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Investment Adviser Firm Summary

ALPHA INVESTMENT MANAGEMENT (CRD# 107578 / SEC# 801-53966)
Alternate Names: ALPHA INVESTMENT MANAGEMENT

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 09/26/2005
Ohio Terminated 11/08/2005

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 03/11/2014
Alaska 02/29/2016
Arizona 03/13/2015
Arkansas 03/06/2017
California 03/11/2011
Colorado 03/11/2014
Connecticut 03/11/2011
Delaware 02/29/2016
Florida 03/25/2010
Georgia 03/13/2015
Hawaii 02/29/2016
Idaho 03/13/2015
Illinois 03/18/2014
Indiana 03/11/2014
Iowa 03/13/2015
Kansas 03/13/2015
Kentucky 03/13/2015
Louisiana 03/16/2018
Maryland 03/13/2015
Massachusetts 03/13/2015
Michigan 03/24/2010
Minnesota 03/13/2015
Mississippi 03/13/2015
Missouri 03/13/2015
Nebraska 03/13/2015
Nevada 03/13/2015
New Hampshire 03/06/2017
New Jersey 04/02/2014
New Mexico 03/30/2012
New York 03/13/2015
North Carolina 03/13/2015
Ohio 03/24/2010
Oklahoma 03/13/2015
Oregon 03/30/2012
Pennsylvania 03/11/2014
South Carolina 03/27/2013
South Dakota 03/13/2015
Tennessee 03/24/2010
Texas 03/24/2010
Utah 03/13/2015
Virginia 03/13/2015
Washington 03/24/2010
West Virginia 03/06/2017
Wisconsin 03/11/2011

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser