ALPHA

Legal name: ALPHA RIA LLC

CRD 313285File 801-121176

APPROVED

Retail clients

Filing as of Jul 20, 2026

Feed vintage Oct 1, 2026

Regulatory AUM

$54.1M

Bottom 25% of cohort (national)

Discretionary AUM

Non-discretionary $54.1M

Clients

19 accounts

Employees

Bottom 25% of cohort in NY

Identity & registration

ADV Item 1

Organization form: Limited Liability Company
Firm type: Registered
SEC region: NYRO
Registration date: May 10, 2021
Principal office: 40 WALL STREET, 28TH FLOOR, NEW YORK, NY, 10005-1304
Phone: 2129339301
Website: HTTPS://www.alpha-ria.com

Assets & accounts

ADV Item 5F

Total regulatory AUM: $54.1M
Discretionary AUM: $0
Non-discretionary AUM: $54.1M
Discretionary accounts: 0
Non-discretionary accounts: 19
Total accounts: 19
AUM per client: $2.8M

Clients by type

ADV Item 5D

Client type	Clients	AUM
High net worth individuals	19	$54.1M

Compensation & activities

ADV Items 5E, 5G

Compensation

A percentage of assets under your management

Advisory activities

Portfolio management for individuals and/or small businesses

Custody

ADV Item 9

Firm Custody Cash: No
Firm Custody Assets: No
Firm Custody Clients: No
Firm Custody Securities: No
Related Person Custody Cash: No
Related Person Custody Assets: No
Related Person Custody Clients: No
Related Person Custody Securities: No

Disclosure events

ADV Item 11

This firm answered no to every Item 11 disclosure question in this filing.

Filed changes

Date	Field	From	To	Change
Aug 1, 2026	Clients	20	19	decreased by1
Aug 1, 2026	AUM	$54,462,898	$54,128,351	decreased by$334,547
Aug 1, 2026	Accounts	20	19	decreased by1
May 1, 2025 vs Oct 1, 2022	Employees	1	2	increased by1
May 1, 2025 vs Oct 1, 2022	Clients	16	20	increased by4
May 1, 2025 vs Oct 1, 2022	AUM	$43,276,722	$54,462,898	increased by$11,186,176
May 1, 2025 vs Oct 1, 2022	Accounts	16	20	increased by4
May 1, 2022	Clients	15	16	increased by1
May 1, 2022	AUM	$31,118,478	$43,276,722	increased by$12,158,244
May 1, 2022	Accounts	15	16	increased by1
Jan 1, 2022	AUM	$30,500,000	$31,118,478	increased by$618,478
Jun 1, 2021	Registration	—	APPROVED

On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.

See plans that list “ALPHA” as a service provider on 5500mcp →

Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“ALPHA” may also match similarly-named firms). Confirm identity against each filing.

Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.