AdvisorRanked
87
Clean

ALPHA ONE ASSET MANAGEMENT LLC

225 S. LAKE AVE, PASADENA, CA 91101
Fiduciaryfee-onlySEC Registered
213-688-8000 CRD #338725
$115M
Assets Managed
2
Clients
9
Employees
1
Years Active
since 2025

Compensation Model

% of Assets (AUM)
Hourly Fees
Fixed / Flat Fees
Commissions
Performance Fees

Compensation type disclosed on SEC Form ADV Item 5C. Filed 45945. Specific fee percentages are available in this firm's Form ADV Part 2A brochure at adviserinfo.sec.gov.

Conflict of Interest Analysis

Broker-Dealer Affiliated: No

No broker-dealer affiliation. Lower risk of commission-driven advice.

Insurance Licensed: No

Not insurance licensed. Cannot sell you annuity or insurance products directly.

Custody of Client Assets: Yes

This firm has direct custody of client assets, rather than using an independent custodian. This is a higher-risk arrangement that requires additional regulatory safeguards.

Proprietary Products: No

Uses only third-party investment products. No proprietary product conflicts.

Regulatory & Disciplinary History

complaint45945

1 customer complaint(s)/arbitration(s) disclosed on Form ADV Item 11.

Resolved

Total complaints on record: 1

Complaint ratio: 50.00 per 100 clients

Industry average is approximately 0.15 complaints per 100 clients. A ratio above 0.30 is considered elevated.

Firm Details

Legal NameALPHA ONE ASSET MANAGEMENT LLC
CRD Number#338725
SEC RegisteredYes
Registration Date2025-11-20
States RegisteredCA
Assets Under Management$115M
Number of Clients2
Employees9
Compensation Typefee-only
Last ADV Filing45945

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Frequently Asked Questions

Is ALPHA ONE ASSET MANAGEMENT LLC a fiduciary?

Yes. ALPHA ONE ASSET MANAGEMENT LLC is a registered investment adviser (RIA) with the SEC, which means they are legally required to act as a fiduciary — putting your interests ahead of their own.

How does ALPHA ONE ASSET MANAGEMENT LLC charge clients?

ALPHA ONE ASSET MANAGEMENT LLC uses a fee-only compensation model. Full fee details are in their Form ADV Part 2A brochure at adviserinfo.sec.gov.

Does ALPHA ONE ASSET MANAGEMENT LLC have any complaints?

Yes. ALPHA ONE ASSET MANAGEMENT LLC has 1 complaint(s) on record. Their complaint ratio is 50.00 per 100 clients (industry average: ~0.15).

How does ALPHA ONE ASSET MANAGEMENT LLC compare to other advisors in PASADENA?

ALPHA ONE ASSET MANAGEMENT LLC has a Red Flag Score of 87/100. There are 41 registered advisory firms in PASADENA. Use our city page to compare firms side by side.

Where does this data come from?

All information is sourced from SEC Form ADV public filings (mandatory regulatory disclosures) and FINRA BrokerCheck records. Last updated: 2026-06-24. We do not accept payment from financial advisors.

Data source: SEC Form ADV (Parts 1 and 2A) filed with the Investment Adviser Registration Depository (IARD). Filing date: 45945. Last data refresh: 2026-06-24. AdvisorRanked does not verify the accuracy of SEC filings. This is not financial advice.