Relevant. Experienced. Trustworthy.
Carl Dockery - President
Mr. Dockery's background spans two decades as an institutional investor and risk underwriter, crafting strategy and setting investment policy. As an administrator, he has provided day to day management of closely held asset pools, working closely with corporate and retail asset managers for accounts subject to both regulatory and private oversight. His purview at Alpha Advisors includes all investment strategy for a wide array of portfolios.
Under the leadership of Mr. Carl Dockery, serves as General Partner to Alpha Venture Capital Partners, LP, and Alpha Venture Capital Fund, LP. Mr. Dockery's prior employment includes serving as Secretary of Crossroads Insurance Co. Ltd, a Bermudian insurer (also licensed in Florida, Louisiana, and Grand Cayman), from 1988 to 2004; Vice President of Gulf Insurance Co. Ltd, a Caymanian reinsurer, from 1993 to 2008; and a Financial Advisor at Allen & Company of Florida, a regional broker/dealer, from 2001 to 2006.
During a twenty year career as an executive of two closely-held insurance companies, Mr. Dockery gained experience as an underwriter of risk, loss control specialist, corporate administrator, and institutional investor. Mr. Dockery previously worked in the London reinsurance market (brokerage and underwriting), directed primary loss control personnel in the field in Florida and Louisiana, administered corporate and regulatory operations in Bermuda and Grand Cayman, and regularly consulted with institutional asset managers in Atlanta, New York, and London on behalf of the insurance companies.
Mr. Dockery's experience includes working with specialized asset managers, formulating investment policies, and employing investment and asset allocation strategies to capitalize on prevailing economic trends. In 2006, Mr. Dockery founded Alpha Advisors, LLC, an investment advisor that is registered in the State of Florida. By 2008, Alpha Advisors was certified as an Investment Advisor by the Centre for Fiduciary Excellence (CEFEX), one of fewer than 100 firms worldwide to attain this certification. In 2010, Alpha Advisors was nationally recognized for its asset allocation strategies and portfolio construction methodology by Morningstar Advisor Magazine. Mr. Dockery's duties at Alpha Advisors include oversight of portfolio strategies and models, investment research, and risk analysis. Mr. Dockery received a B.A. in Humanities in 1984 from Southeastern University.
Andrea Dockery - Vice President
Ms. Dockery's twenty year business career began as an analyst with Dun & Bradstreet, where she became familiar with a wide variety of industries, scrutinizing financial, cyclical, and economic trends and their effect on businesses. She later was able to put her knowledge of finance and emerging technologies to work as a Financial Consultant for Smith Barney.
Shannon Hill - Research & Financial Planning
Ms. Hill is responsible for initiating and documenting the firm's investment research. She works with Mr. Dockery to implement research ideas, perform investment allocation, as well as portfolio construction, client reviews, and quarterly reports. Ms. Hill has completed a Masters Degree in financial Planning through the College for Financial Planning. Her duties also include trading, beta testing investment software, and assisting in creating financial plans.
Darcie McConnell - Operations Manager
As Operations Manager for Alpha Advisors, Ms. McConnell oversees all administrative, accounting and client service aspects at the firm. In addition to attaining both her Series 7 and 66 licenses, she has received the Chartered Retirement Planning Counselor designation. She has worked with Mr. Dockery since 1997 in various trusted roles, including assisting in the administration and operations of two closely held international entities.
"One can think of CEFEX as a quality assurance organization..."
-Carlos Panksep - Managing Director CEFEX
Being certified doesn't necessarily mean you're qualified, fortunately we're both. When it comes to trusting an advisor, shouldn't you ask yourself if they're qualified and why? We are happy to be in the distinguished group of CEFEX Certified Advisors.
Fiduciary Excellence Important To Every Investor!
As of September 1, 2017, Alpha Advisors is one of less than 100 CEFEX-certified Investment Advisors worldwide.
What is a fiduciary?
At Alpha Advisors we define a fiduciary as a person or organization acting and investing on the behalf of another. As such, the fiduciary assumes a special position of trust and owes his client undivided loyalty.
Why is it important to be a fiduciary?
Scandals, bankruptcies and lawsuits! It is crucial for fiduciaries to differentiate themselves through their excellent practices. A fiduciary maintains legal, ethical and professional responsibility to manage assets on an ongoing basis, in a prudent, protective and accountable manner. Transparency and consistency are among the essential qualities needed to fulfill this mandate.
As an independent, global assessment organization, the Centre for Fiduciary Excellence (CEFEX) provides comprehensive programs aimed to improve risk management and to determine the trustworthiness of investment fiduciaries. Staffed by industry experts, CEFEX serves those interested in assurance that their investments are being managed according to a standard of fiduciary excellence.
How has CEFEX defined the Standard of Practice for Fiduciaries?
Based on industry legislation, case law and/or regulatory opinion letters, CEFEX created practices and principles to define what a fiduciary is and verify how it should operate. The CEFEX Certification Program serves to measure registered firms’ adherence to the Prudent Practices for Investment Advisors (see www.cefex.org/fiduciary).
Recognizing that the investment industry is in a continual state of change, CEFEX assessment and certification criteria are the result of ongoing and extensive practical, academic, and professional consultation with industry experts.
How does a firm become CEFEX Certified?
CEFEX conducts assessments based on the International Organization for Standardization audit process ISO 19011 (guideline for quality and/or environmental system auditing, customized so as to align with the needs of the investment industry). Observance of these principles and processes ensures that CEFEX operates in a competent, consistent and impartial manner.
The assessment program includes initial and annual renewal assessments. A third party audit is performed to verify that the firm conforms to specified requirements, is capable of consistently achieving its stated objectives, and that its policies are effectively implemented. The CEFEX Registration Committee (CRC) makes the final decision for registration. The objective of the CRC is to ensure a rigorous evaluation of a candidate’s adherence to the Standard.
What are the benefits of hiring a CEFEX-certified firm?
It’s about excellence. CEFEX registration is an independent recognition of a firm’s conformity to measured standards. It implies that a fiduciary demonstrates adherence to the industry’s best practices, is committed to continually improving its organization and processes, and has positioned itself to earn the public’s trust.