AG FINANCIAL

RIASEC RegisteredEst. 2006

Total AUM

$103M

Discretionary

$103M

99% of AUM

Avg account

$235K

Accounts

441

Employees

Advisory reps

Firm details

Headquarters: SALT LAKE CITY , Utah
CRD number: 140226
Registered since: April 19, 2006
Website: www.myagfinancial.com
Custodians: CHARLES SCHWAB & CO., INC.
Fee structure: Percentage of AUM, Fixed Fees
Client types: Individuals63.38%
HNWI18.6%
Charitable Organizations10.53%
Pension & Profit Sharing Plans6.69%
Corporations / Businesses0.81%
Services: Portfolio Management for IndividualsPortfolio Management for Pooled Investment VehiclesPortfolio Management for Institutional Clients

Firm profile

FINTRX

Overview

AG Financial is a privately held investment adviser that has operated under SEC registration since 2006. The firm serves both individual and family clients as well as institutional clients, and its advisory mandate covers portfolio management for individuals and small businesses, pooled investment vehicles, and institutional mandates. Fee arrangements include percentage-of-AUM pricing and fixed fees, and the firm reports a predominantly discretionary management approach. Investment activity shows a clear preference for pooled public funds and mutual funds as the primary vehicle for public market exposure, alongside notable allocations to external alternative managers covering real estate, commodities, and oil & gas. AG Financial is not positioned as an active ESG investor, and it does not report multi-state adviser status.