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 Funds Management
Legal name Alpha Capital Funds Management, LLC
Latest filing Feb 8, 2017
First filing on the tape Mar 29, 2012 · 7 filings
RAUM
$12.0M
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
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$12.0M as of Feb 8, 2017
Mar 29, 2012$13.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Feb 8, 2017
Mar 29, 20120 then
Employees (5.A)2 as of Feb 8, 2017
Mar 27, 20136 then
Private funds: no history
RAUM -71% over the last fiscal year-48% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 8, 2017; every figure names its basis
- RAUM per advisor
- $12.0MderivedRAUM 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
- $12.0MderivedRAUM 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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -71%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 5.G
- 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)
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
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
- Ryan Joseph Becker to Credit Suisse Securities (USA) LLCNov 19, 2015 · Other
- William Allen Webb to Rivernorth Capital Management, LLCMay 8, 2012 · Other
Joined, latest
- Ryan Joseph Becker from Alpha Capital Management, LLCOct 13, 2011 · Other
- William Allen Webb from Alpha Capital Management, LLCDec 9, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Huston Bradley Alford · Managing Member, Chief Investment Officer, Chief Compliance Officercontrolsince 11/2010 · owns 50% to 75%
- Huston Bradley Alford · Managing Membercontrolsince 07/2006 · owns 75% or more of Alpha Capital Management, LLC
Entity owners
- Alpha Capital Management, LLC · Shareholderdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- Alpha Capital Management, LLCinvestment advisernRAUM $348M
Advisers that list Alpha Capital Funds Management as a related person
- 141284 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2 to 1Mar 21, 2016 to Feb 8, 2017
- Discretionary RAUM · $42.1M to $12.0MMar 21, 2016 to Feb 8, 2017
- RAUM · $42.1M to $12.0MMar 21, 2016 to Feb 8, 2017
- Employees · 4 to 2Mar 2, 2015 to Mar 21, 2016
- Discretionary RAUM · $101M to $42.1MMar 2, 2015 to Mar 21, 2016
- RAUM · $101M to $42.1MMar 2, 2015 to Mar 21, 2016
- Employees · 6 to 4Mar 7, 2014 to Mar 2, 2015
- Insurance-licensed employees · 2 to 0Mar 7, 2014 to Mar 2, 2015
- State-registered IARs · 2 to 1Mar 7, 2014 to Mar 2, 2015
- Discretionary RAUM · $85.1M to $101MMar 7, 2014 to Mar 2, 2015
- RAUM · $85.1M to $101MMar 7, 2014 to Mar 2, 2015
- Insurance-licensed employees · 0 to 2Mar 27, 2013 to Mar 7, 2014
- Discretionary RAUM · $44.5M to $85.1MMar 27, 2013 to Mar 7, 2014
- RAUM · $44.5M to $85.1MMar 27, 2013 to Mar 7, 2014
- Advisory employees · unset to 2.0May 11, 2012 to Mar 27, 2013
- Employees · unset to 6.0May 11, 2012 to Mar 27, 2013
- State-registered IARs · 0 to 2May 11, 2012 to Mar 27, 2013
- Discretionary RAUM · $13.4M to $44.5MMay 11, 2012 to Mar 27, 2013
- RAUM · $13.4M to $44.5MMay 11, 2012 to Mar 27, 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