For the most recent copy of our Firm's ADV or Advisor's ADV2B please feel free to call or contact us, we can email or mail you our most recent copy. Thank you.
Firm Disclosures
Performance:
Our model portfolios have been developed based on historical performance of certain asset classes and are constructed of mutual funds representing those asset classes. These model portfolios were designed and constructed based on modern portfolio theory (MPT) and a multifactor model. The result of the application of the model is that so-called “small cap” stocks, "value" stocks (stocks of firms with a high book-to-market ratio) and the stocks of firms with greater profitability are emphasized in the portfolio and provide a greater expected return than the overall market over time. However, these asset classes – particularly, small cap and value stocks – provide greater expected return because they are riskier asset classes. Consequently, the additional risk of these two asset classes should be mitigated or diversified as much as possible, using other non-correlating asset classes.
Please note, there can be no assurance that a client would have achieved similar rates of return over the same time frame. In addition, since the time period is historical, there can be no assurance that future results achieved by clients will in any way resemble those presented for the model portfolios. Although we have made every attempt to present this data fairly, hypothetical performance is still potentially misleading. Hypothetical data does not represent actual performance and should not be interpreted as an indication of actual performance.
These materials are subject to change without notice and, due to the rapidly changing nature of the securities markets, may quickly become outdated. All materials presented are compiled from sources believed to be reliable and current, but accuracy cannot be guaranteed. This information is distributed solely for educational purposes, and it is not to be construed as an offer, solicitation, recommendation, or endorsement of any particular security, product or service.
Alpha Global Investments, LLC is an investment advisor registered with the State of California Department of Corporations. Please consider all the investment objectives, risks, and expenses carefully before investing. Please remember that past performance is no guarantee of future results and current performance may be higher or lower than the performance shown.
Form ADV
Item 1 – Cover Page
Green Envy Ink, LLC D.B.A.
Alpha Global Investments
PO Box 127538, San Diego, CA 92112
858-207-6100
www.alphaglobalinvest.com
01/08/2018
This Brochure provides information about the qualifications and business practices of Alpha Global Investments. If you have any questions about the contents of this Brochure, please contact us at 858-207-6100 or Jeremy@alphaglobalinvest.com. The information in this Brochure has not been approved or verified by the United States Securities and Exchange Commission or by any state securities authority.
Alpha Global Investments is a registered investment adviser. Registration of an Investment Adviser does not imply any level of skill or training. The oral and written communications of an Adviser provide you with information about which you determine to hire or retain an Adviser.
Additional information about Alpha Global Investments also is available on the SEC’s website at www.adviserinfo.sec.gov.
Item 2 – Material Changes
On July 28, 2010, the United State Securities and Exchange Commission published “Amendments to Form ADV” which amends the disclosure document that we provide to clients as required by SEC Rules. This Brochure dated 01/08/2018 is a new document prepared according to the SEC’s new requirements and rules. As such, this Document is materially different in structure and requires certain new information that our previous brochure did not require.
In the future, this Item will discuss only specific material changes that are made to the Brochure and provide clients with a summary of such changes. We will also reference the date of our last annual update of our brochure.
In the past we have offered or delivered information about our qualifications and business practices to clients on at least an annual basis. Pursuant to new SEC Rules, we will ensure that you receive a summary of any materials changes to this and subsequent Brochures within 120 days of the close of our business’ fiscal year. We may further provide other ongoing disclosure information about material changes as necessary.
We will further provide you with a new Brochure as necessary based on changes or new information, at any time, without charge.
Currently, our Brochure may be requested by contacting Jeremy Gonzalez, President at 858-207-6100 or Jeremy@alphaglobalinvest.com. Our Brochure is also available on our web site www.alphaglobalinvest.com, also free of charge.
Additional information about Alpha Global Investments is also available via the SEC’s web site www.adviserinfo.sec.gov. The SEC’s web site also provides information about any persons affiliated with Alpha Global Investments who are registered, or are required to be registered, as investment adviser representatives of Alpha Global Investments.
