Alps Advisors, Inc.
- Regulatory AUM
- $38.8B
- Discretionary
- $38.3B
- Clients
- 22
- Avg AUM / client
- $1.8B
- Accounts
- 22
- Employees
- 73
AUM over time
Annual snapshots from Form ADV filings · as of Mar 31, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Investment companies | 8 | $37.1B | 95.5% |
| Other investment advisers | 14 | $1.7B | 4.46% |
People (17)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Noyes, Richard, Craig | Senior Vp, General Counsel | Feb 2018 (9y) | Less than 5% | |
| Laton Andrew Spahr | President, Director | CFA | Oct 2019 (7y) | Less than 5% |
| Sutula, Matthew, Joseph | Chief Compliance Officer | Nov 2019 (7y) | Less than 5% | |
| Alexander John Leskowitz Hagmeyer | Co Chief Investment Officer | CFA | Dec 2022 (4y) | Less than 5% |
| Eric Pendleton Hewitt | Co Chief Investment Officer | Jan 2023 (4y) | Less than 5% | |
| Tara Jill Neckel | Registered representative | Aug 2007 (19y) | ||
| Alecia Dawn Wellen | Registered representative | May 2015 (11y) | ||
| Kyle Thomas Reilly | Registered representative | Sep 2021 (5y) | ||
| Karl Josef Zeller | Registered representative | Feb 2022 (4y) | ||
| Justin Louis Hillstrom | Registered representative | Mar 2023 (3y) | ||
| Robert Douglas Mcclure | Registered representative | Jul 2023 (3y) | ||
| Richard Edward Baker | Registered representative | Aug 2023 (3y) | ||
| Christopher Michael Proctor | Registered representative | CFA | Aug 2023 (3y) | |
| Robert Ridgway Mc Laughlin | Registered representative | CFA | Aug 2023 (3y) | |
| Warren Beth | Registered representative | CFA | Aug 2023 (3y) | |
| Sahra Tzortzis | Registered representative | Nov 2024 (2y) | ||
| Ryan Nicklaus Strelesky | Registered representative | Aug 2025 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Alps Holdings, Inc. | Parent | Sep 2005 | A | 75% or more |
| Dst Systems, Inc. | Owner | Oct 2011 | B | ≈ 56.25% – 100% via Alps Holdings, Inc. |
| Ss&C Technologies, Inc. | Owner | Apr 2018 | B | ≈ 42.19% – 100% via Dst Systems, Inc. |
| Ss&C Technologies Holdings, Inc. | Owner | Apr 2018 | B | ≈ 31.64% – 100% via Ss&C Technologies, Inc. |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Dst Systems, Inc.: 75% – 100% of Alps Holdings, Inc. × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Ss&C Technologies, Inc.: 75% – 100% of Dst Systems, Inc. × 75% – 100% of Alps Holdings, Inc. × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Ss&C Technologies Holdings, Inc.: 75% – 100% of Ss&C Technologies, Inc. × 75% – 100% of Dst Systems, Inc. × 75% – 100% of Alps Holdings, Inc. × 75% – 100% direct ≈ 31.64% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 1.21 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
- • Other fees
- • QUARTERLY, ASSET-BASED LICENSING FEE
Services
- • Portfolio management for investment companies
- • Portfolio management for businesses/institutional clients
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 31, 2026.
View current Form ADV (SEC/IAPD) ↗