A
Alphatheta Capital LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$3,700,000
Clients
13
0% 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
13
LowAverage account size
$284,615
About
The firm provides discretionary portfolio management to a small number of individual and institutional clients and manages approximately $3.7 million in assets. It focuses on income-producing strategies and delivers ongoing portfolio oversight across diversified accounts.
The firm’s investment approach combines quantitative models (including momentum and sentiment indicators) with fundamental and technical analysis to identify income and appreciation opportunities. Trading tools include equities for dividends, a variety of options strategies, bonds, pooled funds and, where appropriate, hedges, derivatives, leverage and margin, with gross and net exposures monitored continuously.
Noteworthy for a solo independent adviser, the firm offers an optional performance-based compensation arrangement and uses independent custodial collection and verification for those fees. The principal’s long quantitative research background supports the use of proprietary and external models, side-by-side trade allocations, and the frequent use of complex instruments—features that distinguish it from many peers of similar size.
Client services
Portfolio management
Expertise
Options & derivatives strategies
Concentrated stock management
Real estate investing
Active portfolio management
Fee options
10% of net profits of the Account for clients electing performance fee option.
Account minimum: $200,000
Main office location
Alphatheta Capital LLC
Lawrence NY, United States
Number of offices
2
Most active in
Alphatheta Capital LLC has reported serving >5 clients in these states in the last 12 months.
New York
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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