{"url":"https://nivawealth.com/firms/alexander-capital-advisors-140508","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/140508","regulatoryAum":104168000,"crd":"140508","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2201791","suffix":"III","lastName":"PAOLOZZI","firstName":"THOMAS","middleName":"FRANKLIN"}],"total":1,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-22","regulatoryAum":120300000,"clients":87,"employees":2,"offices":1},{"filedOn":"2022-02-03","regulatoryAum":167350000,"clients":79,"employees":3,"offices":1},{"filedOn":"2023-03-06","regulatoryAum":121876000,"clients":73,"employees":2,"offices":1},{"filedOn":"2025-03-13","regulatoryAum":93321000,"clients":15,"employees":3,"offices":1},{"filedOn":"2026-03-16","regulatoryAum":104168000,"clients":17,"employees":3,"offices":1}],"secFileNumber":"801-131809","legalName":"Alexander Capital Advisors, LLC","displayName":"Alexander Capital Advisors","slug":"alexander-capital-advisors-140508","website":"https://alexcapadv.com/","classification":{"segment":"private_funds","segmentLabel":"Private funds","type":"private_fund_manager","typeLabel":null,"feeDisclosure":"payment_only"},"founded":null,"organization":"Connecticut limited liability company","fiscalYearEnd":"December","headquarters":{"street":"125 Elm Street","city":"New Canaan","state":"CT","stateName":"Connecticut","country":"United States","postalCode":"06840-0201"},"tradeNames":[],"registration":{"secApproved":"13 January 2025","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":747312.5,"staff":{"employees":3,"advisory":1,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":104168000,"discretionary":104168000,"discretionaryAccounts":17,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":11957000,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":6,"regulatoryAum":511000},{"label":"High-net-worth individuals","clients":10,"regulatoryAum":11446000},{"label":"Pooled investment vehicles","clients":1,"regulatoryAum":92211000}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":11957000}],"custodyNote":"Alexander Capital Advisors has custody of $92.2M in client assets for 1 client.","leadership":[{"name":"Thomas Paolozzi","title":"Member/Chief Compliance Officer","crd":"2201791"}],"ownership":[{"label":"Thomas Paolozzi","detail":"Member/chief compliance officer in the 75% or more ownership band and a control person, since March 2006."}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Connecticut","offices":1,"addresses":[{"street":"125 Elm Street","city":"New Canaan","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"203-966-7707","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for pooled investment vehicles (other than investment companies)"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":56},{"label":"Securities issued by registered investment companies or business development companies","percent":43},{"label":"Cash and cash equivalents","percent":1}],"privateFunds":1},"sources":{"adv1FilingDate":"16 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/140508/PDF/140508.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Alexander Capital Advisors have?","answer":"Alexander Capital Advisors has 17 clients and manages $104 million for them, as of March 2026. They include 10 high-net-worth individuals, 6 individual clients and 1 pooled investment vehicle.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 16 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Alexander Capital Advisors offer?","answer":"Alexander Capital Advisors provides portfolio management for individuals and small businesses and portfolio management for pooled vehicles.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Alexander Capital Advisors use?","answer":"Alexander Capital Advisors’ separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $12M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 16 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Alexander Capital Advisors have?","answer":"Alexander Capital Advisors has 1 investment adviser representative registered with state securities authorities, out of 3 employees, and 1 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Alexander Capital Advisors invest in?","answer":"At the end of its last fiscal year, Alexander Capital Advisors’ separately managed accounts held 56% exchange-traded equities, 43% registered funds (mutual funds, ETFs, BDCs) and 1% cash and equivalents. It advises 1 private fund.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Alexander Capital Advisors?","answer":"Alexander Capital Advisors’ direct owner is Thomas Paolozzi (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 16 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Alexander Capital Advisors get paid?","answer":"Alexander Capital Advisors is paid through a percentage of assets under management and performance-based fees. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is Alexander Capital Advisors registered with the SEC?","answer":"Yes, Alexander Capital Advisors has been registered with the SEC as an investment adviser since 13 January 2025. Its CRD number is 140508 and its SEC file number is 801-131809.","source":"Form ADV Part 1A, Item 1, filed 16 March 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Alexander Capital Advisors?","answer":"Alexander Capital Advisors’ main office is at 125 Elm Street, New Canaan, CT 06840-0201. Its phone number is 203-966-7707. Its website is alexcapadv.com.","source":"Form ADV Part 1A, Item 1.F, filed 16 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}