ALPha Capital Research, LLC is a large advisory firm based in Glastonbury. It manages $121.12 million of regulatory assets for 16 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Connecticut, Hawaii, and Maryland.
ALPha Capital Research provides portfolio management for pooled investment vehicles, 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.
The assets under management (AUM) of ALPha Capital Research, LLC is $121.12 million. The firm's AUM has grown by 349% since the beginning of its operation, and $89.06 million of the total AUM is attributable to clients outside of the United States.
The advisory firm has several streams of revenue. Clients pay ALPha Capital Research, LLC for their services and products based on a percentage of assets under management, fixed fees, and performance-based 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.
The firm provides services to high net worth individuals and pooled investment vehicles. The largest group of clients of ALPha Capital Research is pooled investment vehicles with 5 clients and $26.75 million of assets under management. Among the 13 most similar advisory firms, ALPha Capital Research has the 3rd highest percentage of pooled investment vehicles out of all clients.
The amount of regulatory assets under management is $32.06 million for 10 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 10% of the firm’s clients are foreign persons or businesses.
ALPha Capital Research also advises several private funds. Namely, one hedge fund. The minimum investment commitment required of non-related persons is $500,000 for each fund.
The company employs 4 people that are either part- or full-time employees. 100 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 receive compensation from other entities for client referrals.
The principal office where ALPha Capital Research, LLC performs its advisory services is located at 701 Hebron Ave., Glastonbury, CT 06033, which is also the mailing address of the firm. An additional office of the firm is in Kailua, HI. It doesn’t run an office outside of the United States.
You can reach the main office by calling the phone number 860-659-2363 or by fax 860-659-4345. The normal business hours are 9am-5pm on Monday - Friday. You can find more information about the New York firm at alphacap.net.