There has been no material updates since our last update dated: 10/22/2010
Item 3 -Table of Contents
Item 1 – Cover Page i
Item 2 – Material Changes ii
Item 4 – Advisory Business 1
Item 5 – Fees and Compensation 3
Item 6 – Performance-Based Fees and Side-By-Side Management 5
Item 7 – Types of Clients 5
Item 8 – Methods of Analysis, Investment Strategies and Risk of Loss 5
Item 9 – Disciplinary Information 7
Item 10 – Other Financial Industry Activities and Affiliations 7
Item 11 – Code of Ethics 7
Item 12 – Brokerage Practices 9
Item 13 – Review of Accounts 10
Item 14 – Client Referrals and Other Compensation 10
Item 15 – Custody 11
Item 16 – Investment Discretion 11
Item 17 – Voting Client Securities 12
Item 18 – Financial Information 12
Item 19 – Requirements for State-Registered Advisers 12
Item 4 – Advisory Business
We specialize in the following types of services: asset management, financial planning, and consulting. Our assets under management are $21,750,132 as of 12/31/2017.
A. Description of our advisory firm, including how long we have been in business and our principal owner(s).
We are dedicated to providing individuals and other types of clients with a wide array of investment advisory services. Our firm is an LLC, formed in the State of California.
Our firm has been in business as an investment adviser since 2010 and is owned as follows:
Jeremy A. Gonzalez – One-hundred-percent (100%) Owner
B. Description of the types of advisory services we offer:
(i) Asset Management:
We emphasize continuous and regular account supervision. As part of our asset management service, we generally create a portfolio, consisting of individual stocks or bonds, exchange traded funds (“ETFs”), options, mutual funds and other public and private securities or investments. The client’s individual investment strategy is tailored to their specific needs and may include some or all of the previously mentioned securities. Each portfolio will be initially designed to meet a particular investment goal, which we determine to be suitable to the client’s circumstances. Each client has the opportunity to place reasonable restrictions on the types of investments to be held in the portfolio. Once the appropriate portfolio has been determined, we review the portfolio at least quarterly and if necessary, rebalance the portfolio based upon the client’s individual needs, stated goals and objectives.
(ii) 401K Planning:
We provide 401(k) planning services. 401(k) Planning consists of advice on active allocation of securities within Client’s 401(k) account. Advice may include allocation strategies, available fund research, and available fund review, 401(k) plan outlines, and instruction. If a client elects to follow any recommendations received from us or our associated persons, the client is responsible for implementation. We and our associated persons will not implement transactions or act as custodian for client accounts when providing these services.
(iii) Financial Planning and Consulting
We provide a variety of financial planning and consulting services to individuals, families and other clients regarding the management of their financial resources based upon an analysis of client’s current situation, goals, and objectives. Generally, such financial planning services will involve preparing a financial plan or rendering a financial consultation for clients based on the client’s financial goals and objectives. This planning or consulting may encompass one or more of the following areas: Investment Planning, Retirement Planning, Estate Planning, Charitable Planning, Education Planning, Corporate and Personal Tax Planning, Cost Segregation Study, Corporate Structure, Real Estate Analysis, Mortgage/Debt Analysis, Insurance Analysis, Lines of Credit Evaluation, Business and Personal Financial Planning. Financial Planning and Consulting: Our written financial plans or financial consultations rendered to clients usually include general recommendations for a course of activity or specific actions to be taken by the clients. For example, recommendations may be made that the clients begin or revise investment programs, create or revise wills or trusts, obtain or revise insurance coverage, commence or alter retirement savings, or establish education or charitable giving programs. It should also be noted that we refer clients to an accountant, attorney or other specialist, as necessary for non-advisory related services. For written financial planning engagements, we provide our clients with a written summary of their financial situation, observations, and recommendations. For financial consulting engagements, we usually do not provide our clients with a written summary of our observations and recommendations, as the process is less formal than our planning service. Plans or consultations are typically completed within six (6) months of the client signing a contract with us, assuming that all the information and documents we request from the client are provided to us promptly. Implementation of the recommendations will be at the discretion of the client.
C. Explanation of whether (and, if so, how) we tailor our advisory services to the individual needs of clients, whether clients may impose restrictions on investing in certain securities or types of securities.
(i) Individual Tailoring of Advice to Clients:
We offer individualized investment advice to clients utilizing the following services offered by our firm: Asset Management, risk management, portfolio management, and portfolio analysis. Additionally, we offer general investment advice to clients utilizing the following services offered by our firm: Financial Planning and Consulting.
(ii) Ability of Clients to Impose Restrictions on Investing in Certain Securities or Types of Securities:
We allow clients to impose reasonable restrictions on investing in certain securities or types of securities. These restrictions would be limited to the following services: Asset Management. We do not manage assets through our other services.
D. Participation in wrap fee programs.
We do not offer or participate in wrap fee programs.
