{"url":"https://nivawealth.com/firms/alpha-wealth-funds-150231","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/150231","regulatoryAum":214122623,"crd":"150231","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7802327","suffix":null,"lastName":"Bell","firstName":"Preston","middleName":null},{"crd":"6589277","suffix":null,"lastName":"BOBER","firstName":"JENNY","middleName":"LYN"},{"crd":"8351845","suffix":null,"lastName":"Felt","firstName":"Clark","middleName":null},{"crd":"8025466","suffix":null,"lastName":"Graff","firstName":"Karyn","middleName":null},{"crd":"8086873","suffix":null,"lastName":"Myers","firstName":"Kody","middleName":"Rand"},{"crd":"7540852","suffix":null,"lastName":"Ross","firstName":"Dominic","middleName":null},{"crd":"1831458","suffix":null,"lastName":"SAX","firstName":"HARVEY","middleName":"WARREN"},{"crd":"7189559","suffix":null,"lastName":"SPENCER","firstName":"AIMEE","middleName":"JACKSON"},{"crd":"5890037","suffix":null,"lastName":"THOMAS","firstName":"CAMERON","middleName":"JAMES"},{"crd":"6086393","suffix":null,"lastName":"THOMAS","firstName":"CHASE","middleName":"RICHARD"},{"crd":"7791840","suffix":null,"lastName":"Thomas","firstName":"Jayden","middleName":"Vaughn"},{"crd":"7481477","suffix":null,"lastName":"Zollinger","firstName":"Evan","middleName":null}],"total":12,"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":"2025-05-27","regulatoryAum":118515457,"clients":232,"employees":9,"offices":1},{"filedOn":"2026-06-10","regulatoryAum":214122623,"clients":303,"employees":11,"offices":1}],"secFileNumber":"801-132551","legalName":"Alpha Wealth Funds, LLC","displayName":"Alpha Wealth Funds","slug":"alpha-wealth-funds-150231","website":"https://alphawealthfunds.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/150231/d64ba0b2a755b706-r1.webp","tone":"light","width":325,"height":200,"sourceUrl":"https://www.alphawealthfunds.com/","sourceLabel":"Alpha Wealth Funds, LLC, website"},"classification":{"segment":"private_funds","segmentLabel":"Private funds","type":"private_fund_manager","typeLabel":null,"feeDisclosure":"payment_only"},"founded":null,"organization":"Utah limited liability company","fiscalYearEnd":"December","headquarters":{"street":"1887 Gold Dust Lane, Suite 203 A","city":"Park City","state":"UT","stateName":"Utah","country":"United States","postalCode":"84060"},"tradeNames":[],"registration":{"secApproved":"25 April 2025","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":246483.90875912408,"staff":{"employees":11,"advisory":11,"brokerDealerReps":0,"insuranceAgents":5,"promoters":1},"aum":{"regulatory":214122623,"discretionary":166628145,"discretionaryAccounts":418,"nonDiscretionary":47494478,"nonDiscretionaryAccounts":24,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":197,"regulatoryAum":28303726},{"label":"High-net-worth individuals","clients":77,"regulatoryAum":39232865},{"label":"Pooled investment vehicles","clients":4,"regulatoryAum":98165890},{"label":"Charitable organizations","clients":1,"regulatoryAum":925664},{"label":"Other investment advisers","clients":1,"regulatoryAum":34980000},{"label":"Other","clients":23,"regulatoryAum":12514478}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"Interactive Brokers LLC","shortName":"Interactive Brokers","location":"Greenwich, CT","smaAssets":141057358},{"name":"Tradestation Securities, Inc.","shortName":"Tradestation Securities","location":"Plantation, FL","smaAssets":17753253},{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":42610000}],"custodyNote":"Alpha Wealth Funds has custody of $98.2M in client assets for 4 clients.","otherCustodians":[],"leadership":[{"name":"Aimee Spencer","title":"CCO","crd":"7189559"},{"name":"Chase Thomas","title":"Owner","crd":"6086393"}],"ownership":[{"label":"Chase Thomas","detail":"Owner in the 75% or more ownership band and a control person, since March 2018."