Investment adviser · CRD 306370

ALPHA LLC.

Investment adviser filing (IA)

CHICAGO, IL, United States · Form ADV filed Dec 22, 2019

Regulatory AUM: $20M
Client accounts: 3
Employees: 5
Advisory professionals: 5

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
Business development companies	1	$20,000,000	100.0%
Pooled investment vehicles	1	$0	0.0%
Corporations & businesses	1	$0	0.0%

Filing source

Form ADV 1356799 · Dec 22, 2019 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

1 Private fund

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

ALPHA FUNDS, LLC.Other Private Fund · Last reported Dec 22, 2019$257MGross asset value

Fund administrator NES FINANCIAL SAN JOSE, California, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Custodian INTERACTIVE BROKERS LLC GREENWICH, Connecticut, United States Related to adviser: No

Prime broker INTERACTIVE BROKERS LLC GREENWICH, Connecticut, United States

Provider details

Annual audit: No
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

INTERACTIVE BROKERS LLC
SEC 8-47257

INTERACTIVE BROKERS LLC
CRD 36418 · SEC 8-47257

Fund details & source

Fund ID: 805-6632373265
Reported beneficial owners: 5
Minimum commitment: $1M

Form ADV 1356799 · Dec 22, 2019 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Dec 22, 2019. View historical filings

Reported services

Pooled investment vehicle management · Business portfolio management · Selection of other advisers

Compensation

Percentage of assets · Fixed · Performance-based

Principal office

TWO PRUDENTIAL PLAZA. 180 N STETSON STREET
CHICAGO, IL, 60601, United States

CRD 306370

Filing source

Form ADV 1356799 · Dec 22, 2019 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.