E. Disclosure of the amount of client assets we manage on a discretionary basis as of 12/31/2017.
We manage $21,750,132 on a discretionary basis as of 12/31/2017
Item 5 – Fees and Compensation
All fees are subject to negotiation.
The specific manner in which fees are charged by Alpha Global Investments is established in a client’s written agreement with Alpha Global Investments. Alpha Global Investments will generally bill its fees on a quarterly basis. Clients may elect to be billed in advance or arrears each calendar quarter. Clients may also elect to be billed directly for fees or to authorize Alpha Global Investments to directly debit fees from client accounts. Management fees shall [or shall not] be prorated for each capital contribution and withdrawal made during the applicable calendar quarter (with the exception of de minimis contributions and withdrawals). Accounts initiated or terminated during a calendar quarter will be charged a prorated fee. Upon termination of any account, any prepaid, unearned fees will be promptly refunded, and any earned, unpaid fees will be due and payable.
Alpha Global Investments’ fees are exclusive of brokerage commissions, transaction fees, and other related costs and expenses, which shall be incurred by the client. Clients may incur certain charges imposed by custodians, brokers, third party investment and other third parties such as fees charged by managers, custodial fees, deferred sales charges, odd-lot differentials, transfer taxes, wire transfer and electronic fund fees, and other fees and taxes on brokerage accounts and securities transactions. Mutual funds and exchange traded funds also charge internal management fees, which are disclosed in a fund’s prospectus.
Such charges, fees and commissions are exclusive of and in addition to Alpha Global Investments’ fee, and Alpha Global Investments shall not receive any portion of these commissions, fees, and costs.
A. Description of how we are compensated for our advisory services provided to you.
Asset Management:
Our firm’s annual fees for investment management services provided under this Agreement shall be based on the market value of assets under management and shall be calculated as follows of all assets under management. These fees are billed on a pro-rata annualized basis quarterly in advance based on the value of your account on the last day of the previous quarter.
Account Size Annual Fee
Up to $500,000 1.00
Next $500,000 0.95
Next $1,000,000 0.85
Next $2,000,000 0.75
Next $6,000,000 0.60
Next $10,000,000 0.50
(ii) Financial Planning and Consulting:
We charge on a flat fee as well as an hourly fee for financial planning and consulting services. The total estimated fee, as well as the ultimate fee that we charge you, is based on the scope and complexity of our engagement with you. Our flat fees generally range from $500 to $15,000.
Our hourly fee is billed at $150.00 per hour.
(iii) 401K Planning:
Our firm’s annual fees for investment management services provided under this Agreement shall be based on the market value of assets under management and shall be calculated as follows of all assets under management. These fees are billed on a pro-rata annualized basis quarterly in advance based on the value of your account on the last day of the previous quarter.
Account Size Annual Fee
Up to $500,000 1.00
Next $500,000 0.95
Next $1,000,000 0.85
Next $2,000,000 0.75
Next $6,000,000 0.60
Next $10,000,000 0.50
Item 12 further describes the factors that Alpha Global Investments considers in selecting or recommending broker-dealers for client transactions and determining the reasonableness of their compensation (e.g., commissions).
Item 6 – Performance-Based Fees and Side-By-Side Management
Alpha Global Investments does not charge any performance-based fees (fees based on a share of capital gains on or capital appreciation of the assets of a client).
Item 7 – Types of Clients
Alpha Global Investments provides portfolio management services to individuals, high net worth individuals, corporate pension and profit-sharing plans, Taft-Hartley plans, charitable institutions, foundations, endowments, municipalities, registered mutual funds, private investment funds, trust programs, sovereign funds, foreign funds such as UCITs and SICAVs, and other U.S. and international institutions.
Item 8 – Methods of Analysis, Investment Strategies and Risk of Loss
Alpha Global Investments’ methods of analysis include charting analysis, fundamental analysis, technical analysis, and cyclical analysis.
Charting analysis - involves the use of patterns in performance charts. Alpha Global Investments uses this charting technique to search for patterns used to help predict favorable conditions for buying and/or selling a security.
Fundamental analysis - involves the analysis of financial statements, the general financial health of companies, and/or the analysis of management or competitive advantages.
Technical analysis - involves the analysis of past market data; primarily price and volume.
Cyclical analysis - involves the analysis of business cycles to find favorable conditions for buying and/or selling a security
Investing in securities involves a risk of loss that you, as a client, should be prepared to bear.
