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

ALPHA & OMEGA

ALPHA & OMEGA FINANCIAL MANAGEMENT CONSULTANTS, INC., CRD 105548

LA MESA, CA

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:271e62c2-9b6b-db8c-f35d-d2db97ada983

Data as of Jun 16, 2023 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 5
On other graphs: 0
Observed: Jan 31, 2012 to Jun 16, 2023
25 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: $29.5MItem 5.F on the latest filing (2023-06-16); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $29.5MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $9.8Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 10
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 246
Individual clients: 246
High net worth clients: 2
SEC number: 801-45517
CRD: 105548
Filings on the tape: 25
First filed: Jan 31, 2012
Latest filed: Jun 16, 2023
Organised: Corporation, California

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
ATHANASIOS K PREOVOLOS	n/a	LA MESA, CA	3	33	n/a	no
FIEL ARMANDO BARROW	n/a	LA MESA, CA	3	10	2	no
Wesley Alan Schevers	n/a	LA MESA, CA	0	11	1	no

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
PREOVOLOS, ATHANASIOS, K	Beneficiary	C	yes	10/1979	Jan 31, 2012	Jun 16, 2023
PREOVOLOS, LITSA, STELLA	CO-FOUNDER AND EXECUTIVE VICE PRESIDENT	Na	yes	06/1975	Oct 5, 2022	Jun 16, 2023
Preovolos, Nicholas, John	Beneficiary	C	yes	10/1979	Jun 16, 2023	Jun 16, 2023
PREOVOLOS, PETER, EMANUEL	Stockholder	C	yes	06/1979	Jan 31, 2012	Jun 16, 2023
PREOVOLOS, SPIRO, GEORGE	Beneficiary	C	yes	10/1979	Jan 31, 2012	Jun 16, 2023
PREOVOLOS FAMILY TRUST 1979	Stockholder	B	no	02/1978	Jan 31, 2012	Jun 16, 2023
PREOVOLOS, ATHANASIOS, K	CHIEF COMPLIANCE OFFICER & CLO	C	no	10/2004	Jan 31, 2012	Jun 16, 2023
PREOVOLOS, SPIRO, GEORGE	CHIEF OPERATING OFFICER	Na	no	01/2007	Jan 31, 2012	Jun 16, 2023

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
PETER PREVOLOS	n/a	n/a	n/a	Y	yes	n/a
SPIRO G. PREOVOLOS	n/a	n/a	n/a	Y	yes	n/a
THANASI K. PREOVOLOS	n/a	n/a	n/a	N	no	n/a

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
2022	Jan 31, 2023	$29.5M	$93,676	10	1	0	n/a	n/a
2021	Feb 3, 2022	$19.2M	$0	10	1	0	n/a	n/a
2020	Jan 29, 2021	$479M	$0	10	1	0	n/a	n/a
2019	Jan 30, 2020	$411M	$396M	10	5	0	n/a	n/a
2018	Jan 15, 2019	$507M	$495M	10	5	0	n/a	n/a
2017	Jan 4, 2018	$337M	$326M	8	5	0	n/a	n/a
2016	Jan 3, 2017	$361M	$206M	8	5	n/a	n/a	n/a
2015	Feb 2, 2016	$305M	$190M	8	5	n/a	n/a	n/a
2014	Jan 7, 2015	$265M	$171M	8	5	n/a	n/a	n/a
2013	Dec 26, 2013	$247M	$100M	8	5	n/a	n/a	n/a
2012	Jan 11, 2013	$243M	$117M	5	5	n/a	n/a	n/a
2011	Jan 31, 2012	$257M	$125M	n/a	n/a	n/a	n/a	n/a

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
1	0	1	0.0%	0	0	0	1	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
2022	$29.5M	$19.2M	53.1%	$411M	-58.5%	10	10	0	0

Relationships

Registered with (3)

← Wesley Alan ScheversAdvisorregistration: current employment
Jan 1, 2026 to presentfactForm ADV
← ATHANASIOS K PREOVOLOSAdvisorregistration: current employment
Jul 10, 2023 to presentfactForm ADV
← FIEL ARMANDO BARROWAdvisorregistration: current employment
Jul 10, 2023 to presentfactForm ADV

Controls (5)

← PREOVOLOS, SPIRO, GEORGEOwnerBENEFICIARY, ownership code C, individual
Jan 31, 2012 to presentfactForm ADV
← PREOVOLOS, PETER, EMANUELOwnerSTOCKHOLDER, ownership code C, individual
Jan 31, 2012 to presentfactForm ADV
← PREOVOLOS, ATHANASIOS, KOwnerBENEFICIARY, ownership code C, individual
Jan 31, 2012 to presentfactForm ADV
← PREOVOLOS, LITSA, STELLAOwnerCO-FOUNDER AND EXECUTIVE VICE PRESIDENT, ownership code NA, individual
Oct 5, 2022 to presentfactForm ADV
← Preovolos, Nicholas, JohnOwnerBENEFICIARY, ownership code C, individual
Jun 16, 2023 to presentfactForm ADV

