory fees are separate and commissions are not the primary source of compensation.
Main office
Newport Coast CA
Advisors at this office
1
Most active in
California
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Is not active or affiliated with:
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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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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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