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 Management LLC

Former SEC-registered adviserMiami, FloridaCRD 160928SEC 801-74260IAPD
Latest filing Mar 30, 2016
First filing on the tape Feb 15, 2012 · 8 filings
RAUM
$236M
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
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
10
$215M gross assets
History
8 filings and snapshots on the tape
RAUM$236M as of Mar 30, 2016
Feb 4, 2013$252M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 30, 2016
Feb 4, 20132 then
Employees (5.A)2 as of Mar 30, 2016
Feb 4, 20133 then
Private funds10 as of Mar 30, 2016
Feb 4, 201311 then
RAUM -3.2% over the last fiscal year-2.2% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2016; every figure names its basis
RAUM per advisor
$236MderivedRAUM 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
$14.8MderivedRAUM 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
-3.2%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
$236M, 16 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
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.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
16reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$236M for 16 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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      11 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Private Equity Venture Partners V, LLCPrivate Equity Fund$76.2M29Feb 15, 2012
      Pevp V Institutional Holdings LtdPrivate Equity Fund$45.4M1Feb 15, 2012
      Private Equity Venture Partners IV, LLCPrivate Equity Fund$33.9M17Feb 15, 2012
      Private Equity Select Fund II, L.P.Private Equity Fund$13.9M3Feb 15, 2012
      Private Equity Select Fund, Ltd.Private Equity Fund$11.9M11Feb 15, 2012
      Private Equity Select Fund, L.P.Private Equity Fund$10.4M4Feb 15, 2012
      Private Equity Venture Partners III, LLCPrivate Equity Fund$5.7M14Feb 15, 2012
      Private Equity Venture Partners II, LLCPrivate Equity Fund$2.1M11Feb 15, 2012
      Private Securities Venture Partners I, Ltd.Private Equity Fund$97,9166Feb 15, 2012
      Private Securities Venture Partners I, LLCPrivate Equity Fund$37,2278Feb 15, 2012
      Private Equity Venture Partners Vi, LLCPrivate Equity Fund$00Jan 17, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • Josefina Beatriz Blanco · Chief Compliance Officercontrol
        since 06/2013 · owns less than 5%
      • Raul Henriquez · President & Ceocontrol
        since 12/2005 · owns less than 5%
      Entity owners
      • Alpha Capital Investments LLC · Member
        direct · owns 75% or more
      • Alpha Capital Holdings LLC · Member
        indirect · owns 75% or more of Alpha Capital Investments LLC
      • R-Henriquez Holdings Lc · Shareholder
        indirect · owns 50% to 75% of Alpha Capital Holdings LLC
      • Raul Henriquez Rev Trust (Rh Trustee) · Member
        indirect · owns 75% or more of R-Henriquez Holdings Lc
      • V-Henriquez Holdings Lc · Shareholder
        indirect · owns 50% to 75% of Alpha Capital Holdings LLC
      • Victor Henriquez Rev Trust (Vh Trustee) · Member
        indirect · owns 75% or more of V-Henrquez Holdings Lc
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $244M to $236M
        Mar 31, 2015 to Mar 30, 2016
      • Private funds · 11 to 10
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $244M to $236M
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $244M to $236M
        Mar 31, 2015 to Mar 30, 2016
      • Advisory employees · 2 to 1
        Mar 31, 2014 to Mar 31, 2015
      • BD registered reps · 2 to 1
        Mar 31, 2014 to Mar 31, 2015
      • Assets in custody · $252M to $244M
        Mar 31, 2014 to Mar 31, 2015
      • Employees · 3 to 2
        Mar 31, 2014 to Mar 31, 2015
      • State-registered IARs · 2 to 1
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $252M to $244M
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · $252M to $244M
        Mar 31, 2014 to Mar 31, 2015
      • Accounts · 14 to 16
        Mar 5, 2012 to Jan 17, 2013
      • Advisory employees · unset to 2.0
        Mar 5, 2012 to Jan 17, 2013
      • BD registered reps · unset to 2.0
        Mar 5, 2012 to Jan 17, 2013
      • Assets in custody · unset to 252393439.0
        Mar 5, 2012 to Jan 17, 2013
      • Custody of client assets · false to true
        Mar 5, 2012 to Jan 17, 2013
      • Employees · unset to 3.0
        Mar 5, 2012 to Jan 17, 2013
      • State-registered IARs · unset to 2.0
        Mar 5, 2012 to Jan 17, 2013
      • Private funds · 10 to 11
        Mar 5, 2012 to Jan 17, 2013
      • Discretionary RAUM · $229M to $252M
        Mar 5, 2012 to Jan 17, 2013
      • RAUM · $229M to $252M
        Mar 5, 2012 to Jan 17, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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