B. Material Risks Involved
Alpha Global Investments uses Long Term Trading, Short Term Trading, Short Sales, Margin Transactions, Options Writing (including covered options, uncovered options, or spreading strategies). Alpha Global Investments utilizes investment strategies that are designed to capture market rates of both return and risk. Frequent trading, when done, can affect investment performance, particularly through increased brokerage and other transaction costs and taxes. Short sales, margin transactions, and options writing generally hold greater risk and clients should be aware that there is a chance of material risk of loss using any of those strategies.
Investing in securities involves a risk of loss that you, as a client, should be prepared to bear.
C. Risks of Specific Securities Utilized
Alpha Global Investments utilizes a number of different securities, none of which include unusual risk. Naturally, certain investments carry risks specific to their asset class, such as political or currency risk from international or global investments, liquidity risk from real estate investments, inflation and interest rate risk from long bond investments, etc.
Investing in securities involves a risk of loss that you, as a client, should be prepared to bear.
Item 9 – Disciplinary Information
Registered investment advisers are required to disclose all material facts regarding any legal or disciplinary events that would be material to your evaluation of Alpha Global Investments or the integrity of Alpha Global Investments’ management. Alpha Global Investments has no information applicable to this Item.
Item 10 – Other Financial Industry Activities and Affiliations
We have no other financial industry activities and affiliations to disclose.
Item 11 – Code of Ethics
Alpha Global Investments has adopted a Code of Ethics for all supervised persons of the firm describing its high standard of business conduct, and fiduciary duty to its clients. The Code of Ethics includes provisions relating to the confidentiality of client information, a prohibition on insider trading, a prohibition of rumor mongering, restrictions on the acceptance of significant gifts and the reporting of certain gifts and business entertainment items, and personal securities trading procedures, among other things. All supervised persons at Alpha Global Investments must acknowledge the terms of the Code of Ethics annually, or as amended.
Alpha Global Investments anticipates that, in appropriate circumstances, consistent with clients’ investment objectives, it will cause accounts over which Alpha Global Investments has management authority to effect, and will recommend to investment advisory clients or prospective clients, the purchase or sale of securities in which Alpha Global Investments its affiliates and/or clients, directly or indirectly, have a position of interest. Alpha Global Investments’ employees and persons associated with Alpha Global Investments are required to follow Alpha Global Investments’ Code of Ethics. Subject to satisfying this policy and applicable laws, officers, directors and employees of Alpha Global Investments and its affiliates may trade for their own accounts in securities which are recommended to and/or purchased for Alpha Global Investments’ clients. The Code of Ethics is designed to assure that the personal securities transactions, activities and interests of the employees of Alpha Global Investments will not interfere with (i) making decisions in the best interest of advisory clients and (ii) implementing such decisions while, at the same time, allowing employees to invest for their own accounts. Under the Code certain classes of securities have been designated as exempt transactions, based upon a determination that these would materially not interfere with the best interest of Alpha Global Investments’ clients. In addition, the Code requires pre-clearance of many transactions, and restricts trading in close proximity to client trading activity. Nonetheless, because the Code of Ethics in some circumstances would permit employees to invest in the same securities as clients, there is a possibility that employees might benefit from market activity by a client in a security held by an employee. Employee trading is continually monitored under the Code of Ethics, and to reasonably prevent conflicts of interest between Alpha Global Investments and its clients.
Certain affiliated accounts may trade in the same securities with client accounts on an aggregated basis when consistent with Alpha Global Investments' obligation of best execution. In such circumstances, the affiliated and client accounts will share commission costs equally and receive securities at a total average price. Alpha Global Investments will retain records of the trade order (specifying each participating account) and its allocation, which will be completed prior to the entry of the aggregated order. Completed orders will be allocated as specified in the initial trade order. Partially filled orders will be allocated on a pro rata basis. Any exceptions will be explained on the Order.
Alpha Global Investments’ clients or prospective clients may request a copy of the firm's Code of Ethics by contacting Jeremy Gonzalez.
It is Alpha Global Investments’ policy that the firm will not affect any principal or agency cross securities transactions for client accounts. Alpha Global Investments will also not cross trades between client accounts. Principal transactions are generally defined as transactions where an adviser, acting as principal for its own account or the account of an affiliated broker-dealer, buys from or sells any security to any advisory client. A principal transaction may also be deemed to have occurred if a security is crossed between an affiliated hedge fund and another client account. An agency cross transaction is defined as a transaction where a person acts as an investment adviser in relation to a transaction in which the investment adviser, or any person controlled by or under common control with the investment adviser, acts as broker for both the advisory client and for another person on the other side of the transaction. Agency cross transactions may arise where an adviser is dually registered as a broker-dealer or has an affiliated broker-dealer.
