Alex J. Gutt

ALPENGLOBAL CAPITAL

Tahoe City, CA

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CRD#: 5122703

Professional summary

Alex John Gutt is a registered financial advisor currently at ALPENGLOBAL CAPITAL, LLC located in Tahoe City, California.

Alex is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Alex has worked at 1 firm and has passed the Series 65 exam.

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 advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alex John Gutt'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

August 10, 2006 - Present

ALPENGLOBAL CAPITAL, LLC

RIA

CRD#: 140186

Tahoe City, 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".

ALPENGLOBAL CAPITAL, LLC

CRD#: 140186 / SEC#: 801-119789

RIA

Registered Investment Advisory firm - (11/13/2020 Approved)

California

Registered Investment Advisory firm - (12/20/2020 Terminated)

Texas

Registered Investment Advisory firm - (11/20/2020 Terminated)

Washington

Registered Investment Advisory firm - (12/21/2020 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

California
(1/13/2021)

IAR

Texas
(5/18/2020)

IAR

Washington
(9/16/2013)

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: 6/13/2006

Uniform Investment Adviser Law Examination

Current Firm

ALPENGLOBAL CAPITAL, LLC

CRD#: 140186 / SEC#: 801-119789

RIA

Registered Investment Advisory firm - (11/13/2020 Approved)

California

Registered Investment Advisory firm - (12/20/2020 Terminated)

Texas

Registered Investment Advisory firm - (11/20/2020 Terminated)

Washington

Registered Investment Advisory firm - (12/21/2020 Terminated)

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Contact information

Main Address

Tahoe City, CA

Mailing Address

P.o. Box 153, Tahoe City, CA 96145

Phone number

415-424-4005 XT. 21

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ALPENGLOBAL CAPITAL FORM ADV PARTS 2A AND 2B - FEBRUARY 2025 (2/27/2025)

Regulatory assets under management

Total Number of Accounts	281
AUM (Assets Under Management)	$ 169,021,238

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/21/2025	Cover Page	Report
10/06/2023	Cover Page	Report
02/01/2023	Cover Page	Report

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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Alex J. Gutt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alex John Gutt's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALPENGLOBAL CAPITAL, LLC

Primary Firm SEC Registration

ALPENGLOBAL CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/13/2006

Current Firm

ALPENGLOBAL CAPITAL, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ALPENGLOBAL CAPITAL, LLC

TRUST BUT VERIFY

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