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| Alethea Capital Management LLC
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|---|---|
| CRD # | 156500 |
| SEC # | 801-72176 |
| CIK # | 0001549408 |
| AUM | 302.6 M (2026-03-31) |
| Employees | 4 (25% Investors, 0% Brokers) |
| Phone | 858-926-2058 |
| Address | |
| Source | [IAPD] [EDGAR] [Website] [Twitter] [LinkedIn] |
| Total AUM ($M) |
|---|
| Sector | Form 13F Holdings | Value ($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 |
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