Asset manager · Denver, CO
Alps Advisors, Inc.
SEC-registered investment adviser · CRD 134340 · SEC 801-67135
At a glance
Alps Advisors, Inc. is an SEC-registered investment adviser based in Denver, Colorado, with $38.8 billion in regulatory assets under management as of its Form ADV filed September 30, 2026. Its largest client group by assets is investment companies. By Form ADV it is a asset manager, ranked 249th of 3,218 asset managers and 532nd of 17,210 SEC-registered advisers by assets.
Main office 303-623-2577alpsadvisors.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $39B
- Rank among asset managers
- #249 of 3,218
- Rank among all SEC RIAs
- #532 of 17,210
- Rank in Colorado
- #7 of 359
- Clients
- 22
- Accounts
- 22
- Discretionary
- 99% of AUM
- Employees
- 73
- Advisory staff
- 28
- Offices
- 2
Owners and executives on its Form ADV
- Richard C. NoyesSenior VP, General Counsel
- Matthew J. SutulaChief Compliance Officer
- Laton A. SpahrPresident, Director
- Eric P. HewittCo-Chief Investment Officer
- Alexander J. HagmeyerCo-Chief Investment Officer
Custody and brokerage
Custodian
Alps Advisors, Inc.’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Hybrid RIA
Alps Advisors, Inc. is a hybrid RIA: 27 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: Alps Distributors, Inc., Alps Portfolio Solutions Distributor, Inc., EZE Castle Transaction Services LLC, EZE Software Group PTY Limited, Second Street Securities, Inc. and Ss&c Market Services, LLC.
- Alps Distributors, Inc. ↗CRD 16853
It doesn’t hold client accounts or customer funds itself. Its annual audited report filed with the SEC, April 2026
- Alps Portfolio Solutions Distributor, Inc. ↗CRD 144464
It doesn’t hold client accounts or customer funds itself. Its annual audited report filed with the SEC, March 2026
- EZE Castle Transaction Services LLC ↗CRD 132246
It doesn’t hold client accounts or customer funds itself. Its annual audited report filed with the SEC, February 2026
- EZE Software Group PTY Limited
- Second Street Securities, Inc. ↗CRD 42404
It doesn’t hold client accounts or customer funds itself. Its annual audited report filed with the SEC, February 2026
- Ss&c Market Services, LLC ↗CRD 23568
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Investment companies | 8 | $37B | 96% |
| Other investment advisers | 14 | $1.7B | 4% |
Disciplinary disclosures
Alps Advisors, Inc. reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for investment companies
- Portfolio management for businesses and institutions
How it’s paid
- A percentage of assets under management
- Fixed fees
- Other
Form ADV and brochures on the SEC’s adviser search ↗alpsadvisors.com ↗
AtlasMembers
The full record on Alps Advisors, Inc.
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
- Locked
- Growth over one, three and five years
- Locked
- Rank against 329 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 5 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 2Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Alps Advisors, Inc. manage?
Alps Advisors, Inc. reports $38.8 billion in regulatory assets under management across 22 accounts, 99% of it on a discretionary basis, on its Form ADV filed September 30, 2026.
What kind of firm is Alps Advisors, Inc.?
Alps Advisors, Inc. is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals. A public reporting company controls it.
Who are Alps Advisors, Inc.’s clients?
By assets, its largest client types are investment companies ($37.1 billion, 8 clients); other investment advisers ($1.7 billion, 14 clients).
Does Alps Advisors, Inc. have any disciplinary history?
Alps Advisors, Inc. 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 Alps Advisors, Inc.’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 (2026-09-30), 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 →