AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
RS

Richard L. Sun

ALPHAAI CAPITAL MANAGEMENT
San Francisco, CA
Some features on this profile are disabled
CRD#: 6211635
RS

Professional summary

Richard Liu Sun is a registered financial advisor currently at ALPHAAI CAPITAL MANAGEMENT located in San Francisco, California.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Richard has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 79 exams.

top-8-questions

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 Richard Liu Sun'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

January 6, 2023 - Present

ALPHAAI CAPITAL MANAGEMENT

RIA
CRD#: 316128
San Francisco, CA
Past

August 4, 2014 - April 21, 2016

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
MENLO PARK, 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".
AC
ALPHAAI CAPITAL MANAGEMENT
ALPHAAI CAPITAL MANAGEMENT | ALPHAAI CAPITAL MANAGEMENT LLC

CRD#: 316128 / SEC#: 801-122266

RIA
Registered Investment Advisory firm - (9/16/2021 Approved)

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
(1/6/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/26/2021
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/11/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/21/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 8/4/2014
Investment Banking Registered Representative Examination

Current Firm

AC
ALPHAAI CAPITAL MANAGEMENT
ALPHAAI CAPITAL MANAGEMENT | ALPHAAI CAPITAL MANAGEMENT LLC

CRD#: 316128 / SEC#: 801-122266

RIA
Registered Investment Advisory firm - (9/16/2021 Approved)
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
San Francisco, CA
Mailing Address
Phone number
(913) 549-8289
Established
Firm type
Fiscal year end
# of Employees
1

SEC notice filing (1 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

ALPHAAI CAPITAL MANAGEMENT BROCHURE (2/7/2025)

Regulatory assets under management

Total Number of Accounts189
AUM (Assets Under Management)$ 3,792,195

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

ALPHAAI CAPITAL MANAGEMENT

CRD#: 316128San Francisco, CA

TRUST BUT VERIFY

Monitor Richard Sun

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.