ALPha Cubed Investments, LLC (Irvine)

Name: ALPha Cubed Investments, LLC
Address: 3333 Michelson Dr., Irvine, CA, 92612
Telephone: (800) 701-2457

ALPha Cubed Investments, LLC is a large advisory firm based in Irvine. It manages $1.14 billion of regulatory assets for 3,290 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdictions of Alaska, Arizona, California, and 25 other states.

ALPha Cubed Investments provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

ALPha Cubed Investments: assets under management

The assets under management (AUM) of ALPha Cubed Investments, LLC is $1.14 billion. The firm's AUM has grown by 228619% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $1.1 billion in discretionary accounts and $39.21 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $352.05 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $256.28 thousand.

ALPha Cubed Investments has custody of $620 million in cash and securities for 550 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 46% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 22% of the firm’s portfolio. Investments in investment and business development companies form 21% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay ALPha Cubed Investments, LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients ALPha Cubed Investments serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of ALPha Cubed Investments is high net worth individuals with 327 clients and $733.58 million of assets under management. Among the 8 most similar advisory firms, ALPha Cubed Investments has the 3rd highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $1.14 billion for 1,378 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

ALPha Cubed Investments doesn't advise any private funds.

Careers at ALPha Cubed Investments, LLC

The company employs 36 people that are either part- or full-time employees. 72 percent of the employees work as investment advisers or researchers. 26 employees are registered as investment adviser representatives with the state securities authorities.

There’s a single person with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Steven Brett Alexson	Managing member	1 Oct 2011	50% - 75%	3104828
Todd Randall Walsh	Managing member	1 Jun 2012	50% - 75%	1571625
Christina Marie Walsh	Chief compliance officer	1 Feb 2013	Other	6196929
Christina Marie Walsh	Chief compliance officer	1 Sep 2015	Other	6196929
Christina Marie Conatser	Chief compliance officer	1 Sep 2015	Other	6196929
Todd Alan Sixt	Member	1 Oct 2015	Other	2829082
Darin Albert Simonian	Member	1 Oct 2015	Other	2214836
Marjorie Rose Carloni	Member	1 Oct 2015	Other	5979296
Gregory A. Korbekian	Member	1 Oct 2015	Other	4021346
Marion Anthony Jabczenski	Member	1 Oct 2015	Other	2245629
Todd Alan Sixt	Member	1 Jan 2016	Other	2829082
Marjorie Rose Carloni	Member	1 Jan 2016	Other	5979296
Gregory A. Korbekian	Member	1 Jan 2016	Other	4021346
Marion Anthony Jabczenski	Member	1 Jan 2016	Other	2245629
Darin Albert Simonian	Member	1 Mar 2016	Other	2214836
Glendon Charles Trullinger	Member	1 Jul 2016	Other	6134289

Based in Irvine

The principal office where ALPha Cubed Investments, LLC performs its advisory services is located at 3333 Michelson Dr., Irvine, CA 92612, which is also the mailing address of the firm. An additional office of the firm is in Bellevue, WA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number (800) 701-2457 or by fax (877)722-4249. The normal business hours are 6:30 am to 4:00 pm on Monday - Friday. You can find more information about the New York firm at alphacubedinvestments.com.