TrueAdvisor
TrueAdvisor
BB
CFA
BB
CFA

Buddie Cloys Ballard

Alpha Capital Management
38 Years of Experience
6 Disclosures
View SEC Summary
View SEC Summary
Areas of Practice
Investment ManagementHigh Net Worth
Alpha Capital Management
Compensation
Fee-Only (AUM)
Firm Size
6 advisors
Number of Clients
432 clients
Average Client Portfolio
$1.8M average
Assets Under Management
$766.3M

Fee Structure

Minimum Investment:$100K
Financial Planning:Investment management only
AUM-Based Fees (Tiered)
Assets Under ManagementAnnual Fee
Up to $1.0M1.00%
$1M+1.00%

Accounts holding $1 million or more are assessed a fee lower than 1% at a negotiated level.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
Minimum Annual Fee:$50

Location

5407 Parkcrest Drive, 2nd Floor, Austin, TX, 78731

Get directions

History

Regulatory History (6)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
May 2003
Settled
Customer Dispute
February 2003
Settled
Customer Dispute
July 2002
Settled
Customer Dispute
June 2002
Settled
Customer Dispute
January 2002
Award / Judgment
Customer Dispute
April 1998
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Alpha Capital Management
September 2002 - Present · 23 yrs 5 mos
Previous Registrations
Wachovia Securities, INC.
November 1998 - September 2002 · 3 yrs 10 mos
Wachovia Securities, INC.Broker
November 1998 - September 2002 · 3 yrs 10 mos
Salomon Smith Barney INC.Broker
April 1994 - November 1998 · 4 yrs 7 mos
Everen Securities, INC.Broker
September 1990 - March 1994 · 3 yrs 6 mos
Lovett Underwood Neuhaus & Webb, INC.Broker
July 1990 - September 1990 · 2 mos
Masterson Moreland Sauer Whisman, INC.Broker
November 1989 - July 1990 · 8 mos
Underwood, Neuhaus & CO., IncorporatedBroker
January 1989 - November 1989 · 10 mos
Painewebber IncorporatedBroker
July 1987 - January 1989 · 1 yr 6 mos
New England Securities CorporationBroker
February 1987 - August 1987 · 6 mos
State Registrations1 state
TX
Advisor
Exams
No exam information available for this advisor.
Buddie Cloys Ballard - Financial Advisor | TrueAdvisor