Alpha Wealth Funds, Llc
- Regulatory AUM
- $214M
- Discretionary
- $167M
- Clients
- 303
- Avg AUM / client
- $707K
- Accounts
- 442
- Employees
- 11
AUM over time
Annual snapshots from Form ADV filings · as of Jun 10, 2026
Investments (13F portfolio — 41 positions, $149,178,467)
13F period Mar 31, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Ishares Tr | 0-3 MNTH TREASRY | $110,933,360 | 1,102,060 | 74.4% | 51.8% |
| 2 | State Str Spdr S&P 500 Etf T | CALL | $8,571,240 | 697 | 5.75% | 4.0% |
| 3 | Alphabet Inc | CAP STK CL C | $3,553,689 | 13,010 | 2.38% | 1.66% |
| 4 | State Str Spdr S&P 500 Etf T | TR UNIT | $3,196,421 | 4,915 | 2.14% | 1.49% |
| 5 | Vaneck Bdc Income Etf | BDC INCOME ETF | $2,181,056 | 170,395 | 1.46% | 1.02% |
| 6 | Ishare Tr | IBOXX INV CP ETF | $2,173,043 | 19,938 | 1.46% | 1.01% |
| 7 | State Street Spdr S&P Midcap 40 | UTSER1 S&PDCRP | $1,770,101 | 2,870 | 1.19% | 0.83% |
| 8 | Energy Transfer L P | COM UT LTD PTN | $1,753,305 | 89,500 | 1.18% | 0.82% |
| 9 | Ishares Tr | CORE S&P SCP ETF | $1,538,833 | 12,379 | 1.03% | 0.72% |
| 10 | Rockwell Automation Inc | COM | $1,074,456 | 3,083 | 0.72% | 0.5% |
| 11 | Select Sector Spdr Tr | STATE STREET TEC | $901,461 | 6,783 | 0.6% | 0.42% |
| 12 | Nvidia Corporation | COM | $796,834 | 4,569 | 0.53% | 0.37% |
| 13 | Select Sector Spdr Tr | STATE STREET CON | $770,162 | 7,067 | 0.52% | 0.36% |
| 14 | Insulet Corp | COM | $728,035 | 3,500 | 0.49% | 0.34% |
| 15 | Abbott Laboratories | COM | $725,480 | 7,120 | 0.49% | 0.34% |
| 16 | Spdr Series Trust | STATE STREET SPD | $711,328 | 5,569 | 0.48% | 0.33% |
| 17 | Amgen Inc | COM | $705,459 | 2,005 | 0.47% | 0.33% |
| 18 | Spdr Gold Tr | GOLD SHS | $618,327 | 1,437 | 0.41% | 0.29% |
| 19 | Caterpillar Inc | COM | $566,768 | 800 | 0.38% | 0.26% |
| 20 | Fiserv Inc | COM | $545,300 | 10,000 | 0.37% | 0.25% |
| 21 | Vanguard Index Fds | TOTAL STK MKT | $535,638 | 3,429 | 0.36% | 0.25% |
| 22 | Select Sector Spdr Tr | STATE STREET HEA | $476,629 | 3,251 | 0.32% | 0.22% |
| 23 | Boeing Co | COM | $473,025 | 2,500 | 0.32% | 0.22% |
| 24 | Adobe Inc | CALL | $463,816 | 75 | 0.31% | 0.22% |
| 25 | Kimberly Clark Corp | COM | $395,047 | 4,100 | 0.26% | 0.18% |
Top 25 of 41 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 197 | $28.3M | 13.2% |
| High net worth individuals | 77 | $39.2M | 18.3% |
| Pooled investment vehicles (non-investment companies) | 4 | $98.2M | 45.8% |
| Charitable organizations | 1 | $926K | 0.43% |
| Other investment advisers | 1 | $35.0M | 16.3% |
| Other | 23 | $12.5M | 5.84% |
People (11)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Harvey Warren Sax | Registered representative | Apr 2010 (16y) | ||
| Chase Richard Thomas | Registered representative | CFP | Apr 2018 (8y) | |
| Jenny Lyn Bober | Registered representative | Oct 2021 (5y) | ||
| Jayden Vaughn Thomas | Registered representative | Aug 2023 (3y) | ||
| Preston Bell | Registered representative | Aug 2023 (3y) | ||
| Karyn Graff | Registered representative | Jan 2025 (2y) | ||
| Aimee Jackson Spencer | Registered representative | Feb 2025 (1y) | ||
| Cameron James Thomas | Registered representative | May 2025 (1y) | ||
| Kody Rand Myers | Registered representative | May 2025 (1y) | ||
| Dominic Ross | Registered representative | Feb 2026 (0y) | ||
| Evan Zollinger | Registered representative | CFP | Jun 2026 (0y) |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/10/2026 | 2.19 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Subscription fees
- • Fixed fees
- • Commissions
- • Performance-based fees
- • Other fees
- • FINANCIAL PLANS
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Publication of periodicals or newsletters
- • Educational seminars/workshops
Custody
Reported custodians
- Interactive Brokers $141M (66% of AUM) Jun 2026
- Charles Schwab & Co. $42.6M (20% of AUM) Jun 2026
- Tradestation Securities, Inc. $17.8M (8% of AUM) Jun 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jun 10, 2026.
View current Form ADV (SEC/IAPD) ↗