State-registered independent wealth management RIA
Alpha Capital LLC
As of its Form ADV filed March 30, 2026, Alpha Capital LLC, a state-registered independent wealth management RIA in Lubbock, Texas, reported $67.8 million in regulatory assets under management across 240 accounts, ranking #696 among independent RIAs in Texas by assets.
Registration
- Registration
- State-registered, Approved
- CRD number
- 321194
- SEC file number
- None (state-registered)
- Registered since
- July 15, 2022
- Latest Form ADV filing
- March 30, 2026
- Organized as
- Limited Liability Company
- Fiscal year ends
- December
- Other offices
- 0
Key figures
- Regulatory assets under management
- $67.8 million
- Discretionary
- $67.8 million (100.0%)
- Non-discretionary
- $0
- Accounts
- 240 (240 discretionary)
- Clients
- 130, approximate as reported
- Employees
- 3
- Advisory staff
- 2 performing investment advisory functions
- Average account
- $282,442
- Asset growth, 1 year
- Not reported
- Asset growth, 3-year annual rate
- Not reported
- Asset growth, 5-year annual rate
- Not reported
- Client growth, 1 year
- Not reported
Independent wealth management RIA: individual and high net worth clients hold at least half of its regulatory assets, it offers financial planning or portfolio management for individuals, and it is not a broker-dealer, a bank or part of one by the directory's rules. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among independent wealth management RIAs.
| Ranking | Nationally | In Texas | Value |
|---|---|---|---|
| Largest independent RIAs by assets under management | #9,449 | #696 | $67.8 million |
| Independent RIAs with the most clients | #7,544 | #510 | 130 |
| Independent RIAs with the most accounts | #7,785 | #550 | 240 |
| Independent RIAs with the most advisory staff | #6,488 | #493 | 2 |
| Independent RIAs with the most high net worth clients | #11,098 | #846 | 13 |
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 7, 2026 | $67.8 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 13 clients | $34.8 million | |
| Individuals (other than high net worth) 117 clients | $33.0 million | |
| Banking or thrift institutions fewer than 5 clients | $0 | |
| Pension and profit sharing plans fewer than 5 clients | $0 | |
| Charitable organizations fewer than 5 clients | $0 | |
| State or municipal government entities fewer than 5 clients | $0 | |
| Other investment advisers fewer than 5 clients | $0 | |
| Insurance companies fewer than 5 clients | $0 | |
| Sovereign wealth funds and foreign official institutions fewer than 5 clients | $0 | |
| Corporations or other businesses fewer than 5 clients | $0 | |
| Other fewer than 5 clients | $0 |
How the firm is paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Portfolio management for businesses or institutional clients
- Pension consulting
- Selection of other advisers
Financial planning clients (Item 5.H): 26-50.
Wrap fee program sponsor or portfolio manager: yes.
Other business, affiliations and custody
Other business activities (Item 6.A)
None reported.
Financial industry affiliations (Item 7.A)
None reported.
Custody (Item 9)
The firm reported no custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 2
- Also registered through a broker-dealer
- 1
- Employees who are IARs (Form ADV 5.B(3))
- 2
0 of the firm's 2 IARs are registered in jurisdictions that require IAR CE. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
Our source has no Form ADV Item 11 detail for this firm. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in Texas
| Firm | City | RAUM |
|---|---|---|
| Signature Financial Advisors | Houston | $68.1 million |
| Clearpoint Wealth Management | Colleyville | $68.0 million |
| Penn Street Capital Management LLC | Dallas | $68.0 million |
| Tri-Star Advisors, Inc. | Houston | $67.9 million |
| Mission Retirement | Tomball | $67.1 million |
The five independent RIAs nearest in regulatory assets with a main office in the same state.
Elsewhere
- Alpha Capital LLC on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.linkedin.com/company/29027352
- Independent RIAs in Texas
Firm data as of October 7, 2026, from IA_FIRM_STATE_Feed_10_07_2026.xml.gz. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 7, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.