{"url":"https://nivawealth.com/firms/alpha-omega-financial-advisory-314289","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/314289","regulatoryAum":186968599,"crd":"314289","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5644917","suffix":null,"lastName":"CARAMBELAS","firstName":"WILLIAM","middleName":null}],"total":1,"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":"2021-05-19","regulatoryAum":120461351,"clients":79,"employees":2,"offices":1},{"filedOn":"2022-01-25","regulatoryAum":128946796,"clients":83,"employees":2,"offices":1},{"filedOn":"2023-02-17","regulatoryAum":111645795,"clients":86,"employees":2,"offices":1},{"filedOn":"2024-05-23","regulatoryAum":139280898,"clients":89,"employees":2,"offices":3},{"filedOn":"2025-02-05","regulatoryAum":161584105,"clients":87,"employees":2,"offices":3},{"filedOn":"2026-02-09","regulatoryAum":186968599,"clients":87,"employees":2,"offices":3}],"secFileNumber":"801-121214","legalName":"Alpha Omega Financial Advisory, Inc.","displayName":"Alpha Omega Financial Advisory","slug":"alpha-omega-financial-advisory-314289","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Florida corporation","fiscalYearEnd":"December","headquarters":{"street":"","city":"","state":"","stateName":"","country":"","postalCode":null},"tradeNames":[],"registration":{"secApproved":"14 May 2021","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":2160870.3372093025,"staff":{"employees":2,"advisory":1,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":186968599,"discretionary":186968599,"discretionaryAccounts":337,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":1,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":40,"regulatoryAum":17557749},{"label":"High-net-worth individuals","clients":46,"regulatoryAum":168277100},{"label":"Charitable organizations","clients":1,"fewerThan5":true,"regulatoryAum":1133750}],"feePrograms":[{"role":"other","program":"Financial Planning Services","summary":"Financial planning is a fixed fee, negotiable by scope and complexity, with an estimate given before work starts.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1007544","versionId":1007544,"submittedOn":"2026-02-09","documentName":"ALPHA OMEGA FINANCIAL, INC. ADV BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T16:58:23.702033+00:00","documents":[{"name":"ALPHA OMEGA FINANCIAL, INC. ADV BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1007544","versionId":1007544,"submittedOn":"2026-02-09"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"El Paso, TX","smaAssets":186968599}],"custodyNote":"Alpha Omega Financial Advisory has custody of $69.3M for 45 clients.","otherCustodians":[],"leadership":[{"name":"William Carambelas","title":"President/Chief Compliance Officer","crd":"5644917"}],"ownership":[{"label":"William Carambelas","detail":"President/chief compliance officer in the 75% or more ownership band and a control person, since February 2021."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":2,"privateResidences":2},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"410-592-8936","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"11-25","assetMix":[{"label":"Exchange-traded equity securities","percent":28},{"label":"Securities issued by registered investment companies or business development companies","percent":60},{"label":"Cash and cash equivalents","percent":12}],"privateFunds":0},"sources":{"adv1FilingDate":"9 February 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/314289/PDF/314289.pdf","brochureDate":"9 February 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1007544","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 Omega Financial Advisory have?","answer":"Alpha Omega Financial Advisory has 87 clients and manages $187 million for them, as of February 2026. They include 46 high-net-worth individuals, 40 individual clients and 1 charitable organization.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 9 February 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Alpha Omega Financial Advisory offer?","answer":"Alpha Omega Financial Advisory 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":"Which custodians does Alpha Omega Financial Advisory use?","answer":"Alpha Omega Financial Advisory’s separately managed account assets are held at Charles Schwab & Co., Inc. (El Paso, TX), with $187M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 9 February 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Alpha Omega Financial Advisory have?","answer":"Alpha Omega Financial Advisory has 1 investment adviser representative registered with state securities authorities, out of 2 employees, and 1 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 Omega Financial Advisory invest in?","answer":"At the end of its last fiscal year, Alpha Omega Financial Advisory’s separately managed accounts held 60% registered funds (mutual funds, ETFs, BDCs), 28% exchange-traded equities and 12% 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 Omega Financial Advisory?","answer":"Alpha Omega Financial Advisory’s direct owner is William Carambelas (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 9 February 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Alpha Omega Financial Advisory get paid?","answer":"Alpha Omega Financial Advisory is paid through a percentage of assets under management 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":"How do I contact Alpha Omega Financial Advisory?","answer":"Its phone number is 410-592-8936.","source":"Form ADV Part 1A, Item 1.F, filed 9 February 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."}