Natalie Roberts
Chief Compliance Officer at AlphaCore Capital
Officer named in the firm’s Form ADV
Role as filed on 28 August 2026; public records checked on 17 September 2026.
Natalie Roberts is named as chief compliance officer in AlphaCore Capital LLC’s Form ADV. This profile reports the filed role and ownership band. Individual registration and examination information is unavailable for this profile.
Role at AlphaCore Capital#
- Title on Schedule A
- Chief Compliance Officer
- Control
- Schedule A reports this person as a control person of the adviser.
- Ownership
- Schedule A reports the under-5% ownership band (NA).
- Tenure
- Role reported since 05/2025.
The firm
AlphaCore Capital LLC$12.96B regulatory AUM · 70 advisory staff · 58 officesFirm profileTitle and ownership as reported on Schedules A and B of the firm's Form ADV. Ownership percentages are the SEC's reporting bands, not exact figures. View Schedule A in the filing
Career on record#
The firm's Form ADV Schedule A names this officer. The SEC IAPD individual lookup for CRD 6252039 did not return a public individual record when checked on 17 September 2026. This officer profile does not infer individual registration, examination, employment, office, or disclosure information from the firm filing.
The officer listing does not establish an individual registration history. View the IAPD record
Registrations and exams#
An officer title or CRD number on Form ADV does not establish current investment adviser representative registration. No registration or examination counts are inferred from limited or unavailable individual adviser information.
Individual adviser registrations and examinations are not presented in this officer profile. View the IAPD record
Regulatory record#
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one.
Where to check this individual's complete record, including any disciplinary history. View the IAPD record
Background#
Schedule A reports Natalie Theresa Roberts as a control person and Chief Compliance Officer, with the role acquired in 05/2025. Form ADV Part 1A, Schedule A
Background statements are attributed to the named source. Firm biographies are not regulatory records.
Common questions#
What is Natalie Theresa Roberts’s role?
Schedule A reports Natalie Theresa Roberts as a control person and Chief Compliance Officer, with the role acquired in 05/2025.
Source: Form ADV Part 1A, Schedule A
Why does this profile not list registrations or exams?
The SEC IAPD public individual record did not show an active investment-adviser employment when checked on 17 September 2026. This profile therefore states only the officer role filed by the firm.
Source: SEC IAPD individual lookup; Form ADV Part 1A, Schedule A
Answered from the records above.
Leadership at AlphaCore Capital#
Richard Gerard PfisterChief Executive Officer, President, Managing MemberCRD 2496887
Brian Leonard HabasChief Operating OfficerCRD 3009436
Eric Matthew GersterChief Investment OfficerCRD 6453485
The other officers and owners named on the firm's Schedule A.
Sources
- IAPD individual lookup, CRD 6252039. This profile uses the Form ADV officer listing; the individual lookup did not provide a current investment-adviser record.
- Form ADV Part 1A, Schedules A and B of AlphaCore Capital LLC, filed 28 August 2026. Title, control and ownership bands.
Retrieved 17 September 2026. The SEC record may have been amended since.
Report a correctionThis profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Simple Money is not affiliated with Natalie Roberts or AlphaCore Capital LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.
Simple Money Advisors LLC is a California-registered investment adviser. This page is not investment, tax, or legal advice and is not an offer of advisory services. Verify this individual's current record at adviserinfo.sec.gov and the firm's at its IAPD record before engaging an adviser. The portrait is reproduced from the firm’s website for identification.