DFX Intelligence

RIA Intelligence

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SEC-registered adviser

A••••

Independent wealth managerNew York, New YorkCRD 313285SEC 801-121176website IAPD

Legal name A•••• R•• L••

Latest filing Jul 20, 2026

First filing on the tape Apr 9, 2021 · 10 filings

SEC status approved since May 10, 2021

RAUM

$54.1M

reported, Item 5.F

Discretionary

0.0%

of RAUM

Private clients

100%

$54.1M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$54.1M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

10 filings and snapshots on the tape

RAUM$54.1M as of Jul 20, 2026

Apr 5, 2022$43.3M then

HNW client RAUM$54.1M as of Jul 20, 2026

Apr 5, 2022$43.3M then

State-registered IARs (5.B.3)0 as of Jul 20, 2026

Apr 5, 20220 then

Employees (5.A)2 as of Jul 20, 2026

Apr 5, 20221 then

Private funds: no history

RAUM -23% over the last fiscal year+7.7% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Jul 20, 2026; every figure names its basis

Archetypes, each a printed rule

Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $54.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.8MderivedHNW RAUM over HNW clients
Average account: $2.8MderivedRAUM over accounts (5.F.2.f)
Discretionary: 0.0%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: -22%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 assetsreportedItem 5.E
Advisory activities: portfolio management for individualsreportedItem 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)
receives research or other products from a broker-dealer, soft dollars (8.E)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$54.1M100%

Individual clients: n/areported
HNW clients: 19reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 19reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

1 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
M••••••••• M•••••• A•••••••	New York, Ny	Oct 4, 2021	34 y	1

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

none on the tape

Joined, latest

M••••••••• M•••••• A••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Oct 4, 2021 · Wirehouse to independent RIA

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

A•••••••• M••••••••• M•••••• · Managing Partner, Ccocontrol
since 02/2021 · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

2 against comparable advisers; where to look, not conclusions

low discretionary shareStatic outlier · filing Jul 20, 2026
discretionary share of RAUM of 0% against a peer median of 100% (311 comparable advisers, 0.0th percentile, 33.7 robust deviations)
peers: independent wealth managers, under $100M (311) · 0.0% percentile
discretionary share shiftChange between filings · filing Mar 31, 2025
discretionary share of RAUM moved from 0.0% to 100.0% between the annual amendments of 2024-04-02 and 2025-03-31
peers: independent wealth managers, under $100M (707)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 20 to 19
Mar 31, 2025 to Jul 20, 2026
HNW clients · 20 to 19
Mar 31, 2025 to Jul 20, 2026
Discretionary RAUM · $54.5M to $0
Mar 31, 2025 to Jul 20, 2026
HNW RAUM · $54.5M to $54.1M
Mar 31, 2025 to Jul 20, 2026
Non-discretionary RAUM · $0 to $54.1M
Mar 31, 2025 to Jul 20, 2026
RAUM · $54.5M to $54.1M
Mar 31, 2025 to Jul 20, 2026
Accounts · 21 to 20
Apr 2, 2024 to Mar 31, 2025
HNW clients · 21 to 20
Apr 2, 2024 to Mar 31, 2025
Financial planning clients · unset to
Apr 2, 2024 to Mar 31, 2025
Discretionary RAUM · $0 to $54.5M
Apr 2, 2024 to Mar 31, 2025
HNW RAUM · $70.0M to $54.5M
Apr 2, 2024 to Mar 31, 2025
Non-discretionary RAUM · $70.0M to $0
Apr 2, 2024 to Mar 31, 2025
RAUM · $70.0M to $54.5M
Apr 2, 2024 to Mar 31, 2025
Accounts · 20 to 21
Apr 3, 2023 to Apr 2, 2024
HNW clients · 20 to 21
Apr 3, 2023 to Apr 2, 2024
HNW RAUM · $55.5M to $70.0M
Apr 3, 2023 to Apr 2, 2024
Non-discretionary RAUM · $55.5M to $70.0M
Apr 3, 2023 to Apr 2, 2024
RAUM · $55.5M to $70.0M
Apr 3, 2023 to Apr 2, 2024
Accounts · 16 to 20
Apr 5, 2022 to Apr 3, 2023
HNW clients · 16 to 20
Apr 5, 2022 to Apr 3, 2023
Employees · 1 to 2
Apr 5, 2022 to Apr 3, 2023
HNW RAUM · $43.3M to $55.5M
Apr 5, 2022 to Apr 3, 2023
Non-discretionary RAUM · $43.3M to $55.5M
Apr 5, 2022 to Apr 3, 2023
RAUM · $43.3M to $55.5M
Apr 5, 2022 to Apr 3, 2023
Accounts · 15 to 16
Dec 1, 2021 to Apr 5, 2022
HNW clients · 15 to 16
Dec 1, 2021 to Apr 5, 2022
HNW RAUM · $31.1M to $43.3M
Dec 1, 2021 to Apr 5, 2022
Non-discretionary RAUM · $31.1M to $43.3M
Dec 1, 2021 to Apr 5, 2022
RAUM · $31.1M to $43.3M
Dec 1, 2021 to Apr 5, 2022
HNW RAUM · $30.5M to $31.1M
May 11, 2021 to Dec 1, 2021
Non-discretionary RAUM · $30.5M to $31.1M
May 11, 2021 to Dec 1, 2021
RAUM · $30.5M to $31.1M
May 11, 2021 to Dec 1, 2021

Signals

1 dated events

Alpha filed its initial SEC registration (Form ADV)
Apr 9, 2021 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

How to reach

public business contact points only, each with its source

Business email: h••••@a••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: 212-933-9301reportedpublished by the firm, firm site, Sep 16, 2026
Firm profile: linkedin.com/company/alphainvestmentsolutionsreportedpublic record, Form ADV, Sep 21, 2026
Website: w••.a••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 2129339301reportedpublic record, Form ADV, Jul 20, 2026
Contact form: alphainvestmentsolutions.com/contactreportedpublished by the firm, firm site, Sep 16, 2026

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: Independent wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor: $54.1Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026