ALPHA WEALTH MANAGEMENT AND PLANNING LLC

RIASEC RegisteredEst. 2016

Total AUM

$320M

Discretionary

$310M

97% of AUM

Avg account

$226K

Accounts

1,417

Employees

Advisory reps

Firm details

Headquarters: NOVATO, California
CRD number: 163917
Registered since: October 27, 2016
Website: www.alphawmp.com
Custodians: LPL FINANCIAL LLC
Fee structure: Percentage of AUM, Hourly Charges, Fixed Fees
Client types: HNWI67.81%
Individuals26.32%
Pension & Profit Sharing Plans3.87%
Charitable Organizations1.86%
Corporations / Businesses0.14%
Services: Financial PlanningPortfolio Management for IndividualsPension Consulting

Firm profile

FINTRX

Overview

Alpha Wealth Management And Planning LLC is an independent registered investment adviser that provides fee-based financial planning and portfolio management primarily to individual and family clients, with some institutional relationships. The firm, established as an LLC and SEC-registered in 2016, operates under individual ownership and runs a mix of discretionary and non-discretionary mandates. Its advisory services include comprehensive financial planning, ongoing portfolio management for individuals and small businesses, and pension consulting services as listed on its ADV. Fee arrangements are flexible: percentage of assets under management, hourly charges and fixed fees are all used depending on the engagement. Investment positioning emphasizes liquid, manager-driven public funds—mutual funds and ETFs—while also incorporating third-party alternative strategies when appropriate. The firm is not designated as an active ESG investor. It does not operate as a capital allocator; instead it allocates client capital to external managers and pooled vehicles where needed.