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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

ALPHA QUANT ADVISORS, LLC

CRD 285855

IRVING, TX

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:d17a2e6e-b024-2624-bfea-03a9cac264d0

Data as of Mar 26, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 26
Dated events: 2
On other graphs: 0
Observed: Nov 9, 2016 to Mar 26, 2020
10 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: $100MItem 5.F on the latest filing (2020-03-26); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $100M
Private client RAUM: $34.7MderivedItem 5.D individuals plus high net worth individuals
Private client share: 35%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 10
Advisory employees: 2
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 138
High net worth clients: 21
SEC number: 801-108673
CRD: 285855
Filings on the tape: 10
First filed: Nov 9, 2016
Latest filed: Mar 26, 2020
Organised: Limited Liability Company, Delaware

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
KELSO GP VIII, L.P.	GENERAL PARTNER	F	yes	04/2015	Nov 9, 2016	Mar 26, 2020
KELSO GP VIII, LLC	GENERAL PARTNER	F	yes	04/2015	Nov 9, 2016	Mar 26, 2020
KELSO INVESTMENT ASSOCIATES VIII, L.P	Shareholder	D	yes	04/2015	Nov 9, 2016	Mar 26, 2020
NEEDLES, GENE, LOUIS	CHIEF EXECUTIVE OFFICER, DIRECTOR	Na	yes	10/2016	Nov 9, 2016	Mar 26, 2020
RESOLUTE ACQUISITION, INC.	Shareholder	E	yes	04/2015	Mar 30, 2017	Mar 26, 2020
RESOLUTE INVESTMENT HOLDINGS, LLC	Shareholder	E	yes	04/2015	Mar 30, 2017	Mar 26, 2020
RESOLUTE INVESTMENT MANAGERS, INC.	Member	D	yes	10/2016	Mar 30, 2017	Mar 26, 2020
RESOLUTE TOPCO, INC	Shareholder	E	yes	04/2015	Mar 30, 2017	Mar 26, 2020
RINGDAHL, JEFFREY, K	CHIEF OPERATING OFFICER, DIRECTOR	Na	yes	10/2016	Nov 9, 2016	Mar 26, 2020
SANTICCHIA, MASSIMO	CHIEF INVESTMENT OFFICER, DIRECTOR	B	yes	10/2016	Nov 9, 2016	Mar 26, 2020
BEHAN, ROSEMARY, KAVANAUGH	GENERAL COUNSEL	Na	no	10/2016	Nov 9, 2016	Mar 26, 2020
CASTRO, REGINA, MORALES	CHIEF COMPLIANCE OFFICER	Na	no	02/2019	Mar 28, 2019	Mar 26, 2020
GALLAGHER, KATHERINE, MICHELLE	Member	B	no	10/2016	Nov 9, 2016	Mar 26, 2020
HEIKA, MELINDA, GAY	CHIEF FINANCIAL OFFICER	Na	no	10/2016	Nov 9, 2016	Mar 26, 2020
SEARS, CHRISTINA, ELAINE	VICE PRESIDENT	Na	no	10/2016	Nov 9, 2016	Mar 26, 2020

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
AMERICAN BEACON ADVISORS, INC.	n/a	Other adviser	$60B	N	yes	n/a
NATIONAL INVESTMENT SERVICES OF AMERICA, LLC	n/a	Institutional manager	$16B	N	yes	n/a
GREEN HARVEST ASSET MANAGEMENT LLC	n/a	Independent wealth	$6.9B	N	yes	n/a
SSI INVESTMENT MANAGEMENT LLC	n/a	Mixed wealth	$2.6B	N	yes	n/a
RSW INVESTMENTS HOLDINGS, LLC	n/a	Independent wealth	$2.3B	N	yes	n/a
SHAPIRO CAPITAL MANAGEMENT LLC	n/a	Mixed wealth	$2.0B	N	yes	n/a
CONTINUOUS CAPITAL, LLC	n/a	Former SEC adviser	$48.3M	N	yes	n/a
AMERICAN PRIVATE EQUITY MANAGEMENT, L.L.C.	n/a	n/a	n/a	N	yes	n/a
RESOLUTE INVESTMENT DISTRIBUTORS, INC.	n/a	n/a	n/a	N	yes	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
WEST PALM BEACH	FL	United States	2	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
2019	Mar 26, 2020	$100M	$100M	10	2	1	n/a	n/a
2018	Mar 28, 2019	$96.6M	$96.6M	10	2	1	n/a	n/a
2017	Mar 30, 2018	$97.6M	$97.6M	10	2	1	n/a	n/a
2016	Mar 30, 2017	$99.9M	$79.5M	10	2	n/a	n/a	n/a

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
2019	$100M	$96.6M	3.6%	$99.9M	0.1%	10	10	1	1

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CYPRESS CAPITAL GROUP	2	Jun 19, 2020	Jul 7, 2020	IRVING, TX	Team lift out	RIA to RIA	100.0%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CREST INVESTMENT PARTNERS LLC	2	Dec 31, 2016	Dec 12, 2016	IRVING, TX	Team lift out	Other	100.0%

Relationships

Affiliated with (7)

→ SSI INVESTMENT MANAGEMENT LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ AMERICAN BEACON ADVISORS, INC.Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ SHAPIRO CAPITAL MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV
→ PGIM CUSTOM HARVEST LLCRegistered adviserother investment adviser, common control
factForm ADV
→ CONTINUOUS CAPITAL, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ RSW INVESTMENTSRegistered adviserother investment adviser, common control
factForm ADV
→ NATIONAL INVESTMENT SERVICES OF AMERICA, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV

Controls (9)

← NEEDLES, GENE, LOUISOwnerCHIEF EXECUTIVE OFFICER, DIRECTOR, ownership code NA, individual
Nov 9, 2016 to presentfactForm ADV
← SANTICCHIA, MASSIMOOwnerCHIEF INVESTMENT OFFICER, DIRECTOR, ownership code B, individual
Nov 9, 2016 to presentfactForm ADV
← RINGDAHL, JEFFREY, KOwnerCHIEF OPERATING OFFICER, DIRECTOR, ownership code NA, individual
Nov 9, 2016 to presentfactForm ADV
← KELSO GP VIII, L.P.OwnerGENERAL PARTNER, ownership code F, domestic entity
Nov 9, 2016 to presentfactForm ADV
← KELSO INVESTMENT ASSOCIATES VIII, L.POwnerSHAREHOLDER, ownership code D, domestic entity
Nov 9, 2016 to presentfactForm ADV
← RESOLUTE ACQUISITION, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 30, 2017 to presentfactForm ADV
← RESOLUTE INVESTMENT HOLDINGS, LLCOwnerSHAREHOLDER, ownership code E, domestic entity
Mar 30, 2017 to presentfactForm ADV
← RESOLUTE INVESTMENT MANAGERS, INC.OwnerMEMBER, ownership code D, domestic entity
Mar 30, 2017 to presentfactForm ADV
← RESOLUTE TOPCO, INCOwnerSHAREHOLDER, ownership code E, domestic entity
Mar 30, 2017 to presentfactForm ADV

Owns (5)

← CASTRO, REGINA, MORALESOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 28, 2019 to presentfactForm ADV
← SEARS, CHRISTINA, ELAINEOwnerVICE PRESIDENT, ownership code NA, individual
Nov 9, 2016 to presentfactForm ADV
← BEHAN, ROSEMARY, KAVANAUGHOwnerGENERAL COUNSEL, ownership code NA, individual
Nov 9, 2016 to presentfactForm ADV
← HEIKA, MELINDA, GAYOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Nov 9, 2016 to presentfactForm ADV
← GALLAGHER, KATHERINE, MICHELLEOwnerMEMBER, ownership code B, individual
Nov 9, 2016 to presentfactForm ADV

Moved with (2)

→ CYPRESS CAPITAL GROUPRegistered adviser2 advisors, team lift out, same day
Jun 19, 2020 to Jul 7, 2020factForm ADV
← CREST INVESTMENT PARTNERS LLCRegistered adviser2 advisors, team lift out, same day
Dec 31, 2016 to Dec 12, 2016factForm ADV

Registered with (2)

← MASSIMO SANTICCHIAAdvisorregistration: previous registration
Dec 12, 2016 to Jun 19, 2020factForm ADV
← KATHERINE MICHELLE GALLAGHERAdvisorregistration: previous registration
Dec 12, 2016 to Jun 19, 2020factForm ADV

Dated events

Occurred
Nov 9, 2016
Succession filed (Item 4)
Alpha Quant Advisors, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 4 days ago
Occurred
Nov 9, 2016
First Form ADV filing
Alpha Quant Advisors, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d17a2e6e-b024-2624-bfea-03a9cac264d0
First observed: Nov 9, 2016
Last observed: Mar 26, 2020 78 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 QUANT ADVISORS, LLC

CRD 285855

IRVING, TX

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:d17a2e6e-b024-2624-bfea-03a9cac264d0

Data as of Mar 26, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:08 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

KELSO GP VIII, L.P.