Item 12 – Brokerage Practices
Alpha Global Investments has no soft dollar arrangements.
A. Factors Used to Select Custodians and/or Broker/Dealers
The Custodian was chosen based on their relatively low transaction fees and access to
mutual funds and ETFs. Alpha Global Investments will never charge a premium or commission on transactions, beyond the actual cost imposed by Custodian..
1. Research and Other Soft-Dollar Benefits
Alpha Global Investments receives no research, product, or service other than execution from a broker dealer or third-party in connection with client securities transactions (“soft dollar benefits”).
2. Brokerage for Client Referrals
Alpha Global Investments receives no referrals from a broker-dealer or third party in exchange for using that broker-dealer or third party. However other registered representatives of a broker-dealer routinely refer Alpha Global Investments clients, in the due course of specialization.
3. Clients Directing Which Broker/Dealer/Custodian to Use
Alpha Global Investments allows clients to direct brokerage. Alpha Global Investments may be unable to achieve most favorable execution of client transactions if clients choose to direct brokerage. This may cost clients money because without the ability to direct brokerage Alpha Global Investments may not be able to aggregate orders to reduce transactions costs resulting in higher brokerage commissions and less favorable prices.
B. Aggregating (Block) Trading for Multiple Client Accounts
Alpha Global Investments maintains the ability to block trades purchases across accounts but will rarely do so. While block trading may benefit clients buy purchasing larger blocks in groups, we do not feel that the clients are at a disadvantage due to the best execution practices of our custodian.
Item 13 – Review of Accounts
Client accounts are reviewed upon request or at least quarterly only by their assigned registered advisor. Each registered assigned advisor is instructed to review clients’ accounts with regards to their investment policies and risk tolerance levels.
All financial planning accounts are reviewed upon financial plan creation and plan delivery by the appropriate assigned registered advisor. There is only one level of review and that is the total review conducted to create the financial plan.
Reviews may be triggered by material market, economic or political events, or by changes in client's financial situations. Each client will receive a written report by request either annually, quarterly or monthly, detailing the clients account performance, which may come from the custodian.
Item 14 – Client Referrals and Other Compensation
A. If someone who is not a client provides an economic benefit to our firm for providing investment advice or other advisory services to our clients, we must generally describe the arrangement. For purposes of this Item, economic benefits include any sales awards or other prizes.
We have no additional arrangements to disclose.
B. If our firm or a related person directly or indirectly compensates any person who is not our employee for client referrals, we are required to describe the arrangement and the compensation.
We may pay referral fees (non-commission based) to independent solicitors (non-registered representatives) for the referral of their clients to our firm in accordance with relevant state statutes and rules. Such referral fee represents a share of our investment advisory fee charged to our clients. This arrangement will not result in higher costs to you. In this regard, we maintain Solicitors Agreements in compliance with relevant state statutes and rules and applicable state and federal laws. All clients referred by Solicitors to our firm will be given full written disclosure describing the terms and fee arrangements between our firm and Solicitor(s). In cases where state law requires licensure of solicitors, we ensure that no solicitation fees are paid unless the solicitor is registered as an investment adviser representative of our firm. If we are paying solicitation fees to another registered investment adviser, the licensure of individuals is the other firm’s responsibility
Item 15 – Custody
Clients should receive at least quarterly statements from the broker dealer, bank or other qualified custodian that holds and maintains client’s investment assets. Alpha Global Investments urges you to carefully review such statements and compare such official custodial records to the account statements that we may provide to you. Our statements may vary from custodial statements based on accounting procedures, reporting dates, or valuation methodologies of certain securities.
Item 16 – Investment Discretion
Alpha Global Investments usually receives discretionary authority from the client at the outset of an advisory relationship to select the identity and amount of securities to be bought of sold. In all cases, however, such discretion is to be exercised in a manner consistent with the stated investment objectives for the particular client account.
When selecting securities and determining amounts, Alpha Global Investments observes the investment policies, limitations and a restriction of the clients for which it advises. For registered investment companies, Alpha Global Investments’ authority to trade securities may also be limited by certain federal securities and tax laws that require diversification of investments and favor the holding of investments once made.
