|
|
|
|
|
|
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.
|
|
|
|
|
|
|
|
|
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.
|
|
|
|
