# ALPHA ONE ASSET MANAGEMENT LLC

ALPHA ONE ASSET MANAGEMENT LLC of PASADENA, CA is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 338725
- Type: SEC-registered investment adviser
- SEC file number: 801-134758
- Location: 225 S. LAKE AVE, PASADENA, CA, 91101
- Phone: 213-688-8000
- Latest filing: 2025-10-15
- Regulatory AUM: $114.7M
- Discretionary AUM: $114.7M
- Clients: 9
- Accounts: 1

## Business model

- Compensation: % of AUM, Performance
- Clients served: Investment cos

## Officers, owners & control persons (5)

| Name | Role | Location |
| --- | --- | --- |
| [Matthew Bromberg](https://search.stillhousedata.com/person/126264) | SECRETARY AND GENERAL COUNSEL | London, X0 |
| [Francis N Paulino](https://search.stillhousedata.com/person/664629) | MANAGING DIRECTOR | — |
| [Erin Kathleen Preston](https://search.stillhousedata.com/person/665396) | CHIEF COMPLIANCE OFFICER | — |
| [Samantha Kirkman](https://search.stillhousedata.com/person/678382) | CHIEF FINANCIAL OFFICER | — |
| [Kevin Donald White](https://search.stillhousedata.com/person/678383) | CHIEF EXECUTIVE OFFICER AND PRESIDENT | — |


## Disclosures (6)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2017-03-13 | civil | VIOLATION OF FIDUCIARY DUTIES UNDER ERISA AND ENGAGING IN PROHIBITED TRANSACTIONS | Final | $209K |
| — | regulatory | — | — | — |
| — | civil | — | — | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/338725/brochure
- Similar advisers: https://search.stillhousedata.com/firm/338725/similar
- Related entities: https://search.stillhousedata.com/firm/338725/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/338725

---

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.