Fee-only adviser · Novato, CA
Alpha Wealth Management and Planning LLC
Alpha Wealth Management and Planning LLC is a fee-only investment adviser registered with the U.S. Securities and Exchange Commission, with its main office in Novato, California. On its latest Form ADV, filed August 3, 2026, it reports $320M in regulatory assets under management, 473 individual clients and 5 employees who give 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 | SEC-registered |
|---|---|
| Firm CRD number | 163917 · SEC file 801-108554 |
| Office | 690 de Long Ave. Suite 300 Novato, CA 94945 |
| Phone | (415) 506-4569 |
| Website | www.alphawmp.com |
| Regulatory assets under management | $320M ($310M discretionary) |
| Individual clients | 232 non-high-net-worth, 241 high-net-worth |
| Financial planning clients | 51-100 |
| How it charges | Percentage of assets, Hourly, Fixed fee |
| Services | Financial planning, Portfolio management, Pension consulting |
| Employees | 8 |
| Disciplinary disclosures | None reported |
| Latest Form ADV filing | August 3, 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 offers hourly or fixed-fee arrangements, so you may be able to pay for a plan without handing over your investments.
- It also charges a percentage of assets managed for ongoing investment management.
- Most of its individual clients are high-net-worth, which on Form ADV means they meet the SEC’s qualified-client or qualified-purchaser test: broadly, more than $1 million managed by the adviser or a net worth above $2 million, with the thresholds indexed for inflation.
- It provides financial planning services, not only portfolio management.
- It sponsors or manages a wrap fee program; ask what the bundled fee covers.
- 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 Novato
- Ketron Financial LLC $384M
- MCM Wealth $171M
- Sonoma Private Wealth LLC $158M
See all 4 fee-only advisers in Novato →
Nearby
- San Anselmo 2 firms
- San Rafael 26 firms
- Sonoma 4 firms
- Ross 2 firms
- Greenbrae 5 firms
- Kentfield 2 firms
- Larkspur 6 firms
- Corte Madera 3 firms
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