Alpha Rock Investments, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$22,640,000
Clients
71
15% high-net worth
Advisors
1
of 1 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
71
Very HighAverage account size
$318,873
About
Alpha Rock Investments, LLC is an independent, single-advisor registered investment adviser that provides individualized asset management and comprehensive portfolio management to individuals, trusts, pension and business clients. Portfolios are constructed from public securities (stocks, bonds, mutual funds and ETFs), options and, where appropriate, private and alternative investments.
The firm combines a broad set of research methods — fundamental, quantitative, qualitative, technical/charting, cyclical and sector analysis — and deploys strategies ranging from long-term buys to tactical and short-term trades. It may use margin, options and short-sale strategies in client accounts and may allocate to private credit funds and other alternative investments while managing fixed-income duration and periodic rebalancing.
Compared with many solo independent advisers, Alpha Rock is notable for its explicit willingness to use private credit and other alternative vehicles alongside more active trading tools and for its stated practice of generally not permitting client-imposed security restrictions. The firm recommends a national custodian (Charles Schwab), discloses safeguards around fee deductions and custody, and states it will not accept authority to disburse client funds to third parties.
Client services
Portfolio management
Expertise
Options & derivatives strategies
Private / alternative investments
Active portfolio management
Fee options
$0 - $999,999.99: 1.00% $1,000,000 - $1,999,999.99: 0.75% $2,000,000+: 0.50%
Account minimum: $100,000
Main office location
Alpha Rock Investments, LLC
40 Pennsylvania Ave
Malvern PA 19355, United States
Number of offices
1
Most active in
Alpha Rock Investments, LLC has reported serving >5 clients in these states in the last 12 months.
Pennsylvania · Texas
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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