BROGAN FINANCIAL

RIASEC RegisteredEst. 2008
Total AUM
$577M
Discretionary
$566M
98% of AUM
Avg account
$276K
Accounts
2,093
Employees
31
Advisory reps
7

Firm details

Headquarters
KNOXVILLE, Tennessee
CRD number
133623
Registered since
May 13, 2008
Custodians
CHARLES SCHWAB & CO., INC.
Fee structure
Percentage of AUM, Hourly Charges, Fixed Fees
Client types
  • HNWI56.75%
  • Individuals41.63%
  • Corporations / Businesses1.46%
  • Charitable Organizations0.16%
Services
Portfolio Management for IndividualsEducational Seminars / Workshops

Firm profile

FINTRX

Overview

Brogan Financial is an insurance-focused broker-dealer that provides portfolio management for individuals and small businesses and runs educational seminars and workshops. The firm is structured as a corporation, privately owned, and has been SEC-registered since 2008. Its client mix includes both individual/family and institutional relationships. Fee arrangements include percentage-of-AUM billing, hourly charges, and fixed fees. Brogan Financial does not describe itself as an ESG investor or a multi-state adviser, and it does not act as a pension consultant or related adviser.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

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CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Public Funds/Mutual Funds 89%, Exchange Traded Equities 6%, Cash & Cash Equivalents 5%89%
  • Public Funds/Mutual Funds89%
  • Exchange Traded Equities6%
  • Cash & Cash Equivalents5%

Contacts

3 of 7
  • Jason Surdyk

    ParaplannerCRD 7822820

  • JAMES BROGAN

    ​President and FounderCRD 2470219

  • SARAH SUTTON

    Compliance PrincipalCRD 4151257

Unlock 4 more contacts

Wealth teams

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Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

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ETF holdings

1 of 19

Active vs passive

$237M in ETFs

Passive

24%

$57.5M

Active

71%

$179M

ETFProviderStyleCategoryValueShares% of portfolio
APTUS COLLARED INVESTMENT OPPORTUNITY ETF (ACIO) Aptus Capital AdvisorsActiveOptions Trading$81.7M1,945,96334.50%

Location

Primary office

KNOXVILLE, TN

KNOX

Location

KNOXVILLE, TN

Headquartered in KNOXVILLE, TN, anchoring the Knoxville-Morristown-Sevierville, TN metro in the South.

Metro area
Knoxville-Morristown-Sevierville, TN
Region
South
County
KNOX
Address
2160 Lakeside Centre Way
Time zone
CT (UTC-6)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth