DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Alpha Capital Research, LLC

Former SEC-registered adviserGlastonbury, ConnecticutCRD 113330SEC 801-58247IAPD
Latest filing Feb 26, 2020
First filing on the tape Mar 7, 2012 · 15 filings
RAUM
$58.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.9%
$520,185 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$58.2M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$7.2M gross assets
History
15 filings and snapshots on the tape
RAUM$121M as of Feb 15, 2019
Mar 7, 2012$766M then
HNW client RAUM$5.3M as of Feb 15, 2019
Jan 12, 2018$5.4M then
State-registered IARs (5.B.3)0 as of Feb 15, 2019
Mar 7, 20120 then
Employees (5.A)4 as of Feb 15, 2019
Feb 21, 20136 then
Private funds1 as of Feb 15, 2019
Mar 7, 20121 then
RAUM -80% over the last fiscal year-44% a year over threeIARs 0 to 0offices 2 to 1
Practice profile
derived from the filing of Feb 26, 2020; every figure names its basis
RAUM per advisor
$58.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$9.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-58%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
$7.1M, 1 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$41.2M71%
  • Pooled investment vehicles$16.5M28%
  • High-net-worth individuals$520,1850.9%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$7.1M for 1 clientsreported
Compensation
% of AUM, fixed, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Richard Thomas RegoGlastonbury, CtNov 20, 199729 y0
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    Araca Multi-Strategy Fund, LLCHedge Fund$7.2M5Mar 7, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • Frederick James Moonier · Member; Managercontrol
      since 10/2003 · owns 25% to 50%
    • Thomas Richard Rego · Member; Manager;Ccocontrol
      since 06/1997 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 9 to 6
      Dec 11, 2019 to Dec 13, 2019
    • Advisory employees · 3 to 2
      Dec 11, 2019 to Dec 13, 2019
    • Assets in custody · $32.1M to $7.1M
      Dec 11, 2019 to Dec 13, 2019
    • Employees · 3 to 2
      Dec 11, 2019 to Dec 13, 2019
    • Accounts · 16 to 9
      Feb 15, 2019 to Dec 11, 2019
    • Advisory employees · 4 to 3
      Feb 15, 2019 to Dec 11, 2019
    • HNW clients · 5.0 to unset
      Feb 15, 2019 to Dec 11, 2019
    • Pooled vehicle clients · 5 to 2
      Feb 15, 2019 to Dec 11, 2019
    • Employees · 4 to 3
      Feb 15, 2019 to Dec 11, 2019
    • Other offices · 2 to 1
      Feb 15, 2019 to Dec 11, 2019
    • Discretionary RAUM · $71.9M to $58.0M
      Feb 15, 2019 to Dec 11, 2019
    • HNW RAUM · $5.3M to $520,185
      Feb 15, 2019 to Dec 11, 2019
    • Non-discretionary RAUM · $49.2M to $200,393
      Feb 15, 2019 to Dec 11, 2019
    • Pooled vehicle RAUM · $26.7M to $16.5M
      Feb 15, 2019 to Dec 11, 2019
    • RAUM · $121M to $58.2M
      Feb 15, 2019 to Dec 11, 2019
    • Accounts · 9 to 16
      Jan 12, 2018 to Feb 15, 2019
    • Corporate clients · 1.0 to unset
      Jan 12, 2018 to Feb 15, 2019
    • HNW clients · 3 to 5
      Jan 12, 2018 to Feb 15, 2019
    • Assets in custody · $31.5M to $32.1M
      Jan 12, 2018 to Feb 15, 2019
    • Discretionary RAUM · $31.5M to $71.9M
      Jan 12, 2018 to Feb 15, 2019
    • HNW RAUM · $5.4M to $5.3M
      Jan 12, 2018 to Feb 15, 2019
    • Non-discretionary RAUM · $258M to $49.2M
      Jan 12, 2018 to Feb 15, 2019
    • Pooled vehicle RAUM · $26.1M to $26.7M
      Jan 12, 2018 to Feb 15, 2019
    • RAUM · $290M to $121M
      Jan 12, 2018 to Feb 15, 2019
    • Accounts · 4 to 9
      Jun 30, 2017 to Jan 12, 2018
    • Corporate clients · unset to 1.0
      Jun 30, 2017 to Jan 12, 2018
    • HNW clients · unset to 3.0
      Jun 30, 2017 to Jan 12, 2018
    • Pooled vehicle clients · unset to 5.0
      Jun 30, 2017 to Jan 12, 2018
    • Assets in custody · $20.0M to $31.5M
      Jun 30, 2017 to Jan 12, 2018
    • Other offices · unset to 2.0
      Jun 30, 2017 to Jan 12, 2018
    • Discretionary RAUM · $30.0M to $31.5M
      Jun 30, 2017 to Jan 12, 2018
    • HNW RAUM · unset to 5380256.0
      Jun 30, 2017 to Jan 12, 2018
    • Non-discretionary RAUM · $300M to $258M
      Jun 30, 2017 to Jan 12, 2018
    • Pooled vehicle RAUM · unset to 26123634.0
      Jun 30, 2017 to Jan 12, 2018
    • RAUM · $330M to $290M
      Jun 30, 2017 to Jan 12, 2018
    • Accounts · 2 to 4
      Mar 1, 2016 to Jan 30, 2017
    • Advisory activities · 4 to 3
      Mar 1, 2016 to Jan 30, 2017
    • Discretionary RAUM · $25.0M to $30.0M
      Mar 1, 2016 to Jan 30, 2017
    • RAUM · $325M to $330M
      Mar 1, 2016 to Jan 30, 2017
    • Advisory employees · 5 to 4
      Feb 11, 2015 to Mar 1, 2016
    Signals
    2 dated events
    • Nathaniel Scott Brody (Member; Manager) no longer on Schedule A of Alpha Capital Research, Llc (listed 2019-02-15, absent 2019-12-11)
      Dec 11, 2019 · Control person left · inference
    • Alpha Capital Research, Llc reported RAUM $121.1M, down 58% from $289.7M (2018-01-12 to 2019-02-15)
      Feb 15, 2019 · RAUM change · derived
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $58.2Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026