Important Information for Clients and Potential Clients using Email Communication

Alpha RIA LLC (“Alpha”) is an investment adviser registered with the Securities and Exchange Commission, located in New York City, that provides investment management services to individual clients, their families, and their corporate entities. Investment advice can be provided only where Alpha and its representatives are properly licensed or exempt from licensure and after the delivery of Alpha’s ADV Firm Brochure and Brochure Supplement Form (ADV Parts 2A and 2B), ADV Part 3 also known as Form CRS (Client Relationship Summary), our Privacy Policy, and once a properly executed Investment Advisory Contract (IAC) has been submitted by the client and accepted/countersigned by an authorized Alpha officer.

Investment advisory services are offered through Alpha, a registered investment adviser (RIA). Alpha is not a bank, custodian, or broker-dealer and does not act as trustee. Securities and investments in client portfolios are offered and sold through various financial institutions which act as broker-dealers and/or custodians. Please remember that securities cannot be purchased, sold, or traded via e-mail or voice message system. All email sent to or from our system is subject to review, inspection, and retention.

Nothing contained in this email shall be considered an offer or solicitation with respect to the purchase or sale of any security in any jurisdiction where such an offer or solicitation would not be legal. Neither Alpha nor any of its affiliates represent that any of the information contained herein is accurate, complete, or up to date, nor shall we have any responsibility to update any opinions or other information contained herein. Any price(s) or amount(s) quoted in this message is/are given in good faith and believed to be drawn from trustworthy sources, however they are subject to change without notice. Past performance is not a guarantee of future performance.

Alpha often communicates with clients and prospective clients through email and electronic means. Your privacy and security are very important to us. Alpha makes every effort to ensure that email communications do not contain sensitive information. We remind our clients and others not to send Alpha private information over email. If you have sensitive data to deliver, please let us know as we can provide secure means for such delivery. Please familiarize yourself with our privacy policy.

Any investment products or securities discussed in this email are only offered and sold through various other financial institutions which act as broker-dealers, banks, and/or custodians. Investors should only invest in a fund or security once they have thoroughly reviewed the prospectus, key investor information, and/or other offering document for the fund. Investors should carefully consider the fund or security relevant investment objectives, risks, charges, and fees.

Alpha does not provide legal or tax advice so please consult your own attorney or accountant for those services. 

The views and opinions included in this email belong to their author and do not necessarily mirror the views and opinions of Alpha. Our employees are obliged not to make any defamatory statements, infringe, or authorize infringement of any legal right. Therefore, Alpha will not accept any liability for such statements included in emails. In case of any damages or other liabilities arising, employees are fully responsible for the content of their emails. No employee or agent is authorized to conclude any binding agreement on behalf of Alpha with another party by email without express written confirmation by Alpha.

Please do not print this email unless it is necessary. Every unprinted email helps the environment.

Alpha considers the security of our client information a priority. Therefore, we have made efforts to ensure that each message we send you is error and virus-free. Email messages may contain computer viruses or other defects, may not be accurately replicated on other systems, or may be intercepted, deleted, or interfered-with without the knowledge of the sender or the intended recipient. Alpha makes no warranties in relation to these matters. Please note that Alpha reserves the right to intercept, monitor, and retain email messages to and from its systems as permitted by applicable law. If you are not comfortable with the risks associated with email messages, you may decide not to use email to communicate with Alpha. If you have any questions regarding our email policies, please contact us. We ask that you read our privacy policy.

This message, and any attachments, is for the intended recipient(s) only, may contain information that is privileged, confidential, protected from disclosure, and proprietary. If you have received this communication in error, please destroy all electronic and paper copies and notify the sender immediately. Mistransmission is not intended to waive confidentiality or privilege. All email sent to or from our system is subject to review and retention. Alpha reserves the right, to the extent permitted under applicable law, to monitor electronic communications. Dissemination, distribution, printing, or copying of this e-mail or the information herein by anyone other than the intended recipient(s), or an employee or agent responsible for delivering the message to the intended recipient(s), is expressly prohibited.

Please remember that different types of investments involve varying degrees of risk, and there can be no assurance that the future performance of any specific investment or investment strategy (including those undertaken or recommended by Alpha), will be profitable or equal any historical performance level(s).

Past performance is not a guarantee of future results. All Investments are subject to risks, including the possible loss of principal. Securities investments are not bank deposits, may lose value, and are not bank guaranteed or insured (unless explicitly specified).

Information and recommendations contained in market commentaries and writings are of a general nature and are not intended to be construed as investment, tax, or legal advice. These materials reflect the opinions of Alpha on the date of production and are subject to change at any time without notice. Where data is presented that was prepared by third parties, the source of the data will be cited, and we have determined these sources to be generally reliable. However, Alpha does not warrant the accuracy of the information presented.

This content may not be reproduced, copied, or made available to others without the express written consent of Alpha.

By communicating with Alpha upon receipt of this e-mail message you consent to the foregoing.

Important Disclosure Information

Alpha and its representatives are in compliance with the current filing requirements imposed upon SEC-registered investment advisers by those states in which Alpha maintains clients. Alpha may only transact business in those states in which it is registered, or qualifies for an exemption or exclusion from registration requirements.

Alpha’s website (“Site”) is limited to the dissemination of general information pertaining to its advisory services, together with access to additional investment-related information, publications, and links. Accordingly, the publication of Alpha’s Site on the internet should not be construed by any consumer and/or prospective client as Alpha’s solicitation to effect, or attempt to effect transactions in securities, or the rendering of personalized investment advice for compensation, over the internet. Any subsequent, direct communication by Alpha with a prospective client shall be conducted by a representative that is either registered or qualifies for an exemption or exclusion from registration in the state where the prospective client resides. For information pertaining to the registration status of Alpha, please visit the IAPD website here https://adviserinfo.sec.gov/firm/summary/313285, contact the SEC, or the state securities regulators for those states in which Alpha maintains a notice filing. A copy of Alpha’s current written disclosure statement discussing Alpha’s business operations, services, and fees is available at no charge from Alpha upon written request. Alpha does not make any representations or warranties as to the accuracy, timeliness, suitability, completeness, or relevance of any information prepared by any unaffiliated third party, whether linked to Alpha’s Site or incorporated herein, and takes no responsibility therefor. All such information is provided solely for convenience purposes only and all users thereof should be guided accordingly.

Certain portions of Alpha’s Site (i.e. newsletters, articles, commentaries, etc.) may contain a discussion of, and/or provide access to, Alpha (and those of other investment and non-investment professionals) positions and/or recommendations as of a specific prior date. Due to various factors, including changing market conditions, such discussion may no longer be reflective of current position(s) and/or recommendation(s). Moreover, no client or prospective client should assume that any such discussion serves as the receipt of, or a substitute for, personalized advice from Alpha, or from any other investment professional. Alpha is neither an attorney nor an accountant, and no portion of the Site content should be interpreted as legal, accounting, or tax advice.

Rankings and/or recognition by unaffiliated rating services and/or publications should not be construed by a client or prospective client as a guarantee that they will experience a certain level of results if Alpha is engaged, or continues to be engaged, to provide investment advisory services, nor should it be construed as a current or past endorsement of Alpha by any of its clients. Rankings published by magazines, and others, generally base their selections exclusively on information prepared and/or submitted by the recognized adviser. Rankings are generally limited to participating advisers. Alpha never pays a fee to be considered for any ranking or recognition, but may purchase plaques or reprints to publicize rankings.

By communicating with Alpha upon receipt of this e-mail message you consent to the foregoing.