DISCIPLINED ALPHA LLC

B52
CRD 167254·SEC 801-77808·BOSTON, MA
AUM
$36.9M
$25M-$100M
Est. Revenue
$369K
@ 1% on AUM
Est. EBITDA
$111K
@ 30% margin
Est. Deal Value
$887K
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
DISCIPLINED ALPHA LLC
CRD
167254
SEC file #
801-77808
EIN
320471504
DBA names

Economics

AUM
$36.9M
AUM band
$25M-$100M
AUM trajectory
'20'26
$98.7M → $36.9M▼ -63%
Client mix
Pooled Investment Vehicles2
Investment Companies1
Other1

Operations

Employees (total)
3
Advisory staff (per ADV)
3
Advisory staff (5-yr trend)
'20'26
3 advisors → 3 advisors▬ 0%
Primary office
BOSTON MA
Branches

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Portfolio mgmt — investment companiesPortfolio mgmt — pooled vehiclesOther Advisory Services
Fee basis
% of AUMPerformance-based fees

Filings

Latest ADV filing
03/31/2026
ADV-W filed at

Compliance

Disclosures (firm)
0
Trademark
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
SHEA, KEVIN, WILLIAM
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
SHEA, KEVIN, WILLIAM
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
fallback_guess:disciplinedalpha.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001652868
Edgar Registered
Yes
Edgar Filing Count
4
Edgar First Filing Date
2015-09-10
Edgar Last Filing Date
2019-03-29
Edgar Form D Count
4
Edgar Form D Offerings
2019-03-292019-03-29 · 0001709496-19-000003
2018-03-302018-03-30 · 0001652868-18-000003

Compliance & brand

Firm Registration Status
active

All other collected signals (12)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
0
Bc Firm IAR Count
0
Custodian Candidates
Full
Charles Schwab6
E*trade4
Interactive Brokers3
Jpmorgan2
Edgar Addresses
Mailing
C/O DISCIPLINED ALPHA LLC50 ROWES WHARF, SUITE 512BOSTON, MA 02110
Business
C/O DISCIPLINED ALPHA LLC50 ROWES WHARF, SUITE 512BOSTON, MA 02110
Edgar EIN
320471504
Edgar Recent Filings
D/A2019-03-29 · 0001709496-19-000003
D/A2018-03-30 · 0001652868-18-000003
Firm Has Custody
Yes
Mailing Office Differs
No
Top Owner CRD
3173978
Trust Company Affiliate
No