{"url":"https://nivawealth.com/firms/alpha-architect-153905","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/153905","regulatoryAum":13502643004,"crd":"153905","secFileNumber":"801-71697","legalName":"Alpha Architect, LLC","displayName":"Alpha Architect","website":"https://alphaarchitect.com","linkedinUrl":"https://www.linkedin.com/company/alphaarchitectllc/","founded":null,"organization":"Pennsylvania limited liability company","fiscalYearEnd":"December","headquarters":{"street":"Suite 150, 3803 West Chester Pike","city":"Newtown Square","state":"PA","stateName":"Pennsylvania","country":"United States","postalCode":"19073"},"tradeNames":[],"registration":{"secApproved":"16 August 2010","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":12,"advisory":5,"brokerDealerReps":0,"insuranceAgents":0,"promoters":14},"aum":{"discretionary":13502643004,"discretionaryAccounts":135,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":1,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":28,"regulatoryAum":62814478},{"label":"High-net-worth individuals","clients":88,"regulatoryAum":789353245},{"label":"Investment companies","clients":11,"regulatoryAum":12503548134},{"label":"Corporations and other businesses","clients":8,"regulatoryAum":146927147}],"fees":[],"feeNotes":[],"custodians":[{"name":"Interactive Brokers LLC","shortName":"Interactive Brokers","location":"Greenwich, CT","smaAssets":711692830}],"custodyNote":"Alpha Architect does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Wesley Gray","title":"Chief Executive Officer/Chief Investment Officer/Chief Compliance Officer","crd":"4233964"},{"name":"John Vogel","title":"Chief Financial Officer","crd":"5572973"}],"ownership":[{"label":"Empirical Finance, LLC","detail":"Member in the 75% or more ownership band and a control person, since April 2014."},{"label":"Wesley Gray","detail":"Indirect owner: a managing member of Empirical Finance, LLC in the 50% to 75% band and a control person, since July 2010.","parent":"Empirical Finance, LLC"},{"label":"John Vogel","detail":"Indirect owner: managing member of Empirical Finance, LLC, since March 2012.","parent":"Empirical Finance, LLC"},{"label":"Patrick Cleary","detail":"Indirect owner: managing member of Empirical Finance, LLC, since October 2014.","parent":"Empirical Finance, LLC"},{"label":"Babulak Family Trust","detail":"Indirect owner: member of Empirical Finance, LLC, since January 2017.","parent":"Empirical Finance, LLC"},{"label":"Lien Babulak","detail":"Indirect owner: trustee of Babulak Family Trust, since January 2017.","parent":"Babulak Family Trust"},{"label":"David Babulak","detail":"Indirect owner: trustee of Babulak Family Trust, since January 2017.","parent":"Babulak Family Trust"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"officesByState":[{"state":"Pennsylvania","offices":1,"addresses":[{"street":"Suite 150, 3803 West Chester Pike","city":"Newtown Square","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"12158829983","stateRegisteredReps":5,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for investment companies","Portfolio management for businesses (other than small businesses) or institutional clients","Other"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":89},{"label":"Derivatives","percent":4},{"label":"Securities issued by registered investment companies or business development companies","percent":4},{"label":"Cash and cash equivalents","percent":3}],"privateFunds":0},"sources":{"adv1FilingDate":"25 August 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/153905/PDF/153905.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Alpha Architect have?","answer":"Alpha Architect has 135 clients and manages $13.5 billion for them, as of August 2026. They include 88 high-net-worth individuals, 28 other individuals and 11 investment companies.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 25 August 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Alpha Architect offer?","answer":"Alpha Architect provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for institutions and other activities.","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 Alpha Architect use?","answer":"Alpha Architect’s separately managed account assets are held at Interactive Brokers LLC (Greenwich, CT), with $711,692,830. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 25 August 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Alpha Architect have?","answer":"Alpha Architect has 5 investment adviser representatives registered with state securities authorities, out of 12 employees, and 5 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 Alpha Architect invest in?","answer":"At the end of its last fiscal year, Alpha Architect’s separately managed accounts held 89% exchange-traded equities, 4% derivatives, 4% registered funds (mutual funds, ETFs, BDCs) and 3% cash and equivalents. It advises no private funds of its own.","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 Alpha Architect?","answer":"Alpha Architect is owned through a holding company by Wesley Gray. Its direct owner is Empirical Finance, LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 25 August 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Alpha Architect get paid?","answer":"Alpha Architect is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees 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"}}],"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 Wealth 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."}