Alpha Capital Advisors provides financial planning, portfolio management for individuals and small businesses, and pension consulting. Financial planning was provided to 1–10 clients last fiscal year.
Alpha Capital Advisors reports 294 clients. They include 249 individual clients and 45 high-net-worth individuals. Of its assets, 100.0% ($146M across 504 accounts) are managed with discretion. A wrap fee program the firm both sponsors and manages holds $143M. It advised 1 client without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 85% | 39% |
| High-net-worth individuals | 15% | 56% |
| Pension and profit-sharing plans | Fewer than 5 | 4% |
| Corporations and other businesses | Fewer than 5 | <1% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 249 | $57M | 39.0% | $229K |
| High-net-worth individuals | 45 | $82.2M | 56.3% | $1.83M |
| Pension and profit-sharing plans | Fewer than 5 | $6.09M | 4.2% | — |
| Corporations and other businesses | Fewer than 5 | $755K | 0.5% | — |
| Total | 294 | $146M | 100% | — |
- Clients
- 249
- Regulatory AUM
- $57M
- AUM share
- 39.0%
- Avg. per client
- $229K
- Clients
- 45
- Regulatory AUM
- $82.2M
- AUM share
- 56.3%
- Avg. per client
- $1.83M
- Clients
- Fewer than 5
- Regulatory AUM
- $6.09M
- AUM share
- 4.2%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $755K
- AUM share
- 0.5%
- Avg. per client
- —
Total
- Clients
- 294
- Regulatory AUM
- $146M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 1
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 1–10
Alpha Capital Advisors charges up to 1.25% a year for its Asset management services. The fee is billed in advance and is negotiable. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Financial planning
- Financial plans are charged at an hourly rate of $200, and the firm may waive separate planning fees for clients with assets under management.
Richard Nickerson owns 75% or more of Alpha Capital Advisors. The leadership team of Alpha Capital Advisors includes President Richard Nickerson. It has 6 employees, 3 of them in advisory roles.
Staff
- 6 employees
- 3 in advisory functions
- 3 state-registered reps
- 3 insurance agents
- Owns 75% or more of Alpha Capital Advisors, Inc.
Richard Nickerson
Control person · since August 2021
Alpha Capital Advisors’ regulatory assets grew from $116M (May 2021) to $146M (March 2026); clients rose from 260 to 294 and employees from 5 to 6.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Mar 2026March 2026 | $146M | 294 | 6 | 1 |
| Feb 2025February 2025 | $130M | 296 | 6 | 1 |
| Feb 2024February 2024 | $117M | 289 | 6 | 1 |
| Mar 2023March 2023 | $103M | 277 | 5 | 1 |
| Mar 2022March 2022 | $128M | 284 | 5 | 1 |
| May 2021May 2021 | $116M | 260 | 5 | 1 |
Besides its headquarters, Alpha Capital Advisors has 0 offices, with 1 listed address in 1 state.
Maine · 1 listed address
- One Cumberland Place, Suite 204, BangorHQ
Contact and registration details
- Legal name
- Alpha Capital Advisors, Inc.
- Headquarters
- One Cumberland Place, Suite 204, Bangor, ME 04401
- Website
- Not reported
- Phone
- 207-989-5522
- SEC file
- 801-120376
- Structure
- Maine corporation
- Fiscal year end
- December
Alpha Capital Advisors’ named custodian for separately managed accounts is LPL Financial ($143M). Alpha Capital Advisors does not have custody of client assets.
- LPL FinancialLPL Financial LLC · Fort Mill, SC · $143M100%
At year end, Alpha Capital Advisors’ separately managed accounts were mostly in funds (93%). Its reported 13F holdings for the quarter ended 30 June 2026 total $116M across 34 positions; the largest are SPDR Series Trust (16.9%), SPDR Series Trust (12.0%) and iShares TR (7.8%).
What the accounts hold
- Stocks5%
- Exchange-traded equities4%
- Non-exchange-traded equities1%
- Funds93%
- Bonds3%
- U.S. government and agency bonds1%
- State and local bonds1%
- Investment grade corporate bonds1%
- Cash3%
How many clients does Alpha Capital Advisors have?
Alpha Capital Advisors has 294 clients and manages $146 million for them, as of March 2026. They include 249 individual clients and 45 high-net-worth individuals.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 19 March 2026
What services does Alpha Capital Advisors offer?
Alpha Capital Advisors provides financial planning, portfolio management for individuals and small businesses, and pension consulting.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Alpha Capital Advisors charge?
Alpha Capital Advisors charges up to 1.25% a year for its Asset management services. The fee is billed in advance and is negotiable.
Which custodians does Alpha Capital Advisors use?
Alpha Capital Advisors’ separately managed account assets are held at LPL Financial LLC (Fort Mill, SC), with $143M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 19 March 2026
How many financial advisors does Alpha Capital Advisors have?
Alpha Capital Advisors has 3 investment adviser representatives registered with state securities authorities, out of 6 employees, and 3 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 3 employees are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Alpha Capital Advisors invest in?
At the end of its last fiscal year, Alpha Capital Advisors’ separately managed accounts held 93% registered funds (mutual funds, ETFs, BDCs), 4% exchange-traded equities, 3% cash and equivalents, 1% non-exchange-traded equities, 1% U.S. government and agency bonds, 1% state and local bonds and 1% investment grade corporate bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Alpha Capital Advisors?
Alpha Capital Advisors’ direct owner is Richard Nickerson (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 19 March 2026
How does Alpha Capital Advisors get paid?
Alpha Capital Advisors is paid through a percentage of assets under management, hourly charges 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
How do I contact Alpha Capital Advisors?
Alpha Capital Advisors’ main office is at One Cumberland Place, Suite 204, Bangor, ME 04401. Its phone number is 207-989-5522.