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AS

Andrew C. Spaventa

TSG ALPHA PARTNERS
OLD BRIDGE, NJ 08857
Some features on this profile are disabled
CRD#: 6175466
AS

Professional summary

Andrew Caputo Spaventa, who also goes by Andrew Caputo Spaventa, Andrew Spaventa, is a registered financial advisor currently at TSG ALPHA PARTNERS, LLC located in Old Bridge, New Jersey and TSG CAPITAL ADVISORS located in Ronkonkoma, New York.

Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Andrew has worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Andrew Caputo Spaventa | Andrew Spaventa

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 Andrew Caputo Spaventa'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 30, 2022 - Present

TSG ALPHA PARTNERS, LLC

Office #1: 3663 Route 9 N Suite 2, Old Bridge, NJ 08857
RIA
CRD#: 319493
OLD BRIDGE, NJ
Current

August 2, 2024 - Present

TSG CAPITAL ADVISORS

Office #1: 3275 Veterans Memorial Highway Suite B-9, Ronkonkoma, NY 11779
BD
CRD#: 147509
Ronkonkoma, NY
Past

November 15, 2023 - March 4, 2024

QUANTUM ADVISORY GROUP, LLC

RIA
CRD#: 286341
RONKONKOMA, NY
Past

October 18, 2018 - June 3, 2019

SW FINANCIAL

BD
CRD#: 145012
MELVILLE, NY
Past

September 13, 2017 - October 17, 2018

NETWORK 1 FINANCIAL SECURITIES INC.

BD
CRD#: 13577
Huntingon Station, NY
Past

March 31, 2014 - December 12, 2016

SW FINANCIAL

BD
CRD#: 145012
FARMINGDALE, NY
Past

March 29, 2013 - April 8, 2014

CAPE SECURITIES INC.

BD
CRD#: 7072
HOLBROOK, 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".
TA
TSG ALPHA PARTNERS, LLC
TSG ALPHA | TSG ALPHA PARTNERS, LLC

CRD#: 319493 / SEC#: 801-131801

RIA
Registered Investment Advisory firm - (2/7/2025 Approved)
Florida
Registered Investment Advisory firm - (2/18/2025 Terminated)
Louisiana
Registered Investment Advisory firm - (2/18/2025 Terminated)
New Jersey
Registered Investment Advisory firm - (2/27/2025 Terminated)
New York
Registered Investment Advisory firm - (2/18/2025 Terminated)
Texas
Registered Investment Advisory firm - (2/18/2025 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
New York
(8/30/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/1/2021
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/5/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/27/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/4/2024
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/28/2013
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/15/2024
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TA
TSG ALPHA PARTNERS, LLC
TSG ALPHA | TSG ALPHA PARTNERS, LLC

CRD#: 319493 / SEC#: 801-131801

RIA
Registered Investment Advisory firm - (2/7/2025 Approved)
Florida
Registered Investment Advisory firm - (2/18/2025 Terminated)
Louisiana
Registered Investment Advisory firm - (2/18/2025 Terminated)
New Jersey
Registered Investment Advisory firm - (2/27/2025 Terminated)
New York
Registered Investment Advisory firm - (2/18/2025 Terminated)
Texas
Registered Investment Advisory firm - (2/18/2025 Terminated)
PREMIUM
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Contact information

Main Address
35 Journal Square Suite 700, Jersey City, NJ 07036
Mailing Address
Phone number
(631) 403-5364
Established
Firm type
Fiscal year end
# of Employees
7

SEC notice filing (14 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

TSG ALPHA PARTNERS - PRIVATE FUND BROCHURE (7/10/2025)
TSG ALPHA PARTNERS, LLC - FIRM BROCHURE (7/10/2025)

Regulatory assets under management

Total Number of Accounts96
AUM (Assets Under Management)$ 75,424,005

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

TSG ALPHA PARTNERS, LLC

CRD#: 319493Old Bridge, NJ 08857

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