A.G.P. / Alliance Global Partners

Broker-DealerFINRA MemberEst. 2009

Total AUM

$2.3B

Discretionary

$1.9B

82% of AUM

Accounts

6,959

Employees

320

Advisory reps

300

Brokerage reps

258

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: Individuals49.97%
HNWI42.48%
Corporations / Businesses4.56%
Pension & Profit Sharing Plans2.78%
Charitable Organizations0.15%
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 operates as a hybrid broker-dealer and advisory firm that combines capital-allocation activity with retail and institutional client work. The firm is structured as an LLC and has been registered with the SEC since 2009. Its client mix includes individuals, families and institutional accounts, and it provides a range of advisory services: financial planning, portfolio management for individuals and pooled vehicles, institutional portfolio management and selection of other advisers. It also functions as a salesperson of financial products. Fee arrangements include percentage-of-AUM billing, hourly charges and other fee models. The firm does not identify as an active ESG investor.