Alpha Dna Investment Management Llc
- Regulatory AUM
- $195M
- Discretionary
- $90.0M
- Clients
- 28
- Avg AUM / client
- $7.0M
- Accounts
- 655
- Employees
- 4
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 19, 2026
Investments (13F portfolio — 11 positions, $8,983,187)
13F period Jun 30, 2025| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Ishares Tr | RUSSELL 2000 ETF | $2,547,363 | 11,500 | 28.4% | 1.31% |
| 2 | Apple Inc | COM | $1,597,267 | 7,785 | 17.8% | 0.82% |
| 3 | Spdr S&P 500 Etf Tr | TR UNIT | $1,378,472 | 2,180 | 15.3% | 0.71% |
| 4 | Microsoft Corp | COM | $973,432 | 1,957 | 10.8% | 0.5% |
| 5 | Jpmorgan Chase & Co. | COM | $547,350 | 1,888 | 6.09% | 0.28% |
| 6 | Union Pac Corp | COM | $460,354 | 2,001 | 5.12% | 0.24% |
| 7 | Meta Platforms Inc | CL A | $414,807 | 562 | 4.62% | 0.21% |
| 8 | Netflix Inc | COM | $316,034 | 236 | 3.52% | 0.16% |
| 9 | Schwab Charles Corp | COM | $303,374 | 3,325 | 3.38% | 0.16% |
| 10 | Travelers Companies Inc | COM | $236,773 | 885 | 2.64% | 0.12% |
| 11 | Ea Series Trust | BURNEY US FCTR | $207,961 | 4,606 | 2.32% | 0.11% |
Top 25 of 11 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) | 8 | $2.3M | 1.17% |
| High net worth individuals | 11 | $17.0M | 8.72% |
| Pooled investment vehicles (non-investment companies) | 2 | $54.3M | 27.9% |
| Other investment advisers | 7 | $121M | 62.2% |
Private funds (1)
Reported in Form ADV Section 7.B.(1), filing of Jul 2024 · $325K combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Alpha Dna Equity Market Neutral Fund Lp | Hedge Fund | Delaware | $325K | 2 |
People (2)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Wayne Patrick Ferbert | Chief Compliance Officer/ Managing Member | Oct 2017 (9y) | 75% or more | |
| Roderick John Fertig | Registered representative | Jul 2026 (0y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
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.
Private funds (1, $325K gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Alpha Dna Equity Market Neutral Fund Lp | Hedge Fund | $325K | $250K | 2 |
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/19/2026 | 1.22 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
- • Performance-based fees
Services
- • Portfolio management for businesses/institutional clients
- • Other services
Custody
Reported custodians
- BNY Mellon $44.5M (21% of AUM) Feb 2023
- Charles Schwab & Co. $34.8M (18% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have 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: Mar 19, 2026.
View current Form ADV (SEC/IAPD) ↗