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Transparency is fundamental to trust. Here's our complete regulatory status.
AlphaAI StockX is currently in the process of registering as a Registered Investment Advisor (RIA) with the U.S. Securities and Exchange Commission.
Until our SEC registration is complete (expected Q2-Q3 2026), we operate as a technology platform in partnership with Alpaca Securities LLC, a FINRA-registered broker-dealer.
We do NOT provide personalized investment advice. All trading decisions are made solely by you.
Registered Investment Advisor Application
Status: Form ADV filing in progress
Expected Completion: Q2-Q3 2026 (12-18 months)
Investment Required: $500K-1M
Once approved, we will be able to provide personalized investment advice and portfolio management services.
Alpaca Securities LLC
Partner: Alpaca Securities LLC
Status: FINRA Member, SIPC Protected
CRD Number: 288202
All trades are executed through Alpaca's SEC-registered, FINRA-member broker-dealer platform with full SIPC protection.
Verify on FINRA BrokerCheck →Know Your Customer & Anti-Money Laundering
Current Status: Framework implemented, production integration pending
Planned Providers:
Timeline: Q1 2026 (2-3 months)
Investment: $100K-200K setup + $15K-60K/month
Custody & Insurance
Current Protection:
Future Enhancement: Direct bank custody partnership with Apex Clearing or BNY Mellon ($500K-1M setup, Q2 2026)
Industry Security Standards
Planned Certifications:
Current Security: AES-256 encryption, TLS 1.3, WAF, DDoS protection, penetration testing
Global Expansion Roadmap
Phase 1 (2026):
Phase 2 (2027):
Our Commitment:
We're building the most compliant, transparent AI trading platform in the industry. We will never cut corners on regulatory compliance. Every step of our registration process will be publicly disclosed here.
We're committed to transparency. If you have questions about our regulatory status, compliance procedures, or roadmap, please reach out.
Last Updated: October 21, 2025
This page is updated regularly as our compliance status changes. Check back frequently for the latest information.
Trading and investing involve substantial risk of loss. Past performance is not indicative of future results. This platform provides tools and technology only; we do not provide personalized investment advice.