← Tributary

ALPHA OMEGA FINANCIAL

· CRD 314289 · IAPD ↗ · 410-592-8936

$187.0MRegulatory AUM
1Advisory reps
2Employees
0Clients
11-25Planning clients
0Private funds
8States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

65
March 2025 — ALPHA OMEGA FINANCIAL now reports custody of client assets ($54.6M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
42
June 2024 — ALPHA OMEGA FINANCIAL notice-filed in DE.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
50
June 2024 — ALPHA OMEGA FINANCIAL added office(s): 0 -> 2 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
55
June 2024 — ALPHA OMEGA FINANCIAL, INC. is now doing business as ALPHA OMEGA FINANCIAL.
Primary business name changed: rebrand, merger, or ownership change.
Marketing & brandCRM
42
February 2024 — ALPHA OMEGA FINANCIAL, INC. notice-filed in FL.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand

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