As part of the process of getting to know each other, and as per our regulatory requirements, we are pleased to share with you some documents that explain in detail what we do and how we serve our clients. This is of interest to both our existing as well as our prospective clients. The standard Securities and Exchange Commission (SEC) Form ADV for registered investment advisors like us has three main parts, and you may click on the links below to see each part or navigate to see them on the SEC website directly here: For your reference, we have also included our privacy policy and our business continuity plan below.

Part 1 (Adviser Information)

Part 2A (Brochure)

Part 3 (CRS – Client Relationship Summary)

Alpha Privacy Policy

Business Continuity Plan

Please do not hesitate to call us and discuss any of these very important pieces of information. We enjoy hearing from you! Please note that these documents and brochures have not been approved or verified by the United States SEC nor by any state securities authority. They have been duly filed and we may be examined by our regulators on them at any time. You should read them carefully and compare them to other such documents you may have received from your other financial advisors. References to Alpha as an RIA or registered investment advisor, or any reference to our firm being registered does not imply a certain level of skill or training. This simply shows that we have endeavored to comply with the strict legal parameters of our regulators for the honest and diligent execution of our daily professional duties.

Important Information for Clients and Potential Clients

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 after the delivery of the following: Alpha’s ADV Firm Brochure 2A and Brochure Supplement Form 2B (ADV Part 2A covers our firm and 2B pertains to your specific individual advisor), 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.

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.

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, 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) portfolios, 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 advisers themselves. 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.