{"url":"https://nivawealth.com/firms/alpha-wealth-management-and-planning-163917","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/163917","regulatoryAum":319574000,"crd":"163917","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"850616","suffix":null,"lastName":"ATKINS","firstName":"ROBERT","middleName":"JACKSON"},{"crd":"1233412","suffix":null,"lastName":"BACHARACH","firstName":"PENNY","middleName":"CHIN"},{"crd":"5030931","suffix":null,"lastName":"BOMAR","firstName":"WILLIAM","middleName":"CARL"},{"crd":"2812112","suffix":null,"lastName":"CARLEN","firstName":"JASIN","middleName":"SCOTT"},{"crd":"2777373","suffix":null,"lastName":"JIGALIN","firstName":"ANDREI","middleName":"NICOLAI"},{"crd":"1686779","suffix":null,"lastName":"Wheeler","firstName":"Keith","middleName":"A"}],"total":6,"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":"2021-03-24","regulatoryAum":233549127,"clients":734,"employees":8,"offices":4},{"filedOn":"2022-03-28","regulatoryAum":271295000,"clients":822,"employees":8,"offices":4},{"filedOn":"2023-04-17","regulatoryAum":244149000,"clients":744,"employees":8,"offices":4},{"filedOn":"2024-03-27","regulatoryAum":302523915,"clients":742,"employees":8,"offices":4},{"filedOn":"2025-07-17","regulatoryAum":355865030,"clients":842,"employees":8,"offices":4},{"filedOn":"2026-08-03","regulatoryAum":319574000,"clients":480,"employees":8,"offices":4}],"secFileNumber":"801-108554","legalName":"Alpha Wealth Management and Planning LLC","displayName":"Alpha Wealth Management and Planning","slug":"alpha-wealth-management-and-planning-163917","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"California limited liability company","fiscalYearEnd":"December","headquarters":{"street":"690 De Long Ave., Suite 300","city":"Novato","state":"CA","stateName":"California","country":"United States","postalCode":"94945"},"tradeNames":[],"registration":{"secApproved":"27 October 2016","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":635953.4883720931,"staff":{"employees":8,"advisory":5,"brokerDealerReps":6,"insuranceAgents":6,"promoters":0},"aum":{"regulatory":319574000,"discretionary":309519000,"discretionaryAccounts":1416,"nonDiscretionary":10055000,"nonDiscretionaryAccounts":1,"wrapProgram":346868143,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":232,"regulatoryAum":84105000},{"label":"High-net-worth individuals","clients":241,"regulatoryAum":216701000},{"label":"Pension and profit-sharing plans","clients":2,"fewerThan5":true,"regulatoryAum":12372000},{"label":"Charitable organizations","clients":1,"fewerThan5":true,"regulatoryAum":5947000},{"label":"Corporations and other businesses","clients":4,"fewerThan5":true,"regulatoryAum":449000}],"feePrograms":[{"role":"other","program":"Financial Planning Services","summary":"Hourly engagements range from $250 to $400 per hour; fixed fees range from $1,000 to $15,000, negotiable. Up to 50% of the expected fee may be invoiced upfront.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1052479","versionId":1052479,"submittedOn":"2026-07-21","documentName":"ADV PART 2A - FIRM BROCHURE"},{"role":"other","program":"SEI Managed Account Program","summary":"Advisor fee for the SEI managed account program is 1.5% or less, negotiated per client; account minimum is $50,000.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1052479","versionId":1052479,"submittedOn":"2026-07-21","documentName":"ADV PART 2A - FIRM BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T09:43:43.02301+00:00","documents":[{"name":"ADV PART 2A - FIRM BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1052479","versionId":1052479,"submittedOn":"2026-07-21"}]},"custodians":[{"name":"LPL Financial LLC","shortName":"LPL Financial","location":"Boston, MA","smaAssets":345736570}],"custodyNote":"Alpha Wealth Management and Planning does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Andrei Jigalin","title":"Managing Member & Chief Compliance Officer","crd":"2777373"}],"ownership":[{"label":"Andrei Jigalin","detail":"Managing member & chief compliance officer in the 75% or more ownership band and a control person, since June 2012."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":3,"privateResidences":2},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"California","offices":2,"addresses":[{"street":"690 De Long Ave., Suite 300","city":"Novato","headquarters":true},{"street":"100 E. Street","city":"Santa Rosa"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"415-506-4569","stateRegisteredReps":5,"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","Pension consulting services"],"financialPlanningClients":"51-100","assetMix":[{"label":"Exchange-traded equity securities","percent":15},{"label":"U.S. government/agency bonds","percent":2},{"label":"U.S. state and local bonds","percent":1},{"label":"Non-investment grade corporate bonds","percent":2},{"label":"Securities issued by registered investment companies or business development companies","percent":79},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":1},{"label":"Cash and cash equivalents","percent":3},{"label":"Other","percent":1,"detail":"Structured Products and Alternative Investments"}],"privateFunds":0},"sources":{"adv1FilingDate":"3 August 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/163917/PDF/163917.pdf","brochureDate":"21 July 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1052479","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 Wealth Management and Planning have?","answer":"Alpha Wealth Management and Planning has 480 clients and manages $320 million for them, as of August 2026. They include 241 high-net-worth individuals, 232 individual clients, and 4 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 3 August 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Alpha Wealth Management and Planning offer?","answer":"Alpha Wealth Management and Planning provides financial planning, portfolio management for individuals and small businesses, and pension consulting.","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 Management and Planning use?","answer":"Alpha Wealth Management and Planning’s separately managed account assets are held at LPL Financial LLC (Boston, MA), with $346M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 3 August 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Alpha Wealth Management and Planning have?","answer":"Alpha Wealth Management and Planning has 5 investment adviser representatives registered with state securities authorities, out of 8 employees, and 5 perform investment advisory functions. 6 employees are registered representatives of a broker-dealer and 6 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 Management and Planning invest in?","answer":"At the end of its last fiscal year, Alpha Wealth Management and Planning’s separately managed accounts held 79% registered funds (mutual funds, ETFs, BDCs), 15% exchange-traded equities, 3% cash and equivalents, 2% U.S. government and agency bonds, 2% high-yield corporate bonds, 1% state and local bonds, 1% pooled vehicles (private funds and similar) and 1% other. The 1% other category is described as: Structured Products and Alternative Investments.","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 Management and Planning?","answer":"Alpha Wealth Management and Planning’s direct owner is Andrei Jigalin (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 3 August 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Alpha Wealth Management and Planning get paid?","answer":"Alpha Wealth Management and Planning 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":"How do I contact Alpha Wealth Management and Planning?","answer":"Alpha Wealth Management and Planning’s main office is at 690 De Long Ave., Suite 300, Novato, CA 94945. Its phone number is 415-506-4569.","source":"Form ADV Part 1A, Item 1.F, filed 3 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."}