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ALPHAQ ADVISORS

WINTER PARK, FL · CRD 141006 · IAPD ↗ · 407-982-4550

$90.6MRegulatory AUM
2Advisory reps
2Employees
0Clients
1-10Planning clients
0Private funds
3States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

42
March 2026 — ALPHAQ ADVISORS notice-filed in NJ.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
65
March 2026 — ALPHAQ ADVISORS reported RAUM up 52% ($59.5M -> $90.6M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
65
December 2025 — ALPHAQ ADVISORS now reports custody of client assets ($53.5M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
45
April 2025 — ALPHAQ ADVISORS reported RAUM down 82% ($332.5M -> $59.5M).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
58
April 2025 — ALPHAQ ADVISORS reports 1-10 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
28
September 2024 — ALPHAQ ADVISORS changed its website from havenprivate.com to alphaqadvisors.com.
Primary website domain changed (social-media URLs ignored) — usually a rebrand or new site.
Marketing & brand
48
September 2024 — ALPHAQ ADVISORS moved its main office from ORLANDO, FL to WINTER PARK, FL.
Main office moved to a different city or state.
Office IT & facilitiesMarketing & brand
53
September 2024 — ALPHAQ ADVISORS shrank from 6 to 2 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
58
September 2024 — HAVEN PRIVATE is now doing business as ALPHAQ ADVISORS.
Primary business name changed: rebrand, merger, or ownership change.
Marketing & brandCRM
53
April 2024 — HAVEN PRIVATE added office(s): 0 -> 2 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
64
April 2024 — HAVEN PRIVATE reported RAUM up 33% ($250.0M -> $332.5M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.