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

306

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 an LLC that registers with the SEC (since 2009) and operates as an investment bank and independent broker-dealer. The firm functions as a capital allocator and serves both individual/family clients and institutional clients. Its revenue models include percentage-of-AUM fees, hourly charges and other fee arrangements. On the product side the firm acts as a broker-dealer and sells other financial products; its advisory activities include financial planning, portfolio management for individuals, pooled vehicles and institutions, and selection of other advisers. The firm does not identify as an active ESG investor on its filings.