ALPHA INVESTMENT MANAGEMENT LLC
CRD #109659 SEC #801-60016 NEW YORK, NY 212-421-0110
SEC Registered
Total AUM
$1.1B
Discretionary
$224.6M
Employees
--
Clients
--
Accounts
15
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- May 7, 2002
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| GANTCHER, NATHAN | I | CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, PRESIDENT | NA | Control |
| GANTCHER, NATHAN | I | CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, PRESIDENT | NA | Control |
| GANTCHER, NATHAN | I | CHIEF EXECUTIVE OFFICER, PRESIDENT | NA | Control |
| GANTCHER, NATHAN | I | CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, PRESIDENT | NA | Control |
| GANTCHER, NATHAN | I | CHIEF EXECUTIVE OFFICER, PRESIDENT | NA | Control |
| GANTCHER, NATHAN | I | CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, PRESIDENT | NA | Control |
| ROSEN, LISA, RUTH | I | COMPLIANCE OFFICER, SECRETARY | NA | |
| ROSEN, LISA, RUTH | I | COMPLIANCE OFFICER, SECRETARY | NA | |
| ROSEN, LISA, RUTH | I | COMPLIANCE OFFICER, SECRETARY | NA | |
| ALPHA INVESTMENT ADVISORY GROUP LTD. | FE | MEMBER | E | Control |
| ALPHA INVESTMENT ADVISORY GROUP LTD. | FE | MEMBER | E | Control |
| ALPHA INVESTMENT ADVISORY GROUP LTD. | FE | MEMBER | E | Control |
| ALPHA INVESTMENT MANAGEMENT INC | DE | MEMBER | E | Control |
| ALPHA INVESTMENT MANAGEMENT INC | DE | MEMBER | E | Control |
| ALPHA INVESTMENT MANAGEMENT INC | DE | MEMBER | E | Control |
| SIEKIERSKI, DOUGLAS, GORDON | I | CHIEF OPERATING OFFICER | A | Control |
| SIEKIERSKI, DOUGLAS, GORDON | I | CHIEF OPERATING OFFICER | A | Control |
| SIEKIERSKI, DOUGLAS, GORDON | I | CHIEF OPERATING OFFICER, SECRETARY, MEMBER | A | Control |
| SIEKIERSKI, DOUGLAS, GORDON | I | CHIEF OPERATING OFFICER | A | Control |
| SIEKIERSKI, DOUGLAS, GORDON | I | CHIEF OPERATING OFFICER, SECRETARY, MEMBER | A | Control |
| SIEKIERSKI, DOUGLAS, GORDON | I | CHIEF OPERATING OFFICER, MEMBER | A | Control |
| WEBER, LYNN, MARIE | I | DIRECTOR OF RESEARCH, MEMBER | A | |
| WEBER, LYNN, MARIE | I | DIRECTOR OF RESEARCH, MEMBER | A |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| BERGGRUEN, NICOLAS | I | ALPHA INVESTMENT MANAGEMENT, INC. | E | Control |
| BERGGRUEN, NICOLAS | I | ALPHA INVESTMENT MANAGEMENT, INC. | E | Control |
| BERGGRUEN, NICOLAS | I | ALPHA INVESTMENT MANAGEMENT, INC. | E | Control |
| SANTO DOMINGO, JULIO, MARIO | I | PLANE OVERSEAS, INC. | E | Control |
| SANTO DOMINGO, JULIO, MARIO | I | PLANE OVERSEAS, INC. | E | Control |
| SANTO DOMINGO, JULIO, MARIO | I | PLANE OVERSEAS, INC. | E | Control |
| TARRAGONA TRUST | FE | TARRAGONA INVESTMENT GROUP LTD. | E | Control |
| TARRAGONA TRUST | FE | TARRAGONA INVESTMENT GROUP LTD. | E | Control |
| TARRAGONA TRUST | FE | TARRAGONA INVESTMENT GROUP LTD. | E | Control |
| ALPHA FOUNDERS LTD. | FE | ALPHA INVESTMENT ADVISORY GROUP LTD. | D | Control |
| ALPHA FOUNDERS LTD. | FE | ALPHA INVESTMENT ADVISORY GROUP LTD. | D | Control |
| ALPHA FOUNDERS LTD. | FE | ALPHA INVESTMENT ADVISORY GROUP LTD. | D | Control |
| TARRAGONA INVESTMENT GROUP LTD. | FE | ALPHA FOUNDERS LTD. | D | Control |
| TARRAGONA INVESTMENT GROUP LTD. | FE | ALPHA FOUNDERS LTD. | D | Control |
| TARRAGONA INVESTMENT GROUP LTD. | FE | ALPHA FOUNDERS LTD. | D | Control |
| PLANE OVERSEAS, INC. | FE | ALPHA FOUNDERS LTD. | C | Control |
| PLANE OVERSEAS, INC. | FE | ALPHA FOUNDERS LTD. | C | Control |
| PLANE OVERSEAS, INC. | FE | ALPHA FOUNDERS LTD. | C | Control |
Registrations
Federal
IA
May 7, 2002 REGISTERED
Notice Filings (1)
NY
Address
499 PARK AVENUE24TH FLOOR
NEW YORK, NY 10022
USA
Phone: 212-421-0110