SourcingSourcing

ALPHA DNA INVESTMENT MANAGEMENT LLC

C38
CRD 288198·SEC 801-119457·COLUMBIA, MD
AUM
$194.7M
$100M-$500M
Est. Revenue
$1.9M
@ 1% on AUM
Est. EBITDA
$584K
@ 30% margin
Est. Deal Value
$4.7M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
ALPHA DNA INVESTMENT MANAGEMENT LLC
CRD
288198
SEC file #
801-119457
EIN
832142783
DBA names
Alpha Dna Investment Management

Economics

AUM
$194.7M
AUM band
$100M-$500M
AUM trajectory
'21'26
$103.3M → $194.7M▲ +89%
Client mix
Individuals High Net Worth11
Individuals Other8
Other Investment Advisers7
Pooled Investment Vehicles2

Operations

Employees (total)
4
Advisory staff (per ADV)
4
Advisory staff (5-yr trend)
'21'26
4 advisors → 4 advisors▬ 0%
Primary office
COLUMBIA MD
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Portfolio mgmt — businessesOther Advisory Services
Fee basis
% of AUMPerformance-based fees

Filings

Latest ADV filing
03/19/2026
ADV-W filed at
—
Website
alphadnaim.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
FERBERT, WAYNE, PATRICK
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
FERBERT, WAYNE, PATRICK
Chartier, Joshua
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
ok
Rdap Domain
ALPHADNAIM.COM
Rdap Domain Creation Date
2017-03-15T15:14:28Z
Rdap Firm Age Years
9
Rdap Firm Age Band
5-10y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001843358
Edgar Registered
Yes
Edgar Filing Count
25
Edgar First Filing Date
2021-02-12
Edgar Last Filing Date
2026-05-13
Edgar 13f Count
23
Edgar 13f Latest AUM Estimate
Filing Date2026-05-13
Accession0001172661-26-001794
Edgar Former Names
Mach-1 Financial Group, Inc.

Compliance & brand

Firm Registration Status
active

All other collected signals (17)

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
2
Bc Firm IAR Count
2
Custodian Candidates
Full
Charles Schwab6
E*trade4
Interactive Brokers3
Edgar Addresses
Mailing
1001 S. 52ND STREETSUITE 100ROGERS, AR 72758
Business
1001 S. 52ND STREETSUITE 100ROGERS, AR 72758
Edgar EIN
832142783
Edgar Recent Filings
13F-HR2026-05-13 · 0001172661-26-001794
13F-HR2026-02-06 · 0001172661-26-000511
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-03-15T15:14:28Z
Rdap Domain Last Changed
2025-03-16T18:48:11Z
Rdap Nameservers
Ns19.domaincontrol.comNs20.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Top Owner CRD
4520127
Trust Company Affiliate
No

People (3)

3
FERBERT, WAYNE, PATRICK
IAR · Direct Owner · 87.5%
4520127
Chartier, Joshua
Direct Owner · 17.5%
8047714
Roderick John Fertig
IAR
7387490