ALPhaone Investment Services, LLC (Berwyn)

Name: ALPhaone Investment Services, LLC
Address: 1000 Chesterbrook. Blvd., Berwyn, PA, 19312
Telephone: 267-597-3888

ALPhaone Investment Services, LLC is a large advisory firm based in Berwyn. It manages $273.49 million of regulatory assets for 27 client accounts. It has been registered with the SEC as an adviser since 2009 and has operated in the jurisdictions of Massachusetts and Pennsylvania.

ALPhaone Investment Services provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

ALPhaone Investment Services: assets under management

The assets under management (AUM) of ALPhaone Investment Services, LLC is $273.49 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 983% since the beginning of its operation, and $27.05 million of the total AUM is attributable to clients outside of the United States.

The firm manages $273.49 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $10.13 million each.

ALPhaone Investment Services has custody of $103.38 million in cash and securities for 5 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 100% of the total AUM.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay ALPhaone Investment Services, 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 ALPhaone Investment Services serves?

The firm provides services to individuals, investment companies, charitable organizations, pooled investment vehicles, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of ALPhaone Investment Services is investment companies with 2 clients and $105.84 million of assets under management. Among the 13 most similar advisory firms, ALPhaone Investment Services has the highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $273.49 million for 27 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 6% of the firm’s clients are foreign persons or businesses.

ALPhaone Investment Services also advises several private funds. Namely, two hedge funds. The minimum investment commitment required of non-related persons ranges from $250,000 to $500,000.

Careers at ALPhaone Investment Services, LLC

The company employs 17 people that are either part- or full-time employees. 41 percent of the employees work as investment advisers or researchers. No 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 compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Donald Irving Ohara joined the executive team most recently as the Chief Operating Officer And Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Llc Alphaone Capital Partners	Member	1 Dec 2008	75% - 100%	26-1495973
Paul James Hondros	Chief executive officer	1 Dec 2008	Other	1069884
Kevin Stephen Crossett	General counsel and chief compliance officer	1 Dec 2008	Other	4320461
Gerald James Holland	Chief operating officer	1 Dec 2008	Other	1099918
Kevin Stephen Lee Crossett	General counsel and chief compliance officer	1 Dec 2008	Other	4320461
Donald Irving Ohara	Chief operating officer and chief compliance officer	1 May 2012	Other	2710243

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Paul James Hondros	Member	1 Nov 2007	75% - 100%	1069884
Llc Alphaone Holdings	Member	1 Mar 2009	75% - 100%	26-1496016

Based in Berwyn

The principal office where ALPhaone Investment Services, LLC performs its advisory services is located at 1000 Chesterbrook. Blvd., Berwyn, PA 19312, 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 267-597-3888 or by fax 267-597-3849. The normal business hours are 8:00 a.m. - 6:00 p.m. on Monday - Friday. You can find more information about the New York firm at alphaonecapital.com and its LinkedIn profile.