# ALPHASTAR CAPITAL MANAGEMENT, LLC

ALPHASTAR CAPITAL MANAGEMENT, LLC of CORNELIUS, NC is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 157423
- Type: SEC-registered investment adviser
- SEC file number: 801-72361
- Location: 19520 WEST CATAWBA AVENUE, SUITE 112, CORNELIUS, NC, 28031
- Phone: 855-340-2514
- Latest filing: 2026-07-30
- Regulatory AUM: $2.5B
- Discretionary AUM: $2.5B
- Non-discretionary AUM: $1.4M
- Clients: 150
- Accounts: 15,795

## Business model

- Compensation: % of AUM, Hourly, Fixed
- Clients served: Individuals, High net worth, Pensions, Charities, Other

## Officers, owners & control persons (36)

_Showing 25 of 36 people._

| Name | Role | Location |
| --- | --- | --- |
| Ross A Glenn | MEMBER | Amarillo, TX |
| James Ryan Cooper | MEMBER; TRUSTEE | — |
| William Henry Cain | MEMBER; TRUSTEE | — |
| Brian Kenji Williams | MANAGING PARTNER; MANAGING PARTNER, PRESIDENT; TRUSTEE | — |
| Michael Evans Mullan | MEMBER; TRUSTEE | — |
| Ericka Adams Cain | MEMBER; TRUSTEE | — |
| Christi Morgan Johnson | TRUSTEE | — |
| Laura Beth Furner | CHIEF OPERATING OFFICER; CHIEF OPERATIONS OFFICER | — |
| Nicholas Glenn Ross | MEMBER; TRUSTEE | — |
| Anthony John Parish | CHIEF INVESTMENT OFFICER / MEMBER | — |
| Julie Wilburn Starr | CHIEF FINANCIAL OFFICER | — |
| Anitra Cassas | GENERAL COUNSEL | — |
| Daniel Timothy Lantz | CHIEF COMPLIANCE OFFICER | — |
| Derek A Gubala | CO-PRESIDENT | — |
| Casey Kellen Mcintyre | CO-PRESIDENT | — |
| Matthew Ashley Swendiman | CHIEF COMPLIANCE OFFICER | — |
| Paul Brian Stetz | PRESIDENT | — |
| SWENDIMAN MATTHEW ASHLEY | CHIEF COMPLIANCE OFFICER | — |
| OSTERINK STEVEN MARK | CHIEF INVESTMENT OFFICER | — |
| COOPER JAMES RYAN | MEMBER | — |
| CAIN WILLIAM HENRY | MEMBER | — |
| WILLIAMS BRIAN KENJI | CHIEF COMPLIANCE OFFICER; MANAGING MEMBER; MANAGING MEMBER / CEO (+2 more) | — |
| GRAHAM PHILIP JON | MEMBER | — |
| MULLAN MICHAEL EVANS | MEMBER | — |
| CAIN ERICKA ADAMS | MEMBER | — |


## Disclosures (13)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2025-07-10 | civil | PLAINTIFFS SEEK REIMBURSEMENT FOR LOSSES ALLEGEDLY CAUSED BY THE RECOMMENDATION OF CERTAIN ANNUITIES AND AN INDEXED UNIVERSAL LIFE INSURANCE POLICY AS PART OF AN INVESTMENT STRATEGY THAT WAS ALLEGEDLY NOT IN BEST INTEREST OF, OR SUITABLE FOR, CLIENTS TO PURCHASE WITH THEIR RETIREMENT SAVINGS. MR. ST… | Pending | — |
| 2025-04-22 | civil | PLAINTIFFS SEEK REIMBURSEMENT FOR LOSSES ALLEGEDLY CAUSED BY THE RECOMMENDATION OF CERTAIN ANNUITIES AS PART OF AN INVESTMENT STRATEGY THAT WAS ALLEGEDLY NOT IN BEST INTEREST OF, OR SUITABLE FOR, CLIENTS TO PURCHASE WITH THEIR RETIREMENT SAVINGS. MR. STANLEY DENIES ALL ALLEGATIONS. | Pending | — |
| 2024-11-15 | regulatory | IN APRIL 2024, ALPHASTAR FILED A FORM U-4 SEEKING REGISTRATION OF AN INVESTMENT ADVISER REPRESENTATIVE IN MASSACHUSETTS; HOWEVER, THE FORMER CCO INADVERTENTLY OVERLOOKED THE ADDITIONAL REQUIREMENT OF A CORI FORM. ALPHASTAR PROMPTLY CORRECTED THE ERROR UPON DISCOVERING THE OVERSIGHT, BUT IT CAUSED A… | Final | $15K |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/157423/brochure
- Similar advisers: https://search.stillhousedata.com/firm/157423/similar
- Related entities: https://search.stillhousedata.com/firm/157423/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/157423

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.