A
Alpha Omega Financial
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$185,834,849
This total excludes 1 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
86
53% high-net worth
Advisors
1
of 2 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
86
Very HighAverage account size
$2,160,870
About
Alpha Omega Financial provides financial planning and portfolio management to individuals (including high‑net‑worth and non‑HNW clients), as well as to trusts, estates, charitable organizations, and corporations. The firm reports discretionary management of approximately $186.97 million across about 86 clients and offers both discretionary and non‑discretionary advisory arrangements.
The firm builds tailored portfolios using a mix of fundamental, technical, and charting analysis and implements broad asset allocations across U.S., foreign, and emerging market equities, multiple fixed‑income sectors, and commodities exposure via ETFs and mutual funds. Risk management emphasizes setting portfolio allocation on the client’s risk tolerance, position‑size controls and, where appropriate, structured disposition plans and the use of options and other derivatives — including hedging in separately managed accounts — to manage large positions and pursue tax‑efficient outcomes.
Alpha Omega Financial requires execution through Charles Schwab for its model portfolios and uses Schwab’s institutional platform and supporting services for custody, trading, and reporting, which shapes its operational workflow. The firm also uses standing authorizations for client transfers, may employ margin occasionally, and does not vote client proxies, operational features prospective clients should consider alongside its investment practices.
Client services
Financial planning
Portfolio management
Expertise
Retirement income strategy
Income planning
Options & derivatives strategies
Tax-loss harvesting
College savings (529s, UTMA, etc.)
Fee options
Fixed fee for Financial Planning services, negotiable, estimated at start of engagement, fees due upon completion, no prepayment over $1,200 and six months in advance
$0 - $249,999: 1.40% annually for Directly Managed accounts $250,000 - $499,999: 1.20% annually for Directly Managed accounts $500,000 - $999,999: 1.10% annually for Directly Managed accounts $1,000,000 - $3,499,999: 1.00% annually for Directly Managed accounts $3,500,000 - $4,999,999: 0.90% annually for Directly Managed accounts $5,000,000+: Negotiable for Directly Managed accounts
Account minimum: $500,000 Fee-only: Fixed fee for Financial Planning services (negotiable depending on complexity and scope)
Main office location
Alpha Omega Financial
Bradenton FL, United States
Number of offices
3
Most active in
Alpha Omega Financial has reported serving >5 clients in these states in the last 12 months.
Delaware · Florida · Maryland · New York · North Carolina · Pennsylvania · Texas · Virginia
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.
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