FindingFraud.org


Blog
Contact
Initial
Research

ALPHA CAPITAL RESEARCH, LLC
ALPHA CAPITAL RESEARCH, LLC (CRD# 113330) is an SEC-Registered Investment Advisor (RIA), headquartered in Glastonbury, CT. The SEC approved the firm to operate as an RIA in Dec 2000. In Jan 2018, the firm reported total Regulatory Assets Under Management (RAUM) of $289.7 Million, and has discretion over 11% of those assets.   Pooled investment vehicles (Private Funds) account for 9% of RAUM.   Non-US investors represent 89% .  
 
ALPHA CAPITAL RESEARCH, LLC also reported in Jan 2018:
  • 4 employees, all of whom perform advisory functions.
  • A total of 3 office locations.
  • No registrations with foreign financial regulatory authorities.
  • NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
ALPHA CAPITAL RESEARCH, LLC has no disclosure events reported to the SEC at this time.
 

View ALPHA CAPITAL RESEARCH, LLC's most recent Form ADV filing
 


ALPHA CAPITAL RESEARCH, LLC has Notice Filings with the following State Securities Authorities: CT-Dec 2000, HI-Oct 2003, MD-Jan 2001

Disclaimer:  The information presented above was gleaned from the SEC website and is believed to be accurate.  FindingFraud.org is presenting this data for informational purposes only and assumes no responsibility for errors or omissions.  Please note that we are aware of many instances where RIAs provided erroneous data to the SEC.  Feel Free to contact FindingFraud.org with questions or concerns.