Alpha Mode Capital LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$30,130,311
This total excludes 6 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Total clients
1
0% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
1
Average account size
$30,130,311
About
Alpha Mode Capital LLC is a registered, independent investment adviser that manages discretionary portfolios for individual clients and a range of institutional-type accounts, including corporations, trusts, charitable organizations and pension or profit‑sharing plans. The firm delivers continuous investment supervisory services through separately managed accounts that primarily invest in closed‑end funds listed on U.S. exchanges.
The firm’s investment process centers on closed‑end fund strategies — including municipal bond income, high‑yield current income, and tactical growth-and-income allocations — and combines fundamental, cyclical, quantitative and qualitative analysis to select securities and set allocations. Accounts are established based on client objectives, time horizon, risk tolerance and tax considerations, and are reviewed regularly with portfolio adjustments made as warranted.
What is atypical for a single‑advisor independent firm is AMC’s documented acceptance of corporate/business clients, pension or profit‑sharing plan accounts and other institutional clients while focusing exclusively on separately managed closed‑end fund strategies. The firm’s principal also maintains an outside professional practice and an affiliated family‑office management role while operating the advisory business as a solo practitioner.
Client services
Portfolio management
Expertise
Active portfolio management
Fee options
$0 - $1,000,000: 1.25% $1,000,000 - $3,000,000: 1.00% $3,000,000 - $5,000,000: 0.85% $5,000,000+: 0.75%
Account minimum: $250,000 Fee-only: Annual fees generally range from 0.75% to 1.25% of assets under management, payable monthly or quarterly, negotiable based on account size and complexity
Main office location
Alpha Mode Capital LLC
Naples FL, United States
Number of offices
1
Most active in
Alpha Mode Capital LLC has reported serving >5 clients in these states in the last 12 months.
Florida
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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