Wealth manager, independent
Alethea Capital Management, LLC
SEC-registered investment adviser · CRD 156500 · SEC 801-72176
At a glance
Alethea Capital Management, LLC is an SEC-registered investment adviser based in United States, with $303 million in regulatory assets under management as of its Form ADV filed March 31, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 40 individual clients. By Form ADV it is a wealth manager, ranked 4,358th of 8,915 wealth managers and 10,120th of 17,210 SEC-registered advisers by assets.
aletheallc.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $303M
- Rank among wealth managers
- #4,358 of 8,915
- Rank among all SEC RIAs
- #10,120 of 17,210
- Individual clients
- 40
- High-net-worth clients
- 30
- Accounts
- 117
- Discretionary
- 100% of AUM
- Employees
- 4
- Advisory staff
- 1
- Offices
- 1
Owners and executives on its Form ADV
- Jennifer L. HsuMember
- Tony HsuManaging Member / Chief Compliance Officer
Custody and brokerage
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 30 | $193M | 64% |
| Pooled investment vehicles | 2 | $85M | 28% |
| Charitable organizations | 2 | $18M | 6% |
| Individuals | 10 | $6M | 2% |
| Other investment advisers | 1 | $0M | <1% |
Private funds
Alethea Capital Management, LLC reports 2 private funds with $85M in gross assets: venture capital funds (Form ADV Item 7.B).
Disciplinary disclosures
Alethea Capital Management, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for pooled investment vehicles
How it’s paid
- A percentage of assets under management
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗aletheallc.com ↗
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The full record on Alethea Capital Management, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 6,569 peers of its type and size
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- Owners and executives, with titles and stakes
- 2 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 1Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Alethea Capital Management, LLC manage?
Alethea Capital Management, LLC reports $303 million in regulatory assets under management across 117 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 31, 2026.
What kind of firm is Alethea Capital Management, LLC?
Alethea Capital Management, LLC is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Alethea Capital Management, LLC’s clients?
By assets, its largest client types are high-net-worth individuals ($193 million, 30 clients); pooled investment vehicles ($85 million, 2 clients); charitable organizations ($18 million, 2 clients).
Does Alethea Capital Management, LLC manage private funds?
Yes. It reports 2 private funds with $85 million in gross assets, including venture capital funds.
Does Alethea Capital Management, LLC have any disciplinary history?
Alethea Capital Management, LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Alethea Capital Management, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-31), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →