Alethea Capital Management, LLC

Alethea Capital Management, LLC is an investment adviser registered with the SEC, operating since March 2011 under the ownership of principal Tony Hsu. The firm offers financial planning, consulting, and investment management services, requiring clients to sign an investment management agreement. Clients can engage the firm to manage all or a portion of their assets on a discretionary basis, with services tailored to individual needs. The firm may recommend investments in private placement securities and affiliated funds. As of December 31, 2024, the firm managed $196,055,931 in assets on a discretionary basis. Fees are charged as an annual percentage of assets under management, ranging from 0.50% to 2.00%. Clients may also incur additional charges from third parties. The firm may charge a performance-based fee of up to 20% of net account performance. Investment strategies include domestic equity, long/short, global macro multi-strategy, and global dynamic income. Methods of analysis include fundamental, technical, and quantitative analysis. Risks associated with investments are disclosed, including risks related to mutual funds, ETFs, options, and private pooled investment vehicles. The firm exercises investment discretion over client accounts and may vote proxies on behalf of clients. Clients are encouraged to review account statements and reports provided by the custodian. The firm does not require prepayment of fees exceeding $1,200 or have any financial conditions impairing its ability to meet commitments.