Investment guidelines and restrictions must be provided to Alpha Global Investments in writing.
Item 17 – Voting Client Securities
As a matter of firm policy and practice, Alpha Global Investments does not have any authority to and does not vote proxies on behalf of advisory clients. Clients retain the responsibility for receiving and voting proxies for any and all securities maintained in client portfolios. Alpha Global Investments may provide advice to clients regarding the clients’ voting of proxies.
Item 18 – Financial Information
Registered investment advisers are required in this Item to provide you with certain financial information or disclosures about Alpha Global Investments’ financial condition. Alpha Global Investments has no financial commitment that impairs its ability to meet contractual and fiduciary commitments to clients, and has not been the subject of a bankruptcy proceeding.
Item 19 – Requirements for State-Registered Advisers
A. Principal Executive Officers and Management Persons; Their Formal Education and Business Background:
Alpha Global Investments currently has one management person and one executive officer; Jeremy A. Gonzalez
Jeremy A. Gonzalez’ education and business background can be found on the Supplemental ADV Part 2B form.
B. Other Businesses in Which This Advisory Firm or its Personnel are Engaged and Time Spent on Those (If Any)
Jeremy A. Gonzalez has no other business activities.
C. How Performance Based Fees are Calculated and Degree of Risk to Clients
Alpha Global Investments does not charge performance - based fees.
D. Material Disciplinary Disclosures for Management Persons of this Firm
No management person at Alpha Global Investments has ever been involved in an arbitration claim of any kind or been found liable in a civil, self-regulatory organization, or administrative proceeding.
E. Material Relationships That Management Persons Have With Issuers of Securities (If Any)
Neither Alpha Global Investments, nor its management persons, has any relationship or arrangement with issuers of securities.
Form ADV 2B
Jeremy Gonzalez
Item 1- Cover Page
Jeremy A. Gonzalez
PO Box 127538, San Diego, CA 92112
Alpha Global Investments
PO Box 127538, San Diego, CA 92108
858-207-6100
1/08/2018
This Brochure Supplement provides information about Jeremy Gonzalez that supplements the Alpha Global Investments Brochure. You should have received a copy of that Brochure. Please contact Jeremy Gonzalez, President if you did not receive Alpha Global Investments’ Brochure or if you have any questions about the contents of this supplement.
Additional information about Jeremy Gonzalez is available on the SEC’s website at www.adviserinfo.sec.gov.
Item 2- Educational Background and Business Experience
Name: Jeremy A. Gonzalez
Date of Birth: 12/14/1975
Education:
School: Creighton University 1/2011 – 12/2013
Master’s of Security Analysis and Portfolio Management (MSAPM)
School: University of San Diego, 1994 - 1999
Major: Bachelors of Business Administration with an Emphasis in Finance
Minor: Biology
Professional Experience:
Alpha Global Investments, LLC
Title: Founder | CEO
TDAmeritrade, San Diego, CA 5/1/2008 -8-2010
Title: Investment Consultant
Pacific Coast Wealth Management, LLC , San Diego, CA 10/1/2004 – 4/30/2008
Title: President
Item 3- Disciplinary Information
Registered investment advisers are required to disclose all material facts regarding any legal or disciplinary events that would be material to your evaluation of each supervised person providing investment advice.
No information is applicable to this Item.
Item 4- Other Business Activities
- If Jeremy Gonzalez is actively engaged in any investment-related business or occupation, including if Jeremy Gonzalez is registered, or has an application pending to register, as a broker-dealer, registered representative of a broker-dealer, futures commission merchant (“FCM”), commodity pool operator (“CPO”), commodity trading advisor (“CTA”), or an associated person of an FCM, CPO, or CTA, disclose this fact and describe the business relationship, if any, between the advisory business and the other business.
Mr. Gonzalez currently holds a CA life, health, LTC, and Disability license with the state of California.
License Number 0D46138
- If a relationship between the advisory business and Jeremy Gonzalez’s other financial industry activities creates a material conflict of interest with clients, describe the nature of the conflict and generally how you address it. No information is applicable to this Item.
- If Jeremy Gonzalez receives commissions, bonuses or other compensation based on the sale of securities or other investment products, including as a broker-dealer or registered representative, and including distribution or service (“trail”) fees from the sale of mutual funds, disclose this fact. If this compensation is not cash, explain what type of compensation Jeremy Gonzalez receives. Explain that this practice gives Jeremy Gonzalez an incentive to recommend investment products based on the compensation received, rather than on the client’s needs.
