{"url":"https://nivawealth.com/firms/alpha-capital-advisors-138825","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/138825","regulatoryAum":145988854,"crd":"138825","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6647418","suffix":null,"lastName":"NICKERSON","firstName":"ANDREW","middleName":"MCCARD"},{"crd":"3245645","suffix":null,"lastName":"NICKERSON","firstName":"RICHARD","middleName":"MILLER"},{"crd":"2593301","suffix":null,"lastName":"Robbins","firstName":"David","middleName":"M"}],"total":3,"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":"2021-05-12","regulatoryAum":116452563,"clients":260,"employees":5,"offices":1},{"filedOn":"2022-03-10","regulatoryAum":127569848,"clients":284,"employees":5,"offices":1},{"filedOn":"2023-03-02","regulatoryAum":103166124,"clients":277,"employees":5,"offices":1},{"filedOn":"2024-02-08","regulatoryAum":117224874,"clients":289,"employees":6,"offices":1},{"filedOn":"2025-02-27","regulatoryAum":129696230,"clients":296,"employees":6,"offices":1},{"filedOn":"2026-03-19","regulatoryAum":145988854,"clients":294,"employees":6,"offices":1}],"secFileNumber":"801-120376","legalName":"Alpha 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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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Alpha Capital Advisors offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Alpha Capital Advisors charge?","answer":"Alpha Capital Advisors charges up to 1.25% a year for its Asset management services. The fee is billed in advance and is negotiable.","source":"FORM ADV PART 2A, filed 19 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Alpha Capital Advisors use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Alpha Capital Advisors have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Alpha Capital Advisors invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Alpha Capital Advisors?","answer":"Alpha Capital Advisors’ direct owner is Richard Nickerson (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 19 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Alpha Capital Advisors get paid?","answer":"Alpha Capital Advisors is paid through a percentage of assets under management, hourly charges and fixed fees. 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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."}