GENERAL PARTNER

yes

04/2015

Nov 9, 2016

Mar 26, 2020

KELSO GP VIII, LLC

GENERAL PARTNER

yes

04/2015

Nov 9, 2016

Mar 26, 2020

KELSO INVESTMENT ASSOCIATES VIII, L.P

Shareholder

yes

04/2015

Nov 9, 2016

Mar 26, 2020

NEEDLES, GENE, LOUIS

CHIEF EXECUTIVE OFFICER, DIRECTOR

yes

10/2016

Nov 9, 2016

Mar 26, 2020

RESOLUTE ACQUISITION, INC.

Shareholder

yes

04/2015

Mar 30, 2017

Mar 26, 2020

RESOLUTE INVESTMENT HOLDINGS, LLC

Shareholder

yes

04/2015

Mar 30, 2017

Mar 26, 2020

RESOLUTE INVESTMENT MANAGERS, INC.

Member

yes

10/2016

Mar 30, 2017

Mar 26, 2020

RESOLUTE TOPCO, INC

Shareholder

yes

04/2015

Mar 30, 2017

Mar 26, 2020

RINGDAHL, JEFFREY, K

CHIEF OPERATING OFFICER, DIRECTOR

yes

10/2016

Nov 9, 2016

Mar 26, 2020

SANTICCHIA, MASSIMO

CHIEF INVESTMENT OFFICER, DIRECTOR

yes

10/2016

Nov 9, 2016

Mar 26, 2020

BEHAN, ROSEMARY, KAVANAUGH

GENERAL COUNSEL

10/2016

Nov 9, 2016

Mar 26, 2020

CASTRO, REGINA, MORALES

CHIEF COMPLIANCE OFFICER

02/2019

Mar 28, 2019

Mar 26, 2020

GALLAGHER, KATHERINE, MICHELLE

Member

10/2016

Nov 9, 2016

Mar 26, 2020

HEIKA, MELINDA, GAY

CHIEF FINANCIAL OFFICER

10/2016

Nov 9, 2016

Mar 26, 2020

SEARS, CHRISTINA, ELAINE

VICE PRESIDENT

10/2016

Nov 9, 2016

Mar 26, 2020

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

AMERICAN BEACON ADVISORS, INC.

n/a

Other adviser

$60B

yes

n/a

NATIONAL INVESTMENT SERVICES OF AMERICA, LLC

n/a

Institutional manager

$16B

yes

n/a

GREEN HARVEST ASSET MANAGEMENT LLC

n/a

Independent wealth

$6.9B

yes

n/a

SSI INVESTMENT MANAGEMENT LLC

n/a

Mixed wealth

$2.6B

yes

n/a

RSW INVESTMENTS HOLDINGS, LLC

n/a

Independent wealth

$2.3B

yes

n/a

SHAPIRO CAPITAL MANAGEMENT LLC

n/a

Mixed wealth

$2.0B

yes

n/a

CONTINUOUS CAPITAL, LLC

n/a

Former SEC adviser

$48.3M

yes

n/a

AMERICAN PRIVATE EQUITY MANAGEMENT, L.L.C.

n/a

yes

n/a

RESOLUTE INVESTMENT DISTRIBUTORS, INC.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

WEST PALM BEACH

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Mar 26, 2020

$100M

n/a

2018

Mar 28, 2019

$96.6M

n/a

2017

Mar 30, 2018

$97.6M

n/a

2016

Mar 30, 2017

$99.9M

$79.5M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$100M

$96.6M

3.6%

$99.9M

0.1%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CYPRESS CAPITAL GROUP

Jun 19, 2020

Jul 7, 2020

IRVING, TX

Team lift out

RIA to RIA

100.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CREST INVESTMENT PARTNERS LLC

Dec 31, 2016

Dec 12, 2016

IRVING, TX

Team lift out

Other

100.0%