ALPha Quant Advisors, LLC (Irving)

Name: ALPha Quant Advisors, LLC
Address: 220 East Las Colinas Boulevard, Irving, TX, 75039 5500
Telephone: 817 391-6105

ALPha Quant Advisors, LLC is a large advisory firm based in Irving. It manages $96.61 million of regulatory assets for 134 client accounts. It has been registered with the SEC as an adviser since 2016 and has operated in the jurisdictions of Florida and Texas.

ALPha Quant Advisors provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for businesses and institutional clients, and model portfolio provider. It doesn't provide financial planning services to its clients. On top of advisory services, the firm also engages as custom index licensor.

ALPha Quant Advisors: assets under management

The assets under management (AUM) of ALPha Quant Advisors, LLC is $96.61 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 13% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $96.61 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $720.99 thousand each.

Investments

The firm invests in exchange traded securities the most. They account for 91% of the total AUM. The second-largest asset type is investment and business development companies, which make up 5% of the firm’s portfolio. Investments in cash and cash equivalents form 4% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay ALPha Quant Advisors, LLC for their services and products based on a percentage of assets under management. 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 Quant Advisors serves?

The firm provides services to investment companies and high net worth individuals. The largest group of clients of ALPha Quant Advisors is high net worth individuals with 13 clients and $30.13 million of assets under management. Among the 8 most similar advisory firms, ALPha Quant Advisors has the 2nd lowest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $42.66 million for 14 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 Quant Advisors doesn't advise any private funds.

Careers at ALPha Quant Advisors, LLC

The company employs 10 people that are either part- or full-time employees. 20 percent of the employees work as investment advisers or researchers. 3 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
Rosemary Kavanaugh Behan	General counsel	1 Oct 2016	Other	5255537
Katherine Michelle Gallagher	Member	1 Oct 2016	Other	5985440
Melinda Gay Heika	Chief financial officer	1 Oct 2016	Other	5775644
Gene Louis Needles	Chief executive officer, director	1 Oct 2016	Other	1068224
Jeffrey K Ringdahl	Chief operating officer, director	1 Oct 2016	Other	5230141
Massimo Santicchia	Chief investment officer, director	1 Oct 2016	Other	4712683
Christina Elaine Sears	Chief compliance officer	1 Oct 2016	Other	2708589
Inc. Resolute Investment Managers	Member	1 Oct 2016	50% - 75%	26-2612344
Inc Astro Ab Borrower	Member	1 Oct 2016	50% - 75%	26-2612344
Regina Morales Castro	Chief compliance officer	1 Feb 2019	Other	2574610

Indirect Owners

The SEC currently registers 15 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Inc. Resolute Acquisition	Shareholder	1 Apr 2015	75% - 100%	47-3615161
L.P Kelso Investment Associates Viii	Shareholder	1 Apr 2015	50% - 75%	64-0961883
L.P. Kelso Gp Viii	General partner	1 Apr 2015	Other	98-0612314
Llc Kelso Gp Viii	General partner	1 Apr 2015	Other	64-0961879
Llc Resolute Investment Holdings	Shareholder	1 Apr 2015	75% - 100%	47-3578656
Inc Resolute Topco	Shareholder	1 Apr 2015	75% - 100%	47-3609162
L.P Kelso Investment Associates Viii	Shareholder	1 Oct 2016	50% - 75%	64-0961883
L.P. Kelso Gp Viii	General partner	1 Oct 2016	Other	98-0612314
Llc Kelso Gp Viii	General partner	1 Oct 2016	Other	00-0000000
Llc Astro Ab Holdings	Shareholder	1 Oct 2016	75% - 100%	47-3578656
Inc. Astro Ab Acquisition	Shareholder	1 Oct 2016	75% - 100%	47-3615161
Inc Astro Ab Topco	Shareholder	1 Oct 2016	75% - 100%	47-3609162
Llc Resolute Investment Holdings	Shareholder	1 Oct 2016	75% - 100%	47-3578656
Inc. Resolute Acquisition	Shareholder	1 Oct 2016	75% - 100%	47-3615161
Inc Resolute Topco	Shareholder	1 Oct 2016	75% - 100%	47-3609162

Based in Irving

The principal office where ALPha Quant Advisors, LLC performs its advisory services is located at 220 East Las Colinas Boulevard, Irving, TX 75039 5500, which is also the mailing address of the firm. An additional office of the firm is in West Palm Beach, FL. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 817 391-6105 or by fax 214 292-8852. The normal business hours are 8:15 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at alphaquantadvisors.com.