Hans P. Ewert

ALPHA CUBED INVESTMENTS

COSTA MESA, CA 92626

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CRD#: 4358175

Professional summary

Hans Peter Ewert, who also goes by Hans Peter Ewert, is a registered financial advisor currently at ALPHA CUBED INVESTMENTS, LLC located in Costa Mesa, California and THE LEADERS GROUP, INC. located in Summit, New Jersey.

Hans is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Hans has worked at 12 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Hans Peter Ewert

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.

1.) ALPHA CUBED INVESTMENTS. 1124 Bristol Street, Costa Mesa, CA 92626. Wealth Advisor, Senior Vice President. START DATE 06/2011. INVESTMENT RELATED. 25 HRS PER WEEK/ 100 HRS PER MONTH. REFERRING INDIVIDUALS. 2.) The Leader's Group; investment related; start date 04/2012; up to 4 hours per week, 0 during trading hours. Sale of annuities or insurance products as suitable for clients 3.) Insurance Sales - 1124 Bristol Street, Costa Mesa, CA 92626 - Insurance Agent, fixed insurance sales, Not Inv't Rel, 2 hrs/mo; 0 hrs/mo (during trading hours).

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hans Peter Ewert'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

December 8, 2011 - Present

ALPHA CUBED INVESTMENTS, LLC

Office #1: 1124 Bristol St., Costa Mesa, CA 92626

RIA

CRD#: 159347

COSTA MESA, CA

Current

April 24, 2012 - Present

THE LEADERS GROUP, INC.

CRD#: 7665

SAN FRANCISCO, CA

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 CUBED INVESTMENTS, LLC

ALPHA CUBED INVESTMENTS, LLC | ALPHA RISK INVESTMENTS, LLC | ALPHA RISK INVESTMENTS

CRD#: 159347 / SEC#: 801-77372

RIA

Registered Investment Advisory firm - (11/15/2012 Approved)

California

Registered Investment Advisory firm - (2/16/2013 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(5/8/2017)

IAR

California
(12/8/2011)

California
(4/24/2012)

Colorado
(8/23/2017)

Connecticut
(8/5/2022)

Idaho
(12/3/2020)

Minnesota
(8/3/2017)

Nevada
(8/12/2022)

Texas
(1/3/2025)

Washington
(11/2/2016)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/25/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/15/2001

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ALPHA CUBED INVESTMENTS, LLC

ALPHA CUBED INVESTMENTS, LLC | ALPHA RISK INVESTMENTS, LLC | ALPHA RISK INVESTMENTS

CRD#: 159347 / SEC#: 801-77372

RIA

Registered Investment Advisory firm - (11/15/2012 Approved)

California

Registered Investment Advisory firm - (2/16/2013 Terminated)

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Contact information

Main Address

1124 Bristol St., Costa Mesa, CA 92626

Mailing Address

Phone number

(800) 701-2457

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (43 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (4/1/2025)

Regulatory assets under management

Total Number of Accounts	4,786
AUM (Assets Under Management)	$ 3,026,637,539

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.

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Firm Stability Insights

Hans P. Ewert

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hans Peter Ewert's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE LEADERS GROUP, INC.

MUTUAL SECURITIES, INC.

TRW INVESTMENTS

LATITUDE ADVISORS, LLC

GWN SECURITIES INC.

MEDALLION INVESTMENT SERVICES, INC.

MEDALLION ADVISORY SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

ATLAS SECURITIES, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO SECURITIES, LLC

Primary Firm SEC Registration

ALPHA CUBED INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/25/2002

SIE

Date: 10/1/2018

Series 7

Date: 6/15/2001

FINRA

Current Firm

ALPHA CUBED INVESTMENTS, LLC

Contact information

SEC notice filing (43 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALPHA CUBED INVESTMENTS, LLC

TRUST BUT VERIFY

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