Alphastar Capital Management

Registered investment adviser · Cornelius, NC · CRD #157423

Form ADV data as of 2026-09-01

Regulatory assets

$2.50 billion

Total accounts

15,795

Employees

150

Disclosure events

Firm details

Website: https://www.linkedin.com/company/alphastar-capital-management-llc/
Telephone: 855-340-2514
SEC file number: 801-72361
Most recent Form ADV filing: 2026-07-30
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 3 disclosure questions answered Yes, covering 4 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

Another regulator found a violation of investment-related regulations or statutes
Another regulator entered an order in connection with investment-related activity (past 10 years)
Currently subject to a civil proceeding that could result in a disclosure under 11.H.(1)

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$2.49 billion
Non-discretionary regulatory assets under management	$1.4 million
Total regulatory assets under management	$2.50 billion
Discretionary accounts	15,777
Non-discretionary accounts	18
Total accounts	15,795
Regulatory assets under management attributable to non-U.S. persons	$0

People

Total employees (excluding clerical)	150
Employees performing investment advisory functions (including research)	130
Employees who are registered representatives of a broker-dealer	5
Employees registered as investment adviser representatives with a state	128
Employees registered as IARs for another investment adviser	4
Employees who are licensed insurance agents	96
Firms or persons who solicit advisory clients on the firm's behalf	7

Custody

Has custody of client cash or bank accounts	Yes
Has custody of client securities	No
Client funds and securities held in the firm's custody	$649.0 million
Clients for whom the firm has custody	2,503
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No
Number of persons acting as qualified custodians for the firm's clients	2

How the firm is compensated

A percentage of assets under managementHourly chargesFixed fees (other than subscription fees)

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshopsOther

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerInsurance company or agency

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys or sells for itself securities it also recommends to clients
Recommends brokers or dealers to clients
Receives soft dollar benefits
Compensates a non-employee for client referrals
Receives compensation from others for client referrals

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	8,051	$1.44 billion
High net worth individuals	415	$790.6 million
Pension and profit sharing plans (not the participants or government plans)	20	$48.5 million
Charitable organizations	13	$3.8 million
Other investment advisers	5	$200.8 million
Corporations or other businesses not listed above	21	$8.8 million