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ALPHA ROCK INVESTMENTS, LLC

MALVERN, PA · CRD 335453 · IAPD ↗ · alpharockinvestments.com · 610-721-1277

$16.5MRegulatory AUM
1Advisory reps
1Employees
0Clients
n/aPlanning clients
0Private funds
4States
0Disclosures
wealthSegment
120-Day ApprovalSEC status

Filing changes

60
December 2025 — ALPHA ROCK INVESTMENTS, LLC (MALVERN, PA) left the SEC roster (was $16.5M RAUM, 1 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
95
April 2025 — ALPHA ROCK INVESTMENTS, LLC (MALVERN, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

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