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ALPHA PRINCIPLE, LLC

ENGLEWOOD, CO · CRD 317053 · IAPD ↗ · alphaprinciple.com · 8003031553

$253.3MRegulatory AUM
5Advisory reps
6Employees
0Clients
26-50Planning clients
0Private funds
6States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

63
December 2025 — ALPHA PRINCIPLE, LLC (ENGLEWOOD, CO) left the SEC roster (was $253.3M RAUM, 5 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
61
April 2024 — ALPHA PRINCIPLE, LLC reports 26-50 financial-planning clients, up from 11-25.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software

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