{"url":"https://nivawealth.com/firms/alpha-financial-management-125800","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/125800","regulatoryAum":109376177,"crd":"125800","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5561334","suffix":null,"lastName":"DAYOUB","firstName":"MICHAEL","middleName":"CHRISTOPHER"},{"crd":"6572556","suffix":null,"lastName":"Jordan","firstName":"Mary","middleName":"Petrone"},{"crd":"6494687","suffix":null,"lastName":"Jordan","firstName":"Wayne","middleName":"Riley"},{"crd":"8304039","suffix":null,"lastName":"Russ","firstName":"Gordon","middleName":"W"}],"total":4,"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"},"secFileNumber":"801-135795","legalName":"Alpha Financial Management, Inc.","displayName":"Alpha Financial Management","slug":"alpha-financial-management-125800","website":"https://alpha-sav.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Georgia corporation","fiscalYearEnd":"December","headquarters":{"street":"7505 Waters Avenue, Suite E-1","city":"Savannah","state":"GA","stateName":"Georgia","country":"United States","postalCode":"31406-3631"},"tradeNames":[],"registration":{"secApproved":"8 April 2026","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":951097.1913043478,"staff":{"employees":4,"advisory":3,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":109376177,"discretionary":109376177,"discretionaryAccounts":543,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":80,"regulatoryAum":31080066},{"label":"High-net-worth individuals","clients":35,"regulatoryAum":78296111}],"feePrograms":[{"role":"main","program":"Annual Management Fee","feeBasis":"marginal","fee_tiers":[{"to":1000000,"pct":1,"from":0},{"to":2000000,"pct":0.75,"from":1000000},{"to":3000000,"pct":0.5,"from":2000000},{"to":null,"pct":0.25,"from":3000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1059998","versionId":1059998,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-10-02","documentName":"ADV PART 2A","fee_rate_low":0.25,"fee_rate_high":1,"fee_negotiable":null,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial Planning-Only Services","summary":"Financial planning without asset management is charged a negotiated annual flat fee, a range from $2,000 to $10,000 per year.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1059998","versionId":1059998,"submittedOn":"2026-10-02","documentName":"ADV PART 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T12:49:27.17622+00:00","documents":[{"name":"ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1059998","versionId":1059998,"submittedOn":"2026-10-02"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":99000000}],"custodyNote":"Alpha Financial Management does not have custody of client assets.","leadership":[{"name":"Wayne Jordan","title":"Secretary/Owner","crd":"6494687"},{"name":"Mary Jordan","title":"Owner and CCO","crd":"6572556"}],"ownership":[{"label":"Wayne Jordan","detail":"Secretary/owner in the 50% to 75% ownership band and a control person, since August 2023."},{"label":"Mary Jordan","detail":"Owner and cco in the 50% to 75% ownership band and a control person, since March 2025."}],"filedOffices":{"otherThanPrincipal":2,"privateResidences":0},"listedOfficeAddresses":3,"foreignOffices":[],"officesByState":[{"state":"Georgia","offices":2,"addresses":[{"street":"7505 Waters Avenue, Suite E-1","city":"Savannah","headquarters":true},{"street":"11175 Cicero Drive, Suite 100","city":"Alpharetta"}]},{"state":"South Carolina","offices":1,"addresses":[{"street":"110 Traders Cross","city":"Bluffton"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"912-353-9343","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":35},{"label":"Securities issued by registered investment companies or business development companies","percent":60},{"label":"Cash and cash equivalents","percent":5}],"privateFunds":0},"sources":{"adv1FilingDate":"16 April 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/125800/PDF/125800.pdf","brochureDate":"2 October 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1059998","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Alpha Financial Management have?","answer":"Alpha Financial Management has 115 clients and manages $109 million for them, as of April 2026. They include 80 individual clients and 35 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 16 April 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Alpha Financial Management offer?","answer":"Alpha Financial Management provides financial planning and portfolio management for individuals and small businesses.","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 Financial Management charge?","answer":"Alpha Financial Management charges 0.25%–1.00% a year for its Annual Management Fee. Each asset band is charged at its own rate. The fee is billed in advance.","source":"ADV PART 2A, filed 2 October 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Alpha Financial Management use?","answer":"Alpha Financial Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $99M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 16 April 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Alpha Financial Management have?","answer":"Alpha Financial Management has 3 investment adviser representatives registered with state securities authorities, out of 4 employees, and 3 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 Financial Management invest in?","answer":"At the end of its last fiscal year, Alpha Financial Management’s separately managed accounts held 60% registered funds (mutual funds, ETFs, BDCs), 35% exchange-traded equities and 5% cash and equivalents.","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 Financial Management?","answer":"Alpha Financial Management’s direct owners are Wayne Jordan (50% to 75%) and Mary Jordan (50% to 75%).","source":"Form ADV Part 1A, Schedules A and B, filed 16 April 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Alpha Financial Management get paid?","answer":"Alpha Financial Management 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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is Alpha Financial Management registered with the SEC?","answer":"Yes, Alpha Financial Management has been registered with the SEC as an investment adviser since 8 April 2026. Its CRD number is 125800 and its SEC file number is 801-135795.","source":"Form ADV Part 1A, Item 1, filed 16 April 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Alpha Financial Management?","answer":"Alpha Financial Management’s main office is at 7505 Waters Avenue, Suite E-1, Savannah, GA 31406-3631. Its phone number is 912-353-9343. Its website is alpha-sav.com.","source":"Form ADV Part 1A, Item 1.F, filed 16 April 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."}