Mr. Gonzalez currently holds a CA life, health, LTC, and Disability license with the State of California.
License Number 0D46138
- If Jeremy Gonzalez is actively engaged in any business or occupation for compensation not discussed in response to Item 4.A, above, and the other business activity or activities provide a substantial source of Jeremy Gonzalez income or involve a substantial amount of the Jeremy Gonzalez’ time, disclose this fact and describe the nature of that business. If the other business activities represent less than 10 percent of the Jeremy Gonzalez’ time and income, you may presume that they are not substantial.
No information is applicable to this Item.
Item 5- Additional Compensation
If someone who is not a client provides an economic benefit to Jeremy Gonzalez for providing advisory services, generally describe the arrangement. For purposes of this Item, economic benefits include sales awards and other prizes, but do not include Jeremy Gonzalez’ regular salary. Any bonus that is based, at least in part, on the number or amount of sales, client referrals, or new accounts should be considered an economic benefit, but other regular bonuses should not.
No information is applicable to this Item.
Item 6 - Supervision
We are required to explain how we supervise Jeremy Gonzalez, including how we monitor the advice Mr. Gonzalez provides to you. Our firm has to provide the name, title and telephone number of the person responsible for supervising Mr. Gonzalez’ advisory activities on behalf of our firm.
Mr. Gonzalez is the President and Chief Compliance Officer and as such has no internal supervision placed over him. He is however bound by our firm’s Code of Ethics
Item 7- Requirements for State-Registered Advisers
If you are registered or are registering with one or more state securities authorities, you must respond to the following additional Item.
A. In addition to the events listed in Item 3 of Part 2B, if Jeremy Gonzalez has been involved in one of the events listed below, disclose all material facts regarding the event.
1. An award or otherwise being found liable in an arbitration claim alleging damages in excess of $2,500, involving any of the following:
(a) an investment or an investment-related business or activity;
No information is applicable to this Item.
(b) fraud, false statement(s), or omissions;
No information is applicable to this Item.
(c) theft, embezzlement, or other wrongful taking of property;
No information is applicable to this Item.
(d) bribery, forgery, counterfeiting, or extortion; or
No information is applicable to this Item.
(e) dishonest, unfair, or unethical practices.
No information is applicable to this Item.
2. An award or otherwise being found liable in a civil, self-regulatory organization, or administrative proceeding involving any of the following:
(a) an investment or an investment-related business or activity;
No information is applicable to this Item.
(b) fraud, false statement(s), or omissions;
No information is applicable to this Item.
(c) theft, embezzlement, or other wrongful taking of property;
No information is applicable to this Item.
(d) bribery, forgery, counterfeiting, or extortion; or
No information is applicable to this Item.
(e) dishonest, unfair, or unethical practices.
No information is applicable to this Item.
1.) If the supervised person has been the subject of a bankruptcy petition, disclose that fact, the date the petition was first brought, and the current status.
No information is applicable to this Item.
Form ADV Part 2B
Richard Green
Item 1- Cover Page
Richard Green
13863 Recuerdo Drive Del Mar, CA 92014
Alpha Global Investments
PO Box 127538 San Diego, CA 92112
858-207-6100
1/08/2018
This Brochure Supplement provides information about Adam Franklin that supplements the Alpha Global Investments Brochure. You should have received a copy of that Brochure. Please contact Jeremy Gonzalez, President if you did not receive Alpha Global Investments’ Brochure or if you have any questions about the contents of this supplement.
Additional information about Richard Green is available on the SEC’s website at www.adviserinfo.sec.gov.
Item 2- Educational Background and Business Experience
Name: Richard Green
Date of Birth: 12/06/1969
Education:
B.S. Management Pennsylvania State University 1996
Professional Experience:
TD AMERITRADE, INC.
CRD# 7870
SAN DIEGO, CA
03/2005 - 10/2009
Investment Consultant
WM FINANCIAL SERVICES, INC.
CRD# 599
IRVINE, CA
07/2004 - 03/2005
Investment Consultant
A. G. EDWARDS & SONS, INC.
CRD# 4
ST. LOUIS, MO
09/2000 - 07/2004
Investment Consultant
Item 3- Disciplinary Information
Registered investment advisers are required to disclose all material facts regarding any legal or disciplinary events that would be material to your evaluation of each supervised person providing investment advice.
