Alethea Capital Management, LLC

RIASEC RegisteredEst. 2011
Total AUM
$303M
Discretionary
$303M
100% of AUM
Avg account
$2.6M
Accounts
117
Employees
4
Advisory reps
2

Firm details

Headquarters
,
CRD number
156500
Registered since
February 28, 2011
Website
aletheallc.com
Custodians
CHARLES SCHWAB & CO., INC.
Fee structure
Percentage of AUM, Performance Based Fees
Client types
  • HNWI63.76%
  • Pooled Investment Vehicles28.19%
  • Charitable Organizations5.99%
  • Individuals2.06%
Services
Financial PlanningPortfolio Management for IndividualsPortfolio Management for Pooled Investment Vehicles

Firm profile

FINTRX

Overview

Alethea Capital Management, LLC is an independent registered investment adviser formed in 2011 and organized as an LLC with individual ownership. The firm advises both individual/family and institutional clients, offering financial planning and portfolio management for individuals, small businesses and pooled investment vehicles. Its fee model combines a percentage-of-assets approach with performance-based fees. The firm does not identify as an active ESG investor.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Read the full firm profile in FINTRX →

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 78%, Public Funds/Mutual Funds 16%, State & Local Bonds 5%, Cash & Cash Equivalents 1%78%
  • Exchange Traded Equities78%
  • Public Funds/Mutual Funds16%
  • State & Local Bonds5%
  • Cash & Cash Equivalents1%

Contacts

2 of 2

  • Jennifer Hsu

    MemberCRD 5897827

  • Tony Hsu

    Tony Hsu

    FounderCRD 2725513

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 4

Active vs passive

$61.7M in ETFs

Passive

100%

$61.7M

Active

0%

$0

ETFProviderStyleCategoryValueShares% of portfolio
STATE STREET(R) SPDR(R) BLOOMBERG 1-3 MONTH T-BILL ETF (BIL)State StreetPassiveUltrashort Bond$29.7M324,52648.18%
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Location

Primary office

, null

Location

, null

Headquartered in , null.

Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth