Dominic M. Ross

ALPHA WEALTH FUNDS

Addison, TX

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CRD#: 7540852

Professional summary

Dominic Mackenzie Ross, who also goes by Dominic Ross, Dominic M Ross, Dominic Mackenzie Ross, is a registered financial advisor currently at ALPHA WEALTH FUNDS, LLC located in Addison, Texas.

Dominic is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Dominic has worked at 6 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dominic Ross | Dominic M Ross | Dominic Mackenzie Ross

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 Dominic Mackenzie Ross'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

February 24, 2026 - Present

ALPHA WEALTH FUNDS, LLC

RIA

CRD#: 150231

Addison, TX

Past

August 23, 2024 - January 9, 2026

ALLWORTH FINANCIAL, L.P.

RIA

CRD#: 111167

ADDISON, TX

Past

August 23, 2024 - January 9, 2026

AW SECURITIES

CRD#: 103747

FOLSOM, CA

Past

October 31, 2023 - August 20, 2024

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

Frisco, TX

Past

October 31, 2023 - August 20, 2024

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

Frisco, TX

Past

November 17, 2022 - July 31, 2023

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

WESTLAKE, TX

Past

July 19, 2022 - July 28, 2023

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

WESTLAKE, TX

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 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)

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

Texas
(2/24/2026)

IAR

Utah
(2/27/2026)

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 66

Date: 9/27/2022

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/19/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 6/7/2022

Securities Industry Essentials Examination

Current Firm

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

SEC notice filing (24 States and Territories)

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 Accounts	572
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.

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Firm Stability Insights

Dominic M. Ross

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dominic Mackenzie Ross's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLWORTH FINANCIAL, L.P.

AW SECURITIES

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

ALPHA WEALTH FUNDS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/27/2022

Series 7TO

Date: 7/19/2022

SIE

Date: 6/7/2022

Current Firm

ALPHA WEALTH FUNDS, LLC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALPHA WEALTH FUNDS, LLC

TRUST BUT VERIFY

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