Ag Asset Advisory, LLC

CRD#154406
Investment Advisor Firm

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Overview

Ag Asset Advisory, LLC is an advisory firm based in Los Angeles, California. Ag Asset Advisory, LLC has $293.8 million in assets over 147 accounts, placing it in the mid-tier of financial advisory firms in the country by assets under management (AUM). The company has a small team of three employees, of which two are financial advisors. Ag Asset Advisory, LLC is not a registered broker-dealer, meaning the company cannot buy and sell securities for its clients' and own accounts and instead has to go through a broker-dealer firm to do so. Securities are tradable fiscal investments like options, equities and bonds.

Ag Asset Advisory, LLC manages all of the company's client assets in a discretionary manner. Discretionary management is a structure in which transaction judgments are made by a portfolio manager without needing the client's authorization. Ag Asset Advisory, LLC administers roughly $2.0 million in assets for every customer account. The average advisor at Ag Asset Advisory, LLC oversees about 74 client accounts, placing it towards the middle in terms of personalization.

The company's main office is at 10100 Santa Monica Boulevard, Los Angeles, California 90067. Ag Asset Advisory, LLC is legally registered to serve investors across 3 states, including California, New York and Texas.

Assets Under Management

$293.8 million

Number of Advisors

2

Disclosures

No

Office Location

10100 Santa Monica Boulevard
Los Angeles, CA 90067

Ag Asset Advisory, LLC