Alpha Analytics Investment Group LLC

CRD#109844
Investment Advisor Firm

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Overview

Alpha Analytics Investment Group LLC operates as a financial advisory firm located in Los Angeles, California. The firm oversees $111.1 million in assets over 128 customer accounts, placing it in the mid-tier of investment advisory firms in the United States by assets under management (AUM). The firm has a small group of two employees, all of whom are financial advisors. Alpha Analytics Investment Group LLC is not a registered broker-dealer, meaning the company is not able to buy and sell securities for its own accounts as well as its clients' and instead has to go through a broker-dealer company to do so. Securities are tradable fiscal assets like options, bonds and stocks.

Alpha Analytics Investment Group LLC oversees some of its accounts in a discretionary manner. Discretionary management is a structure in which an investment advisor has the discretion to make transaction decisions for the client's account without requiring the client's permission. Alpha Analytics Investment Group LLC also has 99 non-discretionary accounts with a total of $100.5 million in assets. The firm manages about $868,312 for each client account. The typical advisor at Alpha Analytics Investment Group LLC administers around 64 client accounts, placing it towards the middle in terms of personalization.

The firm's main office is located at 1901 Avenue Of The Stars, Suite 1100, Los Angeles, California 90067. The company is legally registered to provide services to clients in the state of California.

Assets Under Management

$111.1 million

Number of Advisors

2

Disclosures

No

Office Location

1901 Avenue Of The Stars, Suite 1100
Los Angeles, CA 90067

Alpha Analytics Investment Group LLC by the Numbers

Total Assets Under Management

$111.1 million

National Average: $3.7 billion
Total Number of Employees

2

National Average: 29
Total Number of Accounts

128

National Average: 2,073
Average Account Size

$868.3 thousand

National Average: $1.8 million

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Fee Structure

Financial advisory fees usually vary depending on which service is provided. However, fee types billed by the company can include any combination of the following fee structures: asset-based, hourly or other. Wrap fee programs, or the practice of bundling services for a single fee, are not provided by the firm.

Available

  • Offered by 74% of firms

    Percentage of Assets

    Show Explanation

    This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

  • Offered by 35% of firms

    Hourly

    Show Explanation

    Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

  • Offered by 12% of firms

    Other

    Show Explanation

    Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

Unavailable

  • Find one of the 2% of firms that offer this fee type

    Commissions

    Show Explanation

    Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

  • Find one of the 17% of firms that offer this fee type

    Performance-based

    Show Explanation

    Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

  • Find one of the 1% of firms that offer this fee type

    Subscription

    Show Explanation

    Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

  • Find one of the 40% of firms that offer this fee type

    Fixed

    Show Explanation

    Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

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Types of Clients

Alpha Analytics Investment Group LLC provides services to retail investors and high net worth investors. Out of its 128 customers, Alpha Analytics Investment Group LLC's biggest client type by number of accounts is high net worth investors, although it also serves 30 high-net-worth individuals. The SEC defines a high-net-worth individual as someone who has at least $750,000 under management or a net worth of more than $1.50 million or who counts as a "qualified purchaser" (a standard met by having at least $5 million in investments). None of the firm's customers are represented by non-U.S. persons.

  • High-Net-Worth Individuals* - 62.5%
  • Other Individuals - 37.5%
  • Corporations - 0%
  • Charitable Organizations - 0%

* 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

Alpha Analytics Investment Group LLC does not have any disclosures.

Please visit its Form ADV for more details.

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Financial Advisors at Alpha Analytics Investment Group LLC

Robert Gipson
Los Angeles, CA
John Mcnally
Los Angeles, CA

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This content was compiled from the SEC and FINRA