SEC-Registered Investment Adviser
Alethea Capital Management, LLC
Registration facts are from the firm's Form ADV Part 1A as published by the SEC, latest filing dated March 31, 2026. Figures are firm-level: they describe the advisory firm, not any single offering.
Registration
- Status
- Approved
- Registered since
- February 28, 2011
- Organized as
- Limited Liability Company, CA
- Fiscal year end
- December
Scale
- Regulatory AUM
- $302.6M
- Attributable to non-US clients
- $412,051
- Accounts
- 117
- Clients
- 0
- Employees
- 4, 1 in advisory roles
- Private funds advised
- 2
- Private fund gross assets
- $85.3M
- Fund types
- 2 venture capital funds
- Funds with Form D records
- 2 issuers in AltStreet's ledger, $20.6M reported sold across them
- Client assets in custody
- $85.3M (50 clients)
Business, clients and compensation, as filed
- Advisory activities
- financial planning, portfolio management for individuals and small businesses and portfolio management for pooled investment vehicles
- Compensated by
- a percentage of assets under management and performance-based fees
- Client types
- individuals (other than high net worth) (10); high net worth individuals (30); pooled investment vehicles (2); charitable organizations (2); other investment advisers (1)
- Related persons include
- another investment adviser
- Affiliates
- 1 investment adviser
Form ADV Item 11 disclosures
No yes answers on Item 11 as of the latest Form ADV (March 31, 2026). Item 11 covers the firm and its advisory affiliates.
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Source: SEC Form ADV via IARD (roster of October 6, 2026), matched to the platform by AltStreet analysts. Item 11 answers are as reported on the firm's Form ADV and cover the firm and its advisory affiliates; consult the firm's IAPD record for the Disclosure Reporting Pages. Brochure statements are the firm's own. Nothing on this page is investment advice.