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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

ALPHA CAPITAL RESEARCH, LLC

CRD 113330

GLASTONBURY, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1066bc27-0ba4-7291-cef3-dc23d8e0d587

Data as of Feb 26, 2020 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Mar 7, 2012 to Feb 26, 2020
15 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $58.2MItem 5.F on the latest filing (2020-02-26); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $58.0M
Private client RAUM: $520,185derivedItem 5.D individuals plus high net worth individuals
Private client share: 1%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $58.2Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 2
Advisory employees: 2
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 6
Private funds: 1Schedule D 7.B(1)
Private fund GAV: $7.2Mgross asset value as reported per fund; never fund size
Custody, client assets: $7.1M
SEC number: 801-58247
CRD: 113330
Filings on the tape: 15
First filed: Mar 7, 2012
Latest filed: Feb 26, 2020
Organised: Limited Liability Company, Connecticut

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
RICHARD THOMAS REGO	n/a	GLASTONBURY, CT	28	29	n/a	no

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
ARACA MULTI-STRATEGY FUND, LLC	Hedge Fund	$7.2M	Feb 26, 2020	5	Mar 7, 2012	reported	n/a

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
MOONIER, JAMES, FREDERICK	MEMBER; MANAGER	C	yes	10/2003	Mar 7, 2012	Feb 26, 2020
REGO, RICHARD, THOMAS	MEMBER; MANAGER;CCO	D	yes	06/1997	Mar 7, 2012	Feb 26, 2020

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Feb 15, 2019	$121M	$71.9M	4	4	2	1	$13.1M
2017	Jan 12, 2018	$290M	$31.5M	4	4	2	1	$18.3M
2016	Jan 30, 2017	$330M	$30.0M	4	4	n/a	1	$25.0M
2015	Mar 1, 2016	$325M	$25.0M	4	4	n/a	1	$25.0M
2014	Feb 11, 2015	$320M	$20.0M	5	5	n/a	1	$20.0M
2013	Mar 6, 2014	$220M	$20.0M	5	5	n/a	1	$20.0M
2012	Feb 21, 2013	$540M	$20.0M	6	6	n/a	1	$20.0M
2011	Mar 7, 2012	$766M	$20.0M	n/a	n/a	n/a	1	$20.0M

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$58.2M	$290M	-79.9%	$325M	-43.6%	2	4	1	2

Relationships

Advises (1)

→ ARACA MULTI-STRATEGY FUND, LLCPrivate fundHedge Fund, IA
Mar 7, 2012 to presentfactForm ADV

Controls (2)

← MOONIER, JAMES, FREDERICKOwnerMEMBER; MANAGER, ownership code C, individual
Mar 7, 2012 to presentfactForm ADV
← REGO, RICHARD, THOMASOwnerMEMBER; MANAGER;CCO, ownership code D, individual
Mar 7, 2012 to presentfactForm ADV

Registered with (2)

← RICHARD THOMAS REGOAdvisorregistration: current employment
Nov 20, 1997 to presentfactForm ADV
← SCOTT NATHANIEL BRODYAdvisorregistration: previous registration
Jan 1, 2001 to Dec 5, 2019factForm ADV

Dated events

Occurred
Dec 11, 2019
Control person left
Nathaniel Scott Brody (Member; Manager) no longer on Schedule A of Alpha Capital Research, Llc (listed 2019-02-15, absent 2019-12-11)
Form ADVobserved 6 days ago
Occurred
Feb 15, 2019
Regulatory AUM changed
Alpha Capital Research, Llc reported RAUM $121.1M, down 58% from $289.7M (2018-01-12 to 2019-02-15)
Form ADVobserved 6 days ago
$-169M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1066bc27-0ba4-7291-cef3-dc23d8e0d587
First observed: Mar 7, 2012
Last observed: Feb 26, 2020 79 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

ALPHA CAPITAL RESEARCH, LLC

CRD 113330

GLASTONBURY, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1066bc27-0ba4-7291-cef3-dc23d8e0d587

Data as of Feb 26, 2020 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:08 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

RICHARD THOMAS REGO

n/a

GLASTONBURY, CT

n/a

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

ARACA MULTI-STRATEGY FUND, LLC

Hedge Fund

$7.2M

Feb 26, 2020

Mar 7, 2012

reported

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

MOONIER, JAMES, FREDERICK

MEMBER; MANAGER

yes

10/2003

Mar 7, 2012

Feb 26, 2020

REGO, RICHARD, THOMAS

MEMBER; MANAGER;CCO

yes

06/1997

Mar 7, 2012

Feb 26, 2020

City

State

Country

Employees

Also broker-dealer

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Feb 15, 2019

$121M

$71.9M

$13.1M

2017

Jan 12, 2018

$290M

$31.5M

$18.3M

2016

Jan 30, 2017

$330M

$30.0M

n/a

$25.0M

2015

Mar 1, 2016

$325M

$25.0M

n/a

$25.0M

2014

Feb 11, 2015

$320M

$20.0M

n/a

$20.0M

2013

Mar 6, 2014

$220M

$20.0M

n/a

$20.0M

2012

Feb 21, 2013

$540M

$20.0M

n/a

$20.0M

2011

Mar 7, 2012

$766M

$20.0M

n/a

$20.0M

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$58.2M

$290M

-79.9%

$325M

-43.6%