A.G.P. / Alliance Global Partners

Broker-DealerFINRA Member

Total AUM

$2.9B

Discretionary

$2.5B

83% of AUM

Accounts

7,490

Employees

332

Advisory reps

308

Brokerage reps

236

Firm details

Headquarters: Westport, Connecticut
CRD number: 8361
Registered since: June 15, 2009
Website: www.allianceg.com
Custodians: NATIONAL FINANCIAL SERVICES LLC, RBC CAPITAL MARKETS, LLC
Fee structure: Percentage of AUM, Hourly Charges, Other
Client types: HNWI47.42%
Individuals47.16%
Corporations / Businesses3.97%
Pension & Profit Sharing Plans1.27%
Charitable Organizations0.14%
Services: Financial PlanningPortfolio Management for IndividualsPortfolio Management for Pooled Investment VehiclesPortfolio Management for Institutional ClientsSelection of Other Advisers

Firm profile

FINTRX

Overview

A.G.P. / Alliance Global Partners is an investment bank and independent broker-dealer that combines capital-allocation activity with advisory services for individuals, families and institutional clients. The firm is SEC registered (initial registration year 2009) and operates as both a broker-dealer and a financial-product salesperson. Its advisory capabilities include financial planning, discretionary and non-discretionary portfolio management for individuals, small businesses and pooled investment vehicles, plus selection of other advisers. Revenue is generated through a mix of fee models, including percentage-of-AUM arrangements, hourly charges and other fee structures.