{"url":"https://nivawealth.com/firms/alpha-solutions-investment-advisors-156541","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/156541","regulatoryAum":466294523,"crd":"156541","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"8040034","suffix":null,"lastName":"Lai","firstName":"Nathalie","middleName":"Botros"},{"crd":"1870775","suffix":"JR","lastName":"MOSES","firstName":"ROBERT","middleName":"NORMAN"},{"crd":"5891496","suffix":null,"lastName":"SAM","firstName":"ANTHONY","middleName":"T"},{"crd":"8090096","suffix":null,"lastName":"Sam","firstName":"Jordan","middleName":"Baley"}],"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"},"history":[{"filedOn":"2022-04-08","regulatoryAum":105184967,"clients":185,"employees":4,"offices":1},{"filedOn":"2023-03-30","regulatoryAum":110242501,"clients":224,"employees":4,"offices":1},{"filedOn":"2024-03-31","regulatoryAum":172357185,"clients":249,"employees":4,"offices":1},{"filedOn":"2025-03-27","regulatoryAum":261468246,"clients":361,"employees":5,"offices":1},{"filedOn":"2026-08-04","regulatoryAum":466294523,"clients":490,"employees":6,"offices":1}],"secFileNumber":"801-124857","legalName":"Alpha Solutions Investment Advisors, LLC","displayName":"Alpha Solutions Investment Advisors","slug":"alpha-solutions-investment-advisors-156541","website":"https://asiadvisors.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"xUrl":"https://twitter.com/AlphaInvestment","founded":"2010","organization":"California limited liability company","fiscalYearEnd":"December","headquarters":{"street":"400 Oyster Point BLVD., Suite 407","city":"South San Francisco","state":"CA","stateName":"California","country":"United States","postalCode":"94080"},"tradeNames":[],"registration":{"secApproved":"29 April 2022","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":967996.0702947846,"staff":{"employees":6,"advisory":4,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":466294523,"discretionary":466294523,"discretionaryAccounts":751,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":175,"regulatoryAum":35774137},{"label":"High-net-worth individuals","clients":266,"regulatoryAum":391112130},{"label":"Pooled investment vehicles","clients":1,"regulatoryAum":952862},{"label":"Pension and profit-sharing plans","clients":12,"regulatoryAum":4114667},{"label":"Charitable organizations","clients":2,"fewerThan5":true,"regulatoryAum":2192402},{"label":"Corporations and other businesses","clients":21,"regulatoryAum":28571384},{"label":"Other","clients":13,"regulatoryAum":3576941}],"feePrograms":[{"role":"main","program":"Advisory Fee Schedule","feeBasis":"marginal","fee_tiers":[{"to":2000000,"pct":1.25,"from":0},{"to":5000000,"pct":1,"from":2000000},{"to":10000000,"pct":0.75,"from":5000000},{"to":20000000,"pct":0.6,"from":10000000},{"to":null,"pct":0.5,"from":20000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1061887","versionId":1061887,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-10-21","documentName":"ALPHA SOLUTIONS INVESTMENT ADVISORS ADV II-20250916F","fee_rate_low":0.5,"fee_rate_high":1.25,"fee_negotiable":true,"minimum_account":500000,"feeMinimumPeriod":"annual","fee_minimum_annual":5000},{"role":"other","program":"Consulting Services","summary":"Consulting is charged hourly at $500 per hour, agreed in advance under a consulting services agreement, with no minimum fee; due on completion.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1061887","versionId":1061887,"submittedOn":"2026-10-21","documentName":"ALPHA SOLUTIONS INVESTMENT ADVISORS ADV II-20250916F"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T09:36:44.9398+00:00","documents":[{"name":"ALPHA SOLUTIONS INVESTMENT ADVISORS ADV II-20250916F","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1061887","versionId":1061887,"submittedOn":"2026-10-21"}]},"custodians":[],"custodyNote":"Alpha Solutions Investment Advisors does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Nathalie Lai","title":"VP of Operations","crd":"8040034"},{"name":"Robert Moses","title":"Director of Research","crd":"1870775"},{"name":"Anthony Sam","title":"CEO, CCO, Manager, Member","crd":"5891496"}],"ownership":[{"label":"Anthony Sam","detail":"Ceo, cco, manager, member in the 75% or more ownership band and a control person, since March 2011."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"400 Oyster Point BLVD., Suite 407","city":"South San Francisco","headquarters":true}]}],"brochureServices":["estate planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"415-882-7088","stateRegisteredReps":4,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for pooled investment vehicles (other than investment companies)"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":90},{"label":"U.S. government/agency bonds","percent":6},{"label":"Securities issued by registered investment companies or business development companies","percent":2},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"4 August 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/156541/PDF/156541.pdf","brochureDate":"21 October 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1061887","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 Solutions Investment Advisors have?","answer":"Alpha Solutions Investment Advisors has 490 clients and manages $466 million for them, as of August 2026. They include 266 high-net-worth individuals, 175 individual clients, and 21 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 4 August 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Alpha Solutions Investment Advisors offer?","answer":"Alpha Solutions Investment Advisors provides financial planning, portfolio management for individuals and small businesses, portfolio management for pooled vehicles, and estate planning.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Alpha Solutions Investment Advisors charge?","answer":"Alpha Solutions Investment Advisors charges 0.50%–1.25% a year for its Advisory Fee Schedule. Each asset band is charged at its own rate. The fee is billed in arrears, is negotiable, has a $5,000 annual minimum and requires an account of at least $500,000.","source":"ALPHA SOLUTIONS INVESTMENT ADVISORS ADV II-20250916F, filed 21 October 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"How many financial advisors does Alpha Solutions Investment Advisors have?","answer":"Alpha Solutions Investment Advisors has 4 investment adviser representatives registered with state securities authorities, out of 6 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 Solutions Investment Advisors invest in?","answer":"At the end of its last fiscal year, Alpha Solutions Investment Advisors’ separately managed accounts held 90% exchange-traded equities, 6% U.S. government and agency bonds, 2% registered funds (mutual funds, ETFs, BDCs) and 2% 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":"Does Alpha Solutions Investment Advisors have a minimum investment?","answer":"Yes, Alpha Solutions Investment Advisors’ minimum account size for its Advisory Fee Schedule is $500K. It charges a $5K annual minimum fee.","source":"ALPHA SOLUTIONS INVESTMENT ADVISORS ADV II-20250916F, filed 21 October 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Alpha Solutions Investment Advisors?","answer":"Alpha Solutions Investment Advisors’ direct owner is Anthony Sam (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 4 August 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Alpha Solutions Investment Advisors get paid?","answer":"Alpha Solutions Investment Advisors is paid through a percentage of assets under management. 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 Solutions Investment Advisors?","answer":"Alpha Solutions Investment Advisors’ main office is at 400 Oyster Point BLVD., Suite 407, South San Francisco, CA 94080. Its phone number is 415-882-7088. Its website is asiadvisors.com.","source":"Form ADV Part 1A, Item 1.F, filed 4 August 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."}