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ALPHA ONE ASSET MANAGEMENT LLC

PASADENA, CA · CRD 338725 · IAPD ↗ · 213-688-8000

$114.7MRegulatory AUM
2Advisory reps
9Employees
1Clients
n/aPlanning clients
1Private funds
2States
10Disclosures
fundSegment
ApprovedSEC status

Filing changes

45
August 2026 — ALPHA ONE ASSET MANAGEMENT LLC (PASADENA, CA) left the SEC roster (was $114.7M RAUM, 2 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
80
December 2025 — ALPHA ONE ASSET MANAGEMENT LLC (PASADENA, CA) is newly SEC-registered with $114.7M RAUM and 2 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.