Alpha DNA Investment Management provides portfolio management for institutions. The firm advises 1 private fund.
Alpha DNA Investment Management reports 28 clients. They include 11 high-net-worth individuals, 8 individual clients and 7 other investment advisers. Of its assets, 46.2% ($90M across 113 accounts) are managed with discretion; $105M across 542 accounts are not. It advised 1 client without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 29% | 1% |
| High-net-worth individuals | 39% | 9% |
| Pooled investment vehicles | 7% | 28% |
| Other investment advisers | 25% | 62% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 8 | $2.27M | 1.2% | $284K |
| High-net-worth individuals | 11 | $17M | 8.7% | $1.54M |
| Pooled investment vehicles | 2 | $54.3M | 27.9% | $27.2M |
| Other investment advisers | 7 | $121M | 62.2% | $17.3M |
| Total | 28 | $195M | 100% | $6.95M |
- Clients
- 8
- Regulatory AUM
- $2.27M
- AUM share
- 1.2%
- Avg. per client
- $284K
- Clients
- 11
- Regulatory AUM
- $17M
- AUM share
- 8.7%
- Avg. per client
- $1.54M
- Clients
- 2
- Regulatory AUM
- $54.3M
- AUM share
- 27.9%
- Avg. per client
- $27.2M
- Clients
- 7
- Regulatory AUM
- $121M
- AUM share
- 62.2%
- Avg. per client
- $17.3M
Total
- Clients
- 28
- Regulatory AUM
- $195M
- AUM share
- 100%
- Avg. per client
- $6.95M
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 1
- Private funds advised
- 1
Alpha DNA Investment Management is paid through a percentage of assets under management and performance-based fees; its fees and minimums are set out in its brochures on the SEC website.
Wayne Ferbert owns 75% or more of Alpha DNA Investment Management. The leadership team of Alpha DNA Investment Management includes Chief Compliance Officer Wayne Ferbert. It has 4 employees.
Leadership
Wayne FerbertChief Compliance Officer/ Managing Member- Joshua ChartierAssociate Portfolio Manager
Investment adviser representatives
2 representatives listed in the SEC register as of 9 October 2026.
- Wayne Patrick Ferbert
- Roderick John Fertig
Staff
- 4 employees
- 4 in advisory functions
- 2 state-registered reps
- Owns 75% or more of Alpha Dna Investment Management LLC
Wayne Ferbert
Control person · since October 2017
- Owns 10% to 25% of Alpha Dna Investment Management LLC
Joshua Chartier
Control person · since May 2023
Alpha DNA Investment Management’s regulatory assets grew 1.6× from $125M (June 2021) to $195M (March 2026); clients rose from 22 to 28 and employees were 4 in both filings.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $195M | 28 | 4 | 2 |
| March 2025 | $214M | 26 | 5 | 2 |
| July 2024 | $193M | 26 | 4 | 2 |
| February 2023 | $212M | 26 | 4 | 2 |
| March 2022 | $200M | 26 | 4 | 2 |
| June 2021 | $125M | 22 | 4 | 1 |
Besides its headquarters, Alpha DNA Investment Management has 1 office, with 2 listed addresses in Colorado and Maryland.
Colorado · 1 listed address
- 6400 S Fiddlers Green Circle, Greenwood Village
Maryland · 1 listed address
- 8860 Columbia 100 Parkway, Suite 301, ColumbiaHQ
Contact and registration details
- Legal name
- Alpha Dna Investment Management LLC
- Headquarters
- 8860 Columbia 100 Parkway, Suite 301, Columbia, MD 21045
- Website
- alphadnaim.com
- Phone
- 443-288-6444
- SEC file
- 801-119457
- Structure
- Delaware LLC
- Fiscal year end
- December
Alpha DNA Investment Management uses Charles Schwab ($34.8M) as custodian for its separately managed accounts. Alpha DNA Investment Management does not have custody of client assets.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $34.8M100%
At year end, Alpha DNA Investment Management’s separately managed accounts were mostly in stocks (98%).
What the accounts hold
- Stocks98%
- Cash1%
- Other1%
- Derivatives1%
How many clients does Alpha DNA Investment Management have?
Alpha DNA Investment Management has 28 clients and manages $195 million for them, as of March 2026. They include 11 high-net-worth individuals, 8 individual clients and 7 other investment advisers.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 19 March 2026
What services does Alpha DNA Investment Management offer?
Alpha DNA Investment Management provides portfolio management for institutions.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does Alpha DNA Investment Management use?
Alpha DNA Investment Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $34.8M. 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 DNA Investment Management have?
Alpha DNA Investment Management has 2 investment adviser representatives registered with state securities authorities, out of 4 employees, and 4 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
What does Alpha DNA Investment Management invest in?
At the end of its last fiscal year, Alpha DNA Investment Management’s separately managed accounts held 98% exchange-traded equities, 1% derivatives 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
Who owns Alpha DNA Investment Management?
Alpha DNA Investment Management’s direct owners are Wayne Ferbert (75% or more) and Joshua Chartier (10% to 25%).
Source: Form ADV Part 1A, Schedules A and B, filed 19 March 2026
How does Alpha DNA Investment Management get paid?
Alpha DNA Investment Management 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
How do I contact Alpha DNA Investment Management?
Alpha DNA Investment Management’s main office is at 8860 Columbia 100 Parkway, Suite 301, Columbia, MD 21045. Its phone number is 443-288-6444. Its website is alphadnaim.com.