Alethea Capital Management, LLC
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Overview
Alethea Capital Management, LLC is a financial advisor company headquartered in San Diego, California. Alethea Capital Management, LLC manages $202.5 million in assets across 122 customer accounts, placing it in the mid-tier of financial advisory firms in the United States by assets under management (AUM). The company has a small team, including 1 financial advisor. Alethea Capital Management, LLC does not act as a registered broker-dealer, signifying that the firm cannot buy and sell securities for its own accounts as well as its customers' and instead must go through a broker-dealer company to do so. Securities are defined as exchangable fiscal assets like bonds, options and equities.
Alethea Capital Management, LLC administers all of the company's client assets in a discretionary manner. Discretionary management signifies that buy and sell judgments are made by a portfolio manager without needing the customer's consent. The company's average account size is $1.7 million. The average advisor at Alethea Capital Management, LLC administers about 122 client accounts.
The firm's central office is at 8910 University Center Ln, San Diego, California 92122. The company is permitted to serve investors across 2 states, including California and Washington.
Assets Under Management
Number of Advisors
Disclosures
Office Location
Alethea Capital Management, LLC by the Numbers
![](https://d31s10tn3clc14.cloudfront.net/imgs/falc/assets@2x.png)
$202.5 million
![](https://d31s10tn3clc14.cloudfront.net/imgs/falc/employees@2x.png)
4
![](https://d31s10tn3clc14.cloudfront.net/imgs/falc/accounts@2x.png)
122
![](https://d31s10tn3clc14.cloudfront.net/imgs/falc/account-size@2x.png)
$1.7 million
Products and Services
Alethea Capital Management, LLC provides a variety of financial services, including financial planning services, portfolio management for individuals and small businesses and portfolio management for pooled investment vehicles. However, the firm did not provide financial planning services to any of its clients in the previous financial year. The company does not sell products or offer services aside from investment advisory services to its investment advisory clients.
Core Advisor Services
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Offered by 31% of firms
Financial Planning Services
This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.
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Offered by 46% of firms
Portfolio Management
This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.
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Market Timing Services
This is the practice of attempting to make short-term profits on investments by buying low and selling high.
Other Services
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Selection of Other Advisors
This is the firm's assistance with choosing other advisors to work with who may have different specialties.
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Publication of Periodicals
This is the publication of various financial education materials.
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Educational Seminars/Workshops
This is the hosting of seminars or workshops to educate investors on financial concepts.
Fee Structure
Financial advisory fees usually vary depending on which services the firm provides the client. However, fees charged by the company most likely are comprised of some blend of the following fee structures: asset-based or performance-based. Wrap fee programs, or the practice of bundling services for a single fee, are not provided by Alethea Capital Management, LLC.
Available
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Offered by 69% of firms
Percentage of Assets
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Offered by 26% of firms
Performance-based
Unavailable
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Find one of the 21% of firms that offer this fee type
Hourly
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Find one of the 1% of firms that offer this fee type
Commissions
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Find one of the 0% of firms that offer this fee type
Subscription
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Find one of the 32% of firms that offer this fee type
Fixed
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Find one of the 10% of firms that offer this fee type
Other
Types of Clients
The company works with a broad range of clients. The company provides services to retail investors, high net worth investors, pooled investment vehicles, charitable organizations and other investment advisers. Out of its 122 customers, Alethea Capital Management, LLC's largest client is high net worth investors, but it also caters to 28 high-net-worth individuals. A high-net-worth individual is defined by the SEC as a person who has at least $750,000 under management or a net worth of more than $1.50 million or who is considered a "qualified purchaser" (a standard met by having at least $5 million in investments). None of the company's clients are represented by people from outside of the U.S.
- High-Net-Worth Individuals* - 65.12%
- Other Individuals - 23.26%
- Corporations - 6.98%
- Charitable Organizations - 4.65%
* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.
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Disclosures
Alethea Capital Management, LLC does not have any disclosures.
Please visit its Form ADV for more details.
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Financial Advisors at Alethea Capital Management, LLC
Rancho Santa Fe, CA
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