ALPha Dna Investment Management LLC (Columbia)

Name: ALPha Dna Investment Management LLC
Address: 8860 Columbia 100 Parkway, Columbia, MD, 21045
Telephone: 443-288-6444

ALPha Dna Investment Management LLC is an adviser based in Columbia. It manages $27.4 million of regulatory assets for 243 client accounts. It has been registered with the SEC as an adviser since 2017 and has operated in the jurisdiction of Maryland.

ALPha Dna Investment Management provides portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, and subadvisors to other investment advisors. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

ALPha Dna Investment Management: assets under management

The assets under management (AUM) of ALPha Dna Investment Management LLC is $27.4 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 15% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $27.4 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $112.76 thousand each.

ALPha Dna Investment Management has custody of $1.3 million in cash and securities for 1 client in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 90% of the total AUM. The second-largest asset type is derivatives, which make up 8% of the firm’s portfolio. Investments in cash and cash equivalents form 2% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay ALPha Dna Investment Management LLC for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients ALPha Dna Investment Management serves?

The firm provides services to other investment advisers and pooled investment vehicles. The largest group of clients of ALPha Dna Investment Management is other investment advisers with 8 clients and $26.1 million of assets under management. Among the 1 most similar advisory firms, ALPha Dna Investment Management has the highest percentage of other investment advisers out of all clients.

The amount of regulatory assets under management is $27.4 million for 9 clients. None of the firm’s clients are foreign persons or businesses.

ALPha Dna Investment Management also advises several private funds. Namely, one hedge fund. The minimum investment commitment required of non-related persons is $250,000 for each fund.

Careers at ALPha Dna Investment Management LLC

The company employs 4 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 2 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Wayne Patrick Ferbert	Chief compliance officer/ managing director	1 Mar 2017	75% - 100%	4520127
Llc Zega Financial	Managing member	1 Mar 2017	75% - 100%	156803

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Wayne Patrick Ferbert	Managing director	1 Mar 2011	25% - 50%	4520127
John Alexander Pestrichelli	Co-managing director	1 Mar 2011	25% - 50%	4008186

Based in Columbia

The principal office where ALPha Dna Investment Management LLC performs its advisory services is located at 8860 Columbia 100 Parkway, Columbia, MD 21045, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 443-288-6444 or by fax 888-522-7470. The normal business hours are 9:00 a.m. - 4:00 p.m. on Monday - Friday. You can find more information about the New York firm at alphadnaim.com/.