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Utah","offices":1,"addresses":[{"street":"1887 Gold Dust Lane, Suite 203 A","city":"Park City","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"435-269-4100","stateRegisteredReps":11,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Subscription fees","Fixed fees (other than subscription fees)","Commissions","Performance-based fees","Other"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients","Publication of periodicals or newsletters","Educational seminars/workshops"],"financialPlanningClients":"51-100","assetMix":[{"label":"Exchange-traded equity securities","percent":86},{"label":"U.S. government/agency bonds","percent":1},{"label":"Derivatives","percent":10},{"label":"Cash and cash equivalents","percent":3}],"privateFunds":5},"sources":{"adv1FilingDate":"10 June 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/150231/PDF/150231.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 Wealth Funds have?","answer":"Alpha Wealth Funds has 303 clients and manages $214 million for them, as of June 2026. They include 197 individual clients, 77 high-net-worth individuals and 23 other clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 10 June 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Alpha Wealth Funds offer?","answer":"Alpha Wealth Funds provides financial planning, portfolio management for individuals and small businesses, portfolio management for pooled vehicles, portfolio management for institutions, publishing newsletters, and educational seminars.","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 Wealth Funds use?","answer":"Alpha Wealth Funds’ separately managed account assets are held at Interactive Brokers LLC (Greenwich, CT), with $141M, Charles Schwab & Co., Inc. (Westlake, TX), with $42.6M and Tradestation Securities, Inc. (Plantation, FL), with $17.8M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 10 June 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Alpha Wealth Funds have?","answer":"Alpha Wealth Funds has 11 investment adviser representatives registered with state securities authorities, out of 11 employees, and 11 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 5 employees are 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 Wealth Funds invest in?","answer":"At the end of its last fiscal year, Alpha Wealth Funds’ separately managed accounts held 86% exchange-traded equities, 10% derivatives, 3% cash and equivalents and 1% U.S. government and agency bonds. It advises 5 private funds.","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 Wealth Funds?","answer":"Alpha Wealth Funds’ direct owner is Chase Thomas (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 10 June 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Alpha Wealth Funds get paid?","answer":"Alpha Wealth Funds is paid through a percentage of assets under management, hourly charges, subscription fees, fixed fees, commissions, performance-based fees and other compensation.","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 Wealth Funds?","answer":"Alpha Wealth Funds’ main office is at 1887 Gold Dust Lane, Suite 203 A, Park City, UT 84060. Its phone number is 435-269-4100. Its website is alphawealthfunds.com.","source":"Form ADV Part 1A, Item 1.F, filed 10 June 