Owns (3)

← PREOVOLOS, SPIRO, GEORGEOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Jan 31, 2012 to presentfactForm ADV
← PREOVOLOS, ATHANASIOS, KOwnerCHIEF COMPLIANCE OFFICER & CLO, ownership code C, individual
Jan 31, 2012 to presentfactForm ADV
← PREOVOLOS FAMILY TRUST 1979OwnerSTOCKHOLDER, ownership code B, domestic entity
Jan 31, 2012 to presentfactForm ADV

Dated events

Occurred
Jun 16, 2023
Control person joined
Stella Litsa Preovolos (Co-Founder And Executive Vice President) appeared on Schedule A of Alpha & Omega
Form ADVobserved 5 days ago
Occurred
Jun 16, 2023
Control person joined
John Nicholas Preovolos (Beneficiary) appeared on Schedule A of Alpha & Omega
Form ADVobserved 5 days ago
Occurred
Mar 31, 2023
Control person left
Stella Litsa Preovolos (Stockholder) no longer on Schedule A of Alpha & Omega (listed 2023-01-31, absent 2023-03-31)
Form ADVobserved 5 days ago
Occurred
Feb 3, 2022
Regulatory AUM changed
Alpha & Omega reported RAUM $19.2M, down 96% from $479.2M (2022-01-19 to 2022-02-03)
Form ADVobserved 5 days ago
$-460M
Occurred
Jan 15, 2019
Regulatory AUM changed
Alpha & Omega reported RAUM $507.4M, up 51% from $336.9M (2018-01-04 to 2019-01-15)
Form ADVobserved 5 days ago
$170M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:271e62c2-9b6b-db8c-f35d-d2db97ada983
First observed: Jan 31, 2012
Last observed: Jun 16, 2023 39 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 & OMEGA

ALPHA & OMEGA FINANCIAL MANAGEMENT CONSULTANTS, INC., CRD 105548

LA MESA, CA

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:271e62c2-9b6b-db8c-f35d-d2db97ada983

Data as of Jun 16, 2023 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:11 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

ATHANASIOS K PREOVOLOS

n/a

LA MESA, CA

n/a

FIEL ARMANDO BARROW

n/a

LA MESA, CA

Wesley Alan Schevers

n/a

LA MESA, CA

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

PREOVOLOS, ATHANASIOS, K

Beneficiary

yes

10/1979

Jan 31, 2012

Jun 16, 2023

PREOVOLOS, LITSA, STELLA

CO-FOUNDER AND EXECUTIVE VICE PRESIDENT

yes

06/1975

Oct 5, 2022

Jun 16, 2023

Preovolos, Nicholas, John

Beneficiary

yes

10/1979

Jun 16, 2023

PREOVOLOS, PETER, EMANUEL

Stockholder

yes

06/1979

Jan 31, 2012

Jun 16, 2023

PREOVOLOS, SPIRO, GEORGE

Beneficiary

yes

10/1979

Jan 31, 2012

Jun 16, 2023

PREOVOLOS FAMILY TRUST 1979

Stockholder

02/1978

Jan 31, 2012

Jun 16, 2023

PREOVOLOS, ATHANASIOS, K

CHIEF COMPLIANCE OFFICER & CLO

10/2004

Jan 31, 2012

Jun 16, 2023

PREOVOLOS, SPIRO, GEORGE

CHIEF OPERATING OFFICER

01/2007

Jan 31, 2012

Jun 16, 2023

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

PETER PREVOLOS

n/a

yes

n/a

SPIRO G. PREOVOLOS

n/a

yes

n/a

THANASI K. PREOVOLOS

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2022

Jan 31, 2023

$29.5M

$93,676

n/a

2021

Feb 3, 2022

$19.2M

n/a

2020

Jan 29, 2021

$479M

n/a

2019

Jan 30, 2020

$411M

$396M

n/a

2018

Jan 15, 2019

$507M

$495M

n/a

2017

Jan 4, 2018

$337M

$326M

n/a

2016

Jan 3, 2017

$361M

$206M

n/a

2015

Feb 2, 2016

$305M

$190M

n/a

2014

Jan 7, 2015

$265M

$171M

n/a

2013

Dec 26, 2013

$247M

$100M

n/a

2012

Jan 11, 2013

$243M

$117M

n/a

2011

Jan 31, 2012

$257M

$125M

n/a

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

2022

$29.5M

$19.2M

53.1%

$411M

-58.5%