SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Alpha
New York, NY
Alpha RIA LLC, CRD 313285
Firm filing updated July 20, 2026 ·
- $54.1MAssets
- 19Clients
- 1Advisory staff
- 19Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesNo
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- High net worth individuals19
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| High net worth individuals | 19 | $54.1 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Portfolio management for individuals and/or small businesses
- Portfolio management for individuals and/or small businesses
Assets and accounts
- Regulatory assets$54.1 million
- Accounts19
People
- Employees2
- Advisory staff1
- Broker-dealer reps0
- Licensed insurance agents0
Advisors
1 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- Legal name: Alpha RIA LLC SEC-registered investment advisor. CRD 313285, SEC file 801-121176.
- Registered with the SEC as an investment advisor (status date on record: May 10, 2021).
Is Alpha a fiduciary?
Short answer: Alpha is registered with the SEC as an investment advisor.
More detail
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
The firm does not report commissions, a broker-dealer role, a related broker-dealer, or staff who are broker-dealer representatives.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.