Alphatheta Capital LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
The firm provides discretionary portfolio management to a small number of individual and institutional clients and manages approximately $3.7 million in assets. It focuses on income-producing strategies and delivers ongoing portfolio oversight across diversified accounts.
The firm’s investment approach combines quantitative models (including momentum and sentiment indicators) with fundamental and technical analysis to identify income and appreciation opportunities. Trading tools include equities for dividends, a variety of options strategies, bonds, pooled funds and, where appropriate, hedges, derivatives, leverage and margin, with gross and net exposures monitored continuously.
Noteworthy for a solo independent adviser, the firm offers an optional performance-based compensation arrangement and uses independent custodial collection and verification for those fees. The principal’s long quantitative research background supports the use of proprietary and external models, side-by-side trade allocations, and the frequent use of complex instruments—features that distinguish it from many peers of similar size.
Client services
Expertise
Fee options
10% of net profits of the Account for clients electing performance fee option.
Account minimum: $200,000
Main office
Lawrence NY
Advisors at this office
1
Most active in
New York
Disclosures
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Business activities & affiliations
Is not active or affiliated with:
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Broker-dealer / trader
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Bank
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Trust company
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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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