Brogan Financial
Firm details
- Headquarters
- Knoxville, Tennessee
- CRD number
- 133623
- Registered since
- May 13, 2008
- Website
- broganfinancial.com
- 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
FINTRXOverview
Brogan Financial is a privately owned corporate RIA that has been SEC-registered since 2008. The firm serves both individual and family clients as well as institutional accounts and bills using a mix of percentage-of-AUM, hourly, and fixed fees. Its advisory work centers on portfolio management for individuals and small businesses, and the firm also provides educational seminars and workshops. Brogan Financial is not positioned as a multi-state adviser or an active ESG investor; it does not identify as a capital allocator or pension consultant and does not list related advisers. The firm maintains an industry affiliation with an insurance company, which aligns with its use of insurance-linked products in client solutions.
Assets & Accounts
Public Holdings
Investments & Alternatives
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Public Funds/Mutual Funds89%
- Exchange Traded Equities6%
- Cash & Cash Equivalents5%
Contacts
3 of 8
Jason Surdyk
ParaplannerCRD 7822820
James Brogan
President and FounderCRD 2470219
Tyler Stermetz
ParaplannerCRD 8181340
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 22Active vs passive
$260M in ETFs
25%
$64.4M
70%
$195M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| APTUS COLLARED INVESTMENT OPPORTUNITY ETF (ACIO) | Aptus Capital Advisors | Active | Options Trading | $89.6M | 1,941,690 | 34.49% |
Location
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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