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

307

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 is a limited liability company that operates as both an investment bank and an independent broker-dealer. The firm, SEC-registered since 2009, serves individual and family clients as well as institutional investors and positions itself as a capital allocator and adviser that can also select outside managers. It provides a mix of broker-dealer services and advisory capabilities, including financial planning, portfolio management for individuals and small businesses, management of pooled investment vehicles, institutional portfolio management, and the selection of other advisers. Compensation is a blend of percentage-of-AUM fees, hourly charges and other fee arrangements. The firm does not identify itself as an active ESG investor on its filings.