Alpha Rock Investments, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Alpha Rock Investments, LLC is an independent, single-advisor registered investment adviser that provides individualized asset management and comprehensive portfolio management to individuals, trusts, pension and business clients. Portfolios are constructed from public securities (stocks, bonds, mutual funds and ETFs), options and, where appropriate, private and alternative investments.
The firm combines a broad set of research methods — fundamental, quantitative, qualitative, technical/charting, cyclical and sector analysis — and deploys strategies ranging from long-term buys to tactical and short-term trades. It may use margin, options and short-sale strategies in client accounts and may allocate to private credit funds and other alternative investments while managing fixed-income duration and periodic rebalancing.
Compared with many solo independent advisers, Alpha Rock is notable for its explicit willingness to use private credit and other alternative vehicles alongside more active trading tools and for its stated practice of generally not permitting client-imposed security restrictions. The firm recommends a national custodian (Charles Schwab), discloses safeguards around fee deductions and custody, and states it will not accept authority to disburse client funds to third parties.
Client services
Expertise
Fee options
$0 - $999,999.99: 1.00% $1,000,000 - $1,999,999.99: 0.75% $2,000,000+: 0.50%
Account minimum: $100,000
Main office
40 Pennsylvania Ave
Malvern PA 19355
Advisors at this office
1
Most active in
Pennsylvania · Texas
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.
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