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":{"url":"https://nivawealth.com/firms/alpha-wealth-funds-150231/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-08-11","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/2059327/000205932726000003/0002059327-26-000003-index.html","totalValue":183391424,"positionCount":63,"top10Share":0.8685786419325693,"top10":[{"issuer":"ISHARES TR","titleOfClass":"0-3 MNTH TREASRY","cusip":"46436E718","value":123015927,"shares":1221972,"shareType":"SH","priorValue":110933360,"priorShares":1102060},{"issuer":"SPDR S&P 500 ETF TR","titleOfClass":"CALL","cusip":"78462F903","value":19758484,"shares":1452,"shareType":"SH","putCall":"Call","priorValue":8571240,"priorShares":697},{"issuer":"SPDR S&P 500 ETF TR","titleOfClass":"TR UNIT","cusip":"78462F103","value":3810207,"shares":5103,"shareType":"SH","priorValue":3196421,"priorShares":4915},{"issuer":"ISHARES TR","titleOfClass":"IBOXX INV CP ETF","cusip":"464287242","value":2146170,"shares":19677,"shareType":"SH","priorValue":2173043,"priorShares":19938},{"issuer":"VANECK ETF TRUST","titleOfClass":"BDC INCOME ETF","cusip":"92189F411","value":2129804,"shares":168231,"shareType":"SH","priorValue":2181056,"priorShares":170395},{"issuer":"FS KKR CAP CORP","titleOfClass":"COM","cusip":"302635206","value":1892016,"shares":180192,"shareType":"SH"},{"issuer":"ENERGY TRANSFER L P","titleOfClass":"COM UT LTD PTN","cusip":"29273V100","value":1711240,"shares":89500,"shareType":"SH","priorValue":1753305,"priorShares":89500},{"issuer":"UNITED STS OIL FD LP","titleOfClass":"USO","cusip":"91232N907","value":1643115,"shares":750,"shareType":"SH","putCall":"Call"},{"issuer":"SPDR S&P MIDCAP 400 ETF TR","titleOfClass":"UTSER1 S&PDCRP","cusip":"78467Y107","value":1641596,"shares":2334,"shareType":"SH","priorValue":1770101,"priorShares":2870},{"issuer":"ROCKWELL AUTOMATION INC","titleOfClass":"COM","cusip":"773903109","value":1541315,"shares":3083,"shareType":"SH","priorValue":1074456,"priorShares":3083}],"positionsListed":63,"positions":[{"issuer":"ISHARES TR","titleOfClass":"0-3 MNTH TREASRY","cusip":"46436E718","value":123015927,"shares":1221972,"shareType":"SH","priorValue":110933360,"priorShares":1102060},{"issuer":"SPDR S&P 500 ETF TR","titleOfClass":"CALL","cusip":"78462F903","value":19758484,"shares":1452,"shareType":"SH","putCall":"Call","priorValue":8571240,"priorShares":697},{"issuer":"SPDR S&P 500 ETF TR","titleOfClass":"TR UNIT","cusip":"78462F103","value":3810207,"shares":5103,"shareType":"SH","priorValue":3196421,"priorShares":4915},{"issuer":"ISHARES TR","titleOfClass":"IBOXX INV CP ETF","cusip":"464287242","value":2146170,"shares":19677,"shareType":"SH","priorValue":2173043,"priorShares":19938},{"issuer":"VANECK ETF TRUST","titleOfClass":"BDC INCOME ETF","cusip":"92189F411","value":2129804,"shares":168231,"shareType":"SH","priorValue":2181056,"priorShares":170395},{"issuer":"FS KKR CAP CORP","titleOfClass":"COM","cusip":"302635206","value":1892016,"shares":180192,"shareType":"SH"},{"issuer":"ENERGY TRANSFER L P","titleOfClass":"COM UT LTD PTN","cusip":"29273V100","value":1711240,"shares":89500,"shareType":"SH","priorValue":1753305,"priorShares":89500},{"issuer":"UNITED STS OIL FD LP","titleOfClass":"USO","cusip":"91232N907","value":1643115,"shares":750,"shareType":"SH","putCall":"Call"},{"issuer":"SPDR S&P MIDCAP 400 ETF TR","titleOfClass":"UTSER1 S&PDCRP","cusip":"78467Y107","value":1641596,"shares":2334,"shareType":"SH","priorValue":1770101,"priorShares":2870},{"issuer":"ROCKWELL AUTOMATION INC","titleOfClass":"COM","cusip":"773903109","value":1541315,"shares":3083,"shareType":"SH","priorValue":1074456,"priorShares":3083},{"issuer":"ABBOTT