No information is applicable to this Item.
Item 4- Other Business Activities
- If Richard Green is actively engaged in any investment-related business or occupation, including if Richard Green is registered, or has an application pending to register, as a broker-dealer, registered representative of a broker-dealer, futures commission merchant (“FCM”), commodity pool operator (“CPO”), commodity trading advisor (“CTA”), or an associated person of an FCM, CPO, or CTA, disclose this fact and describe the business relationship, if any, between the advisory business and the other business.
Richard Green is a licensed with the California Department of Insurance
License#: 0E27116 License type: Accident, Health and Life Insurance are all commission based products.
- If a relationship between the advisory business Richard Green’s other financial industry activities creates a material conflict of interest with clients, describe the nature of the conflict and generally how you address it.
No information is applicable to this Item.
- If Richard Green receives commissions, bonuses or other compensation based on the sale of securities or other investment products, including as a broker-dealer or registered representative, and including distribution or service (“trail”) fees from the sale of mutual funds, disclose this fact. If this compensation is not cash, explain what type of compensation Richard Green receives. Explain that this practice gives Richard Green an incentive to recommend investment products based on the compensation received, rather than on the client’s needs.
Richard Green is a licensed with the California Department of Insurance
License#: 0E27116 License type: Accident, Health and Life Insurance are all commission based products.
- If Richard Green is actively engaged in any business or occupation for compensation not discussed in response to Item 4.A, above, and the other business activity or activities provide a substantial source of Richard Green income or involve a substantial amount of the Richard Green’s time, disclose this fact and describe the nature of that business. If the other business activities represent less than 10 percent of the Richard Green’s time and income, you may presume that they are not substantial.
Richard Green is a CTEC certified tax preparer. Mr. Green prepares taxes and does clerical work at Kodra and Associates, Inc. in San Diego, CA.
Item 5- Additional Compensation
If someone who is not a client provides an economic benefit to Richard Green for providing advisory services, generally describe the arrangement. For purposes of this Item, economic benefits include sales awards and other prizes, but do not include Richard Green’s salary. Any bonus that is based, at least in part, on the number or amount of sales, client referrals, or new accounts should be considered an economic benefit, but other regular bonuses should not.
No information is applicable to this Item.
Item 6 - Supervision
We are required to explain how we supervise Richard Green, including how we monitor the advice Mr. Green provides to you. Our firm has to provide the name, title and telephone number of the person responsible for supervising Mr. Richard Greens’ advisory activities on behalf of our firm.
Mr. Green is supervised by:
Name and Title: Jeremy Gonzalez President and Chief Compliance Officer.
Address: PO Box 127538, San Diego, CA. 92112.
Phone: 858-344-9548
In addition to Mr. Green being bound by our firm’s Code of Ethics, Mr. Gonzalez meets regularly with Mr. Green to review all client and prospect files, correspondence, and records to ensure that he is in compliance with regulatory requirements.
Item 7- Requirements for State-Registered Advisers
If you are registered or are registering with one or more state securities authorities, you must respond to the following additional Item.
A. In addition to the events listed in Item 3 of Part 2B, if Richard Green has been involved in one of the events listed below, disclose all material facts regarding the event.
1. An award or otherwise being found liable in an arbitration claim alleging damages in excess of $2,500, involving any of the following:
(a) an investment or an investment-related business or activity;
No information is applicable to this Item.
(b) fraud, false statement(s), or omissions;
No information is applicable to this Item.
(c) theft, embezzlement, or other wrongful taking of property;
No information is applicable to this Item.
(d) bribery, forgery, counterfeiting, or extortion; or
No information is applicable to this Item.
(e) dishonest, unfair, or unethical practices.
No information is applicable to this Item.
2. An award or otherwise being found liable in a civil, self-regulatory organization, or administrative proceeding involving any of the following:
(a) an investment or an investment-related business or activity;
No information is applicable to this Item.
(b) fraud, false statement(s), or omissions;
No information is applicable to this Item.
(c) theft, embezzlement, or other wrongful taking of property;
No information is applicable to this Item.
(d) bribery, forgery, counterfeiting, or extortion; or
No information is applicable to this Item.
(e) dishonest, unfair, or unethical practices.
No information is applicable to this Item.
1.) If the supervised person has been the subject of a bankruptcy petition, disclose that fact, the date the petition was first brought, and the current status.
No information is applicable to this Item.
