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Chase Richard Thomas

Chase R. Thomas

ALPHA WEALTH FUNDS
Park City, UT 84060
Some features on this profile are disabled
CRD#: 6086393
Chase Richard Thomas

Professional summary

Chase Richard Thomas, CFP® is a registered financial advisor currently at ALPHA WEALTH FUNDS, LLC located in Park City, Utah.

Chase is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Chase has worked at 4 firms and has passed the Series 66, Series 63, SIE 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 advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Chase Richard Thomas'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®
CFP®

Certified Financial Planner

Start date: 2015

Experience

Current

April 6, 2018 - 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

July 28, 2015 - March 23, 2018

WILKINSON FINANCIAL LLC

RIA
CRD#: 169501
SOUTH JORDAN, UT
Past

April 3, 2014 - July 31, 2015

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
SALT LAKE CITY, UT
Past

September 3, 2012 - July 31, 2015

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SALT LAKE CITY, UT

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".
AW
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)

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
Alaska
(5/28/2025)
IAR
Colorado
(5/28/2025)
IAR
Illinois
(5/28/2025)
IAR
Nevada
(1/21/2026)
IAR
Puerto Rico
(5/28/2025)
IAR
Texas
(4/28/2023)
IAR
Utah
(4/9/2018)
IAR
Washington
(10/31/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/23/2014
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/10/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/31/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/31/2012
General Securities Representative Examination

Current Firm

AW
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)
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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
9

SEC notice filing (24 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts572
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.

Company Information

ALPHA WEALTH FUNDS, LLC

CRD#: 150231Park City, UT 84060

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