ALPine Woods Capital Investors, LLC (Purchase)


ALPine Woods Capital Investors, LLC is a large advisory firm based in Purchase. It manages $230.69 million of regulatory assets for 2 client accounts. It has been registered with the SEC as an adviser since 2006 and has operated in the jurisdiction of New York.

ALPine Woods Capital Investors provides portfolio management for pooled investment vehicles and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

ALPine Woods Capital Investors: assets under management

The assets under management (AUM) of ALPine Woods Capital Investors, LLC is $230.69 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -91% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $230.69 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $115.34 million each.
ALPine Woods Capital Investors has custody of $230.69 million in cash and securities for 2 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay ALPine Woods Capital Investors, LLC for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients ALPine Woods Capital Investors serves?

The only and largest group of clients of ALPine Woods Capital Investors is pooled investment vehicles with 2 clients and $230.69 million of assets under management. Among the 12 most similar advisory firms, ALPine Woods Capital Investors has the 2nd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $230.69 million for 2 clients. None of the firm’s clients are foreign persons or businesses.

ALPine Woods Capital Investors also advises several private funds. Namely, two hedge funds. The minimum investment commitment required of non-related persons ranges from $100,000 to $500,000.

Careers at ALPine Woods Capital Investors, LLC

The company employs 26 people that are either part- or full-time employees. 35 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone 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.

Arleen Marie Baez joined the executive team most recently as the Principal.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Samuel Alfred Lieber Chief executive officer 1 Nov 1997 Other 2421176
Robert White Gadsden Portfolio manager 1 Jan 1999 Other 4387111
L.P. Alpine Woods Managing member 1 Jan 2003 75% - 100% 36-4513135
Stephen Andrew Lieber Principal 1 Jan 2003 Other 309300
Sheldon Roy Flamm Chief financial officer 1 Jan 2003 Other 1059586
Arleen Marie Arroyo Chief operations officer 1 Jun 2008 Other 2108505
Arleen Marie Baez Chief operations officer 1 Jun 2008 Other 2108505
Arleen M Baez Chief operations officer 1 Jun 2008 Other 2108505
Meimei Li Principal financial officer 1 Jan 2009 Other 5640175
John Michael Megyesi Chief compliance officer 1 Jan 2009 Other 1671021
Victor Wen Chan Chief financial officer 1 Apr 2009 Other 5660494
Ronald George Palmer Chief financial officer 1 Dec 2009 Other 1736548
Ronald Palmer Chief financial officer 1 Dec 2009 Other 2736169
Matthew Kane Breitman General counsel 1 Sep 2011 Other 6045361
Susan Conway Norris Chief compliance officer 1 Feb 2013 Other 1722369
Kenneth Vincent Corrado Chief compliance officer 1 Jul 2013 Other 1724857
Susan Conway Norris Chief compliance officer 1 May 2018 Other 1722369
Joe Chanfu Caruso Chief financial officer 1 Dec 2018 Other 5264187
Arleen Marie Baez Principal 1 Jul 2019 Other 2108505

Indirect Owners

The SEC currently registers 2 indirect owners.

Name Entity Date acquired Ownership Employer ID
Samuel Alfred Lieber Limited partner 1 Jan 2003 50% - 75% 2421176
Llc Alpine Woods Gp General partner 1 Jan 2003 Other 46-0507921

Based in Purchase

The principal office where ALPine Woods Capital Investors, LLC performs its advisory services is located at 2500 Westchester Avenue, Purchase, NY 10577, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 914-251-0880 or by fax 914-251-9098. The normal business hours are 9:00a.m. to 5:00p.m. on Monday - Friday. You can find more information about the New York firm at alpinefunds.com.