LABORATORIES","titleOfClass":"COM","cusip":"002824100","value":1466889,"shares":16120,"shareType":"SH","priorValue":725480,"priorShares":7120},{"issuer":"ISHARES TR","titleOfClass":"CORE S&P SCP ETF","cusip":"464287804","value":1329303,"shares":8963,"shareType":"SH","priorValue":1538833,"priorShares":12379},{"issuer":"ISHARES TR","titleOfClass":"CORE MSCI TOTAL","cusip":"46432F834","value":1224400,"shares":12829,"shareType":"SH"},{"issuer":"INSULET CORP","titleOfClass":"COM","cusip":"45784P101","value":1141975,"shares":6700,"shareType":"SH","priorValue":728035,"priorShares":3500},{"issuer":"SELECT SECTOR SPDR TR","titleOfClass":"STATE STREET TEC","cusip":"81369Y803","value":1035286,"shares":5434,"shareType":"SH","priorValue":901461,"priorShares":6783},{"issuer":"NVIDIA CORPORATION","titleOfClass":"COM","cusip":"67066G104","value":987044,"shares":4933,"shareType":"SH","priorValue":796834,"priorShares":4569},{"issuer":"ISHARES TR","titleOfClass":"ISHARES BIOTECH","cusip":"464287556","value":948150,"shares":5000,"shareType":"SH"},{"issuer":"LAM RESEARCH CORP","titleOfClass":"COM NEW","cusip":"512807306","value":871653,"shares":2010,"shareType":"SH"},{"issuer":"NEBIUS GROUP N.V.","titleOfClass":"SHS CLASS A","cusip":"N97284108","value":828510,"shares":3000,"shareType":"SH"},{"issuer":"SELECT SECTOR SPDR TR","titleOfClass":"STATE STREET CON","cusip":"81369Y407","value":787301,"shares":6713,"shareType":"SH","priorValue":770162,"priorShares":7067},{"issuer":"APPLIED MATLS INC","titleOfClass":"COM","cusip":"038222105","value":749582,"shares":1034,"shareType":"SH","priorValue":300000,"priorShares":1000},{"issuer":"GE HEALTHCARE TECHNOLOGIES I","titleOfClass":"COMMON STOCK","cusip":"36266G107","value":736115,"shares":11500,"shareType":"SH"},{"issuer":"SPDR SERIES TRUST","titleOfClass":"STATE STREET SPD","cusip":"78464A870","value":729849,"shares":4612,"shareType":"SH","priorValue":711328,"priorShares":5569},{"issuer":"AMGEN INC","titleOfClass":"COM","cusip":"031162100","value":726051,"shares":2005,"shareType":"SH","priorValue":705459,"priorShares":2005},{"issuer":"INTEL CORP","titleOfClass":"COM","cusip":"458140100","value":710202,"shares":5100,"shareType":"SH"},{"issuer":"VANGUARD INDEX FDS","titleOfClass":"TOTAL STK MKT","cusip":"922908769","value":637123,"shares":3536,"shareType":"SH","priorValue":535638,"priorShares":3429},{"issuer":"AMAZON COM INC","titleOfClass":"COM","cusip":"023135106","value":617782,"shares":2589,"shareType":"SH","priorValue":304491,"priorShares":1462},{"issuer":"FIRST TR EXCHANGE-TRADED FD","titleOfClass":"VEST LADDERED","cusip":"33733E690","value":597962,"shares":28762,"shareType":"SH"},{"issuer":"CENCORA INC","titleOfClass":"COM SHS","cusip":"03073E105","value":565960,"shares":2000,"shareType":"SH"},{"issuer":"GLOBAL X FDS","titleOfClass":"RBTCS ARTFL INTE","cusip":"37954Y715","value":528770,"shares":13937,"shareType":"SH"},{"issuer":"SELECT SECTOR SPDR TR","titleOfClass":"STATE STREET HEA","cusip":"81369Y209","value":504222,"shares":3178,"shareType":"SH","priorValue":476629,"priorShares":3251},{"issuer":"MICROSOFT CORP","titleOfClass":"CALL","cusip":"594918904","value":480925,"shares":50,"shareType":"SH","putCall":"Call"},{"issuer":"PALANTIR TECHNOLOGIES INC","titleOfClass":"CL A","cusip":"69608A108","value":474380,"shares":4066,"shareType":"SH"},{"issuer":"ALPHABET INC","titleOfClass":"CAP STK CL C","cusip":"02079K107","value":410306,"shares":1159,"shareType":"SH","priorValue":3553689,"priorShares":13010},{"issuer":"SOFI TECHNOLOGIES INC","titleOfClass":"COM","cusip":"83406F102","value":378350,"shares":21100,"shareType":"SH","priorValue":151500,"priorShares":10000},{"issuer":"MERCADOLIBRE