A
Alpha Concepts LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$0
Clients
0
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
0
Very LowAverage account size
—
About
Alpha Concepts provides discretionary asset management primarily to institutional and high‑net‑worth clients, typically through pooled vehicles or institutional mandates rather than broad retail relationships. Services center on ongoing portfolio management, including investment selection, asset allocation, monitoring, and trade execution under discretionary authority.
The firm’s investment process is driven by proprietary, quantitatively based systematic models that are applied consistently across client accounts rather than creating individualized strategies for each client. Depending on the strategy, implementations may include long- and short-term trading and the use of derivatives and option-writing as part of the model-based approach.
Alpha Concepts is notable among peers for relying on performance‑based compensation arrangements rather than conventional percentage‑of‑assets fees, with participation in those arrangements limited to clients meeting the firm’s eligibility criteria. It is a recently formed, single-professional manager with no reported client assets under management to date, and its combination of a model-driven strategy and active use of derivatives sets it apart from many larger, asset-based investment managers.
Client services
Portfolio management
Expertise
Active portfolio management
Options & derivatives strategies
Fee options
$0 - $1,000,000: Not applicable - minimum account size is $1,000,000 $1,000,000+: Performance-based fees only, no asset-based fees
Performance-based fees charged quarterly in arrears, calculated on a non-cumulative sliding scale based on annual gross investment return: 25% on returns from 0% up to 50%; 50% on returns exceeding 50%. Fees assessed only on gains above a high-water mark. No asset-based or flat fees charged.
Account minimum: $1,000,000
Main office location
Alpha Concepts LLC
390 North Broadway, Suite 130
Jericho NY 11753, United States
Number of offices
1
Most active in
Alpha Concepts LLC has reported serving >5 clients in these states in the last 12 months.
New York
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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