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Invesco Alpha Inc.

U.S. SECURITIES AND EXCHANGE COMMISSION

Litigation Release No. 26636 / September 11, 2026

Securities and Exchange Commission v. Invesco Alpha Inc.

, No. 1:25-cv-03651-NYW-KAS (D. Colo. filed Nov. 13, 2025)

SEC Obtains Final Judgment against Investment Adviser Charged with Making Misrepresentations in SEC Filing

On September 9, 2026, the U.S. District Court for the District of Colorado entered a final judgment by default against purported investment adviser Invesco Alpha Inc. in connection with previously filed charges for making material misrepresentations and unsubstantiated statements in a form filed with the SEC.

The SEC's complaint, filed on November 13, 2025, alleged that in its June 2024 Form ADV, Invesco Alpha represented that it is an Exempt Reporting Adviser (a category of private fund advisers that are not required to register with the SEC); that it operates from office space in the Denver area; that it manages $5 million in assets in the United States; that it advises a private fund; and that a separate registered investment adviser (RIA) reports information about the private fund on its own Form ADV. Contrary to Invesco Alpha's representations, the complaint alleged that the business occupant of the Denver-area office space had no knowledge of Invesco Alpha or its purported Chief Executive Officer, and the separate RIA had not reported information about the purported private fund. The complaint also alleged that the Commission had not found any reporting of information about the private fund on other filings with the SEC, and that a search of the Commission's public company database yielded no information on Invesco Alpha. Additionally, the SEC alleged that Invesco Alpha failed to respond to a request by Commission attorneys to provide records to substantiate the information on its Form ADV.

The final judgment permanently enjoins Invesco Alpha from future violations of Sections 204(a) and 207 of the Investment Advisers Act of 1940, and permanently enjoins Invesco Alpha, its owners, and its executive officers from filing a Form ADV as an Exempt Reporting Adviser. In addition, the judgment orders Invesco Alpha to pay a civil penalty of $1,182,254.

The SEC's litigation was conducted by Alexandra Lavin, Xinyue Angela Lin, David London, Sarah McAteer, Ryan Murphy, Michele Perillo, and Dahlia Rin of the SEC's Boston Regional Office. The SEC appreciates the assistance of the Financial Industry Regulatory Authority