INC","titleOfClass":"COM","cusip":"58733R102","value":339198,"shares":200,"shareType":"SH"},{"issuer":"LATTICE SEMICONDUCTOR CORP","titleOfClass":"COM","cusip":"518415104","value":307920,"shares":2000,"shareType":"SH"},{"issuer":"PROSHARES TR","titleOfClass":"ULTRAPRO QQQ","cusip":"74347X831","value":301968,"shares":3728,"shareType":"SH"},{"issuer":"OPTION CARE HEALTH INC","titleOfClass":"COM","cusip":"68404L201","value":294377,"shares":14038,"shareType":"SH"},{"issuer":"ADOBE INC","titleOfClass":"CALL","cusip":"00724F901","value":287722,"shares":75,"shareType":"SH","priorValue":463816,"priorShares":75},{"issuer":"S&P GLOBAL INC","titleOfClass":"COM","cusip":"78409V104","value":285082,"shares":700,"shareType":"SH"},{"issuer":"INSPERITY INC","titleOfClass":"COM","cusip":"45578Q107","value":247860,"shares":6000,"shareType":"SH"},{"issuer":"TAIWAN SEMICONDUCTOR MANUFAC","titleOfClass":"SPONSORED ADS","cusip":"874039100","value":238070,"shares":500,"shareType":"SH"},{"issuer":"SPACE EXPLORATION TECHN CORP","titleOfClass":"CLASS A COM STK","cusip":"84615Q103","value":236577,"shares":1385,"shareType":"SH"},{"issuer":"APPLE INC","titleOfClass":"COM","cusip":"037833100","value":229462,"shares":793,"shareType":"SH"},{"issuer":"LOWES COS INC","titleOfClass":"COM","cusip":"548661107","value":220450,"shares":1000,"shareType":"SH","priorValue":232580,"priorShares":1000},{"issuer":"NORWEGIAN CRUISE LINE HLDGS","titleOfClass":"SHS CLASS A","cusip":"G66721104","value":211100,"shares":10000,"shareType":"SH"},{"issuer":"BLACK STONE MINERALS L P","titleOfClass":"COM UNIT","cusip":"09225M101","value":209550,"shares":15000,"shareType":"SH"},{"issuer":"HOME DEPOT INC","titleOfClass":"COM","cusip":"437076102","value":204554,"shares":580,"shareType":"SH"},{"issuer":"ANAVTOR INC","titleOfClass":"COM","cusip":"05352A100","value":198000,"shares":20000,"shareType":"SH","priorValue":113850,"priorShares":15000},{"issuer":"LITHIUM AMERS CORP NEW","titleOfClass":"COM SHS","cusip":"53681J103","value":125122,"shares":32085,"shareType":"SH"},{"issuer":"MYRIAD GENETICS INC","titleOfClass":"COM","cusip":"62855J104","value":113000,"shares":20000,"shareType":"SH"},{"issuer":"MOBILEYE GLOBAL INC","titleOfClass":"COMMON CLASS A","cusip":"60741F104","value":106370,"shares":11000,"shareType":"SH"},{"issuer":"CHARGEPOINT HOLDINGS INC","titleOfClass":"COM SHS","cusip":"15961R303","value":105508,"shares":17673,"shareType":"SH"},{"issuer":"JPMORGAN CHASE & CO","titleOfClass":"COM","cusip":"46625H100","value":64484,"shares":197,"shareType":"SH"},{"issuer":"LULULEMON ATHLETICA INC","titleOfClass":"COM","cusip":"550021109","value":58035,"shares":510,"shareType":"SH"},{"issuer":"BOSTON SCIENTIFIC CORP","titleOfClass":"COM","cusip":"101137107","value":51426,"shares":1200,"shareType":"SH"},{"issuer":"ARCHER AVIATION INC","titleOfClass":"COM CL A","cusip":"03945R102","value":47600,"shares":10000,"shareType":"SH","priorValue":49400,"priorShares":10000},{"issuer":"VANGUARD INDEX FDS","titleOfClass":"S&P 500 ETF SHS","cusip":"922908363","value":43269,"shares":63,"shareType":"SH"},{"issuer":"COSTCO WHOLESALE CORPORATION","titleOfClass":"COM","cusip":"22160K105","value":33677,"shares":36,"shareType":"SH"},{"issuer":"ATYR PHARMA INC","titleOfClass":"COM NEW","cusip":"002120202","value":29890,"shares":50000,"shareType":"SH"},{"issuer":"ELI LILLY & CO","titleOfClass":"COM","cusip":"532457108","value":26387,"shares":22,"shareType":"SH"},{"issuer":"ALIGHT INC","titleOfClass":"COM CL A","cusip":"01626W101","value":16802,"shares":30000,"shareType":"SH"}]},"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."}