Harvey W. Sax

ALPHA WEALTH FUNDS

Park City, UT 84060

Some features on this profile are disabled

CRD#: 1831458

Professional summary

Harvey Warren Sax is a registered financial advisor currently at ALPHA WEALTH FUNDS, LLC located in Park City, Utah.

Harvey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Harvey has worked at 7 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The Insomniac Hedge Fund Guy investment-related; Yes address; nature of the other business; AI-first financial chatbot position; Owner relationship with the other business; none start date; September 2025 hours/month you devote to the other business; Twenty Hours hours you devote to the other business during securities trading hours; Zero duties: product design, user experience testing and coordination with software developers

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Harvey Warren Sax's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 14, 2010 - Present

ALPHA WEALTH FUNDS, LLC

Office #1: 1887 Gold Dust Lane Suite 203 A, Park City, UT 84060

RIA

CRD#: 150231

Park City, UT

Past

February 2, 1996 - July 3, 1996

BUCKHEAD FINANCIAL CORPORATION

CRD#: 18398

Past

October 31, 1994 - February 2, 1996

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

February 22, 1994 - October 27, 1994

D. BLECH & COMPANY, INCORPORATED

CRD#: 26063

NEW YORK, NY

Past

August 11, 1992 - March 9, 1994

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

December 20, 1988 - August 5, 1992

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

May 25, 1988 - January 18, 1989

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ALPHA WEALTH FUNDS, LLC

ALPHA WEALTH FUNDS, LLC | HSAX & CO., LLC | H. SAX & CO., LLC | H. SAX & CO.

CRD#: 150231 / SEC#: 801-132551

RIA

Registered Investment Advisory firm - (4/25/2025 Approved)

North Carolina

Registered Investment Advisory firm - (2/17/2020 Terminated)

Texas

Registered Investment Advisory firm - (4/28/2025 Terminated)

Utah

Registered Investment Advisory firm - (4/28/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Utah
(4/14/2010)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/1/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/26/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 6/27/1988

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 5/21/1988

General Securities Representative Examination

Current Firm

ALPHA WEALTH FUNDS, LLC

ALPHA WEALTH FUNDS, LLC | HSAX & CO., LLC | H. SAX & CO., LLC | H. SAX & CO.

CRD#: 150231 / SEC#: 801-132551

RIA

Registered Investment Advisory firm - (4/25/2025 Approved)

North Carolina

Registered Investment Advisory firm - (2/17/2020 Terminated)

Texas

Registered Investment Advisory firm - (4/28/2025 Terminated)

Utah

Registered Investment Advisory firm - (4/28/2025 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1887 Gold Dust Lane Suite 203 A, Park City, UT 84060

Mailing Address

Phone number

(435) 269-4100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BROCHURE UPDATE- MARCH 2025 (9/15/2025)

Regulatory assets under management

Total Number of Accounts	572
AUM (Assets Under Management)	$ 190,022,617

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Tara Seegers

COMMONWEALTH FINANCIAL NETWORK

IAR

Colorado Spring, CO

Matthew Day

RBC CAPITAL MARKETS, LLC

IAR

STAMFORD, CT

Dalton Stockton

WELLS FARGO CLEARING SERVICES, LLC

IAR

ST. LOUIS, MO

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Harvey W. Sax

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Harvey Warren Sax's CRS (Customer Relationship Summary).

Certified licenses

Experience

BUCKHEAD FINANCIAL CORPORATION

CIBC WORLD MARKETS CORP.

D. BLECH & COMPANY, INCORPORATED

UBS FINANCIAL SERVICES INC.

J.P. MORGAN SECURITIES LLC

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

ALPHA WEALTH FUNDS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/1/2009

Series 63

Date: 5/26/1988

Series 3

Date: 6/27/1988

Series 7

Date: 5/21/1988

Current Firm

ALPHA WEALTH FUNDS, LLC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALPHA WEALTH FUNDS, LLC

TRUST BUT VERIFY

Similar Advisors