Fee-only adviser · Malvern, PA
Alpha Rock Investments, LLC
Alpha Rock Investments, LLC is a fee-only investment adviser registered with the securities regulator of Pennsylvania, with its main office in Malvern, Pennsylvania. On its latest Form ADV, filed January 29, 2026, it reports $23M in regulatory assets under management, 71 individual clients and 1 employee who gives investment advice. It reports no commission compensation, is not registered as a broker-dealer and does not act as an insurance agent.
Key facts from Form ADV
| Registration | State-registered: Pennsylvania |
|---|---|
| Firm CRD number | 335453 · SEC file 801-132349 |
| Office | 40 Pennsylvania Ave Malvern, PA 19355 |
| Phone | (610) 721-1277 |
| Website | alpharockinvestments.com |
| Regulatory assets under management | $23M |
| Individual clients | 60 non-high-net-worth, 11 high-net-worth |
| Financial planning clients | Not reported |
| How it charges | Percentage of assets |
| Services | Portfolio management |
| Employees | 1 |
| Disciplinary disclosures | None reported |
| Latest Form ADV filing | January 29, 2026 |
Source: the firm’s Form ADV Part 1A as published by the SEC’s Investment Adviser Public Disclosure database, data as of November 6, 2026. Figures are self-reported by the firm.
What this means for you
- It charges only as a percentage of the assets it manages. Ask about the fee schedule and any account minimum, which Form ADV Part 1 does not record.
- Most of its individual clients are not high-net-worth, so it is likely to work with people who are still building assets.
- It reports no disciplinary history on Form ADV.
Before you hire any adviser
Read the firm’s Form ADV Part 2 brochure on its SEC record: it sets out fees, minimums, conflicts of interest and who will manage your money. Ask whether the firm acts as a fiduciary for all of your accounts, how it is paid in total, and who holds your assets. Our guide to choosing a financial adviser lists the questions to ask.
Other fee-only advisers in Malvern
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See all 8 fee-only advisers in Malvern →
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