James ALPha Management, LLC (New York)

Name: James ALPha Management, LLC
Address: 515 Madison Avenue, New York, NY, 10022
Telephone: 646-201-4042

James ALPha Management, LLC is a large advisory firm based in New York. It manages $111.33 million of regulatory assets for 2 client accounts. It has been registered with the SEC as an adviser since 2013 and has operated in the jurisdictions of Colorado and New York.

James ALPha Management provides portfolio management for individuals and small businesses and portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

James ALPha Management: assets under management

The assets under management (AUM) of James ALPha Management, LLC is $111.33 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -78% since the beginning of its operation, and $40.95 million of the total AUM is attributable to clients outside of the United States.

The firm manages $111.33 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $55.66 million each.

James ALPha Management has custody of $96.67 million in cash and securities for 3 clients in total and acts as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay James ALPha Management, LLC for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients James Samuel Vitalie serves?

The only and largest group of clients of James Samuel Vitalie is pooled investment vehicles with 3 clients and $111.33 million of assets under management. Among the 10 most similar advisory firms, James ALPha Management has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $111.33 million for 3 clients. 60% of the firm’s clients are foreign persons or businesses.

James ALPha Management also advises several private funds. Namely, one hedge fund. The minimum investment commitment required of non-related persons is $1,000,000 for each fund.

Careers at James ALPha Management, LLC

The company employs 9 people that are either part- or full-time employees. 44 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

James Samuel Vitalie has been acting as President since 1 Mar 2008. Elizabeth Anth joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Michael Montague	Chief compliance officer and chief operating officer	1 May 2006	Other	5121305
Denis James Nayden	Partner	1 May 2006	25% - 50%	2043240
Kevin Robert Greene	Managing partner	1 May 2006	25% - 50%	1295699
James Samuel Vitalie	President	1 Mar 2008	Other	2110559
James Samuel Vitalie	Vice president	1 Jan 2017	Other	2110559
Bruce Nelson Terry	President	1 Jan 2017	Other	1050190
Elizabeth Anth	Chief compliance officer	1 May 2017	Other	2942037

Based in New York

The principal office where James ALPha Management, LLC performs its advisory services is located at 515 Madison Avenue, New York, NY 10022, which is also the mailing address of the firm. An additional office of the firm is in Greenwood Village, CO. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 646-201-4042 or by fax 646-290-6676. The normal business hours are 9:00 - 5:00 on Monday - Friday. You can find more information about the New York firm at jamesalpha.com.