{"url":"https://nivawealth.com/firms/alpha-dna-investment-management-288198","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/288198","regulatoryAum":194698387,"crd":"288198","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4520127","suffix":null,"lastName":"FERBERT","firstName":"WAYNE","middleName":"PATRICK"},{"crd":"7387490","suffix":null,"lastName":"Fertig","firstName":"Roderick","middleName":"John"}],"total":2,"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":"2021-06-10","regulatoryAum":124554122,"clients":22,"employees":4,"offices":1},{"filedOn":"2022-03-16","regulatoryAum":200215549,"clients":26,"employees":4,"offices":2},{"filedOn":"2023-02-02","regulatoryAum":212050663,"clients":26,"employees":4,"offices":2},{"filedOn":"2024-07-08","regulatoryAum":192756106,"clients":26,"employees":4,"offices":2},{"filedOn":"2025-03-07","regulatoryAum":214095296,"clients":26,"employees":5,"offices":2},{"filedOn":"2026-03-19","regulatoryAum":194698387,"clients":28,"employees":4,"offices":2}],"secFileNumber":"801-119457","legalName":"Alpha Dna Investment Management LLC","displayName":"Alpha DNA Investment Management","slug":"alpha-dna-investment-management-288198","website":"https://alphadnaim.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/288198/ea102c9956e10eaf-r1.webp","tone":"light","width":806,"height":200,"sourceUrl":"https://alphadnaim.com/home","sourceLabel":"Alpha DNA Investment Management, website"},"classification":{"segment":"institutions","segmentLabel":"Institutional","type":"institutional_asset_manager","typeLabel":"Asset manager","feeDisclosure":"payment_only"},"founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"8860 Columbia 100 Parkway, Suite 301","city":"Columbia","state":"MD","stateName":"Maryland","country":"United States","postalCode":"21045"},"tradeNames":[],"registration":{"secApproved":"14 September 2020","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1012796.4210526316,"staff":{"employees":4,"advisory":4,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":194698387,"discretionary":90006545,"discretionaryAccounts":113,"nonDiscretionary":104691842,"nonDiscretionaryAccounts":542,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":1},"clientTypes":[{"label":"Individuals (other than HNW)","clients":8,"regulatoryAum":2269417},{"label":"High-net-worth individuals","clients":11,"regulatoryAum":16973715},{"label":"Pooled investment vehicles","clients":2,"regulatoryAum":54303043},{"label":"Other investment advisers","clients":7,"regulatoryAum":121152212}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":34791913}],"custodyNote":"Alpha DNA Investment Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Wayne Ferbert","title":"Chief Compliance Officer/ Managing Member","crd":"4520127"},{"name":"Joshua Chartier","title":"Associate Portfolio Manager","crd":"8047714"}],"ownership":[{"label":"Wayne Ferbert","detail":"Chief compliance officer/ managing member in the 75% or more ownership band and a control person, since October 2017."},{"label":"Joshua Chartier","detail":"Associate portfolio manager in the 10% to 25% ownership band and a control person, since May 2023."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Colorado","offices":1,"addresses":[{"street":"6400 S Fiddlers Green Circle","city":"Greenwood Village"}]},{"state":"Maryland","offices":1,"addresses":[{"street":"8860 Columbia 100 Parkway, Suite 301","city":"Columbia","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"443-288-6444","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees"],"activities":["Portfolio management for businesses (other than small businesses) or institutional clients","Other"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":98},{"label":"Derivatives","percent":1},{"label":"Cash and cash equivalents","percent":1}],"privateFunds":1},"sources":{"adv1FilingDate":"19 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/288198/PDF/288198.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 Alpha DNA Investment Management have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Alpha DNA Investment Management offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Alpha DNA Investment Management use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Alpha DNA Investment Management have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Alpha DNA Investment Management invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Alpha DNA Investment Management?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Alpha DNA Investment Management get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Alpha DNA Investment Management?","answer":"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.","source":"Form ADV Part 1A, Item 1.F, filed 19 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."}