ALPHA PRIME CAPITAL, LLC

RIASEC Registered
Total AUM
$8.3M
Discretionary
$8.3M
100% of AUM
Avg account
$435K
Accounts
19
Employees
1
Advisory reps
1

Firm details

Headquarters
,
CRD number
296940
Custodians
INTERACTIVE BROKERS LLC
Fee structure
Percentage of AUM, Performance Based Fees
Client types
  • HNWI63.15%
  • Corporations / Businesses22.23%
  • Insurance Companies14.62%
Services
Portfolio Management for Individuals

Firm profile

FINTRX

Overview

Alpha Prime Capital, LLC is a small, equity-focused registered investment adviser that manages portfolios for individuals, families and select institutional or business clients. The firm charges both a percentage-of-assets fee and can use performance-based fee arrangements, signaling it works with clients who may accept incentive-linked structures. Alpha Prime concentrates on liquid, traded securities rather than private or illiquid strategies; its stated advisory activity centers on portfolio management for individuals and small businesses. The firm is not an active ESG investor and is not structured as a multi-state or pension consultant adviser. Alpha Prime’s allocation preferences lean heavily toward exchange-traded equities and ETFs, using a straightforward, market-facing approach rather than a multi-manager alternative program. Custody and execution appear centralized through Interactive Brokers, which supports the firm’s emphasis on traded instruments and discretionary trading.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 83%, Derivatives 15%, Cash & Cash Equivalents 2%83%
  • Exchange Traded Equities83%
  • Derivatives15%
  • Cash & Cash Equivalents2%

Owners & executives

1 of 1
  • William Smythe

    Founder and Chief Investment OfficerCRD 6943752

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

Location

Primary office

, null

Location

, null

Headquartered in , null.

Office locations

Similar firms

Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth