Alethea Capital Management LLC

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Alethea Capital Management LLC ✚
CRD #	156500
SEC #	801-72176
CIK #	0001549408
AUM	302.6 M (2026-03-31)
Employees	4 (25% Investors, 0% Brokers)
Fees
Minimum
Phone	858-926-2058
Address
Source	[IAPD] [EDGAR] [Website] [Twitter] [LinkedIn]

Total AUM ($M) Copy

Account Minimums and Types of Clients — Form ADV Part 2A (3/31/2026) [Brochure]
Item 7: Types of Clients Our client base includes the following types of clients: • Individuals • High net worth individuals • Trusts and estates • Charitable organizations • Corporations and other business entities • Pooled investment vehicles

Account Minimums and Types of Clients — Form ADV Part 2A (3/31/2026) [Brochure]

Item 7: Types of Clients
Our client base includes the following types of clients:
    •   Individuals
    •   High net worth individuals
    •   Trusts and estates
    •   Charitable organizations
    •   Corporations and other business entities
    •   Pooled investment vehicles

Sector	Form 13F Holdings	Value ($M)
	Axsome Therapeutics Inc	109.7
	Zeta Acquisition Corp III	12.4
	Tempus AI Inc	1.4
	Wells Fargo & Co/MN	0.5
	Graphic Packaging Holding Co	0.2
	Immuneering Corp	0.1
	Taseko Mines Ltd	0.1
	Open Lending Corp	0.0

Holdings by Sector ($M)

Type	Form D Funds	Date	Sold	AUM
VC	Alethea Fulcrum Fund LP	[2019-05-06]	10.0 M	79.2 M
	Offered $30,000,000 · Filed 2019-05-22 (D) · Exemption 3(c), 3(c)(1) · Minimum $250,000 · Remaining $20,000,000 · Duration One year or less · Revenue Not Applicable
VC	Alethea Medtech Fund LP	[2018-03-30]	10.6 M	6.1 M
	Offered $10,563,903 · Filed 2019-02-14 (D) · Exemption 506(b), 3(c), 3(c)(1) · Minimum $250,000 · Duration One year or less · Revenue Decline to Disclose
VC	Alethea Biotech Fund II LP	[2017-01-26]	5.1 M
	Filed 2016-08-18 (D) · Exemption 506(b) · Minimum $35,000 · Remaining Indefinite · Duration More than one year · Net Assets $5,000,001 - $25,000,000
VC	Alethea Biotech Fund LP	[2014-03-04]	2.3 M	7.6 M
	Offered $2,277,000 · Filed 2014-02-11 (D) · Exemption 506(b) · Minimum $12,500 · Duration One year or less · Net Assets $1 - $5,000,000
HF	Alethea Global Equity Fund LP	[2014-03-04]	21.0 M	11.2 M
	Filed 2014-07-03 (D) · Exemption 506(b) · Minimum $15,000 · Remaining Indefinite · Duration More than one year · Net Assets $25,000,001 - $50,000,000

AUM Breakdown	Accounts	AUM ($M)
By Client Type
(a) Individuals (other than high net worth individuals)	10	6.2
(b) Individuals (high net worth individuals)	30	192.9
(c) Banking or thrift institutions	0	0.0
(d) Investment companies	0	0.0
(e) Business development companies	0	0.0
(f) Pooled investment vehicles	2	85.3
(g) Pension and profit sharing plans	0	0.0
(h) Charitable organizations	2	18.1
(i) State or municipal government entities	0	0.0
(j) Other investment advisers	1	0.0
(k) Insurance companies	0	0.0
(l) Sovereign wealth funds and foreign official institutions	0	0.0
(m) Corporations or other businesses not listed above	0	0.0
(n) Other	0	0.0
Total	117	302.6
By Discretionary
Discretionary	117	302.6
Non-Discretionary	0	0.0
Total	117	302.6
By Non-United States Persons
Non-United States Persons		0.4
United States Persons		302.2
Total	117	302.6

Form D Directors	Role	# Filings	# Firms	2011 - 2026
Tony Hsu	Executive Officer	10	3
Stephen Lafata	Executive Officer	2	1

EDGAR Form	CIK	2011 - 2026
13F-HR	[0001549408]

Firm Profile (Form ADV)
Discretionary AUM	$0.1B
Serves	Institutional, Retail
Fund Types	Hedge Fund

Comparable Firms	State	AUM
Ekanta Wealth Advisors LLC ✚	FL	306.7 M
Logica Capital Advisers LLC ✚	CA	304.6 M
MICA Creek Capital LLC ✚	CO	300.5 M
Westwood Wealth Management ✚	CA	300.4 M
Cloud Capital Management LLC ✚	WA	300.2 M
Southwind Associates of NJ Inc ✚		299.1 M
Roubaix Capital LLC ✚	CO	298.9 M
Kailasa Capital Management LLC ✚	PA	298.3 M
Unison Asset Management LLC ✚	FL	298.2 M
AVOS Capital Management LLC ✚	CT	297.8 M

Alethea Capital Management LLC

Assets, Funds, Holdings