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 Titans LLC

Former SEC-registered adviserSanta Barbara, CaliforniaCRD 145740SEC 801-68680IAPD
Latest filing Oct 31, 2014
First filing on the tape Mar 30, 2012 · 11 filings
RAUM
$16.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
5
$16.3M gross assets
History
11 filings and snapshots on the tape
RAUM$48.6M as of Mar 31, 2014
Mar 30, 2012$70.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 31, 2014
Mar 30, 20120 then
Employees (5.A)4 as of Mar 31, 2014
Apr 2, 20134 then
Private funds5 as of Mar 31, 2014
Mar 30, 20125 then
RAUM -75% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Oct 31, 2014; every figure names its basis
RAUM per advisor
$16.3MderivedRAUM 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
$5.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-25%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$16.3M, 3 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$16.3M for 3 clientsreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
10 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
Alpha Titans Mf Spc, MultistrategyHedge Fund$10.3M2Mar 30, 2012
Alpha Titans Mf Spc, Access:TsHedge Fund$5.2M2Mar 30, 2012
Alpha Titans Mf Spc, Access: BtHedge Fund$422,0231Mar 31, 2014
Alpha Titans Mf Spc, Futuresno longer reportedHedge Fund$379,7305Mar 30, 2012
Alpha Titans Mf Spc, Access:Peno longer reportedHedge Fund$296,0002Mar 30, 2012
Alpha Titans Mf Spc, Access:Ano longer reportedHedge Fund$273,7381Mar 30, 2012
Alpha Titans Mf Spc, Access: S1.5no longer reportedHedge Fund$245,6421Apr 2, 2013
Alpha Titans Mf Spc, Access: QtaHedge Fund$216,0901Apr 2, 2013
Alpha Titans Mf Spc, Access: Q3Hedge Fund$188,2511Apr 2, 2013
Alpha Titans Mf Spc, Access: Tyno longer reportedHedge Fund$109,1441Apr 2, 2013
Owners and control persons
Schedule A and B, latest filing
  • Donald Kelly Kaeser · Chief Operations Officer, General Counselcontrol
    since 02/2010 · owns less than 5%
  • Patrick Timothy Mccormack · Managing Member, Chief Compliance Officer, Cio, Ceocontrol
    since 11/2008 · owns 75% or more
Related persons
Schedule D 7.A
Advisers that list Alpha Titans LLC as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Advisory employees · 0 to 1
    Mar 31, 2014 to Oct 31, 2014
  • Assets in custody · $70.1M to $16.3M
    Mar 31, 2014 to Oct 31, 2014
  • Discretionary RAUM · $48.6M to $16.3M
    Mar 31, 2014 to Oct 31, 2014
  • RAUM · $48.6M to $16.3M
    Mar 31, 2014 to Oct 31, 2014
  • Private funds · 7 to 5
    Apr 2, 2013 to Mar 31, 2014
  • Discretionary RAUM · $65.2M to $48.6M
    Apr 2, 2013 to Mar 31, 2014
  • RAUM · $65.2M to $48.6M
    Apr 2, 2013 to Mar 31, 2014
  • Advisory employees · unset to 0.0
    Jun 22, 2012 to Apr 2, 2013
  • Employees · unset to 4.0
    Jun 22, 2012 to Apr 2, 2013
  • State-registered IARs · 0 to 1
    Jun 22, 2012 to Apr 2, 2013
  • Private funds · 5 to 7
    Jun 22, 2012 to Apr 2, 2013
  • Discretionary RAUM · $70.1M to $65.2M
    Jun 22, 2012 to Apr 2, 2013
  • RAUM · $70.1M to $65.2M
    Jun 22, 2012 to Apr 2, 2013
  • Related bank · false to true
    Jun 22, 2012 to Apr 2, 2013
Signals
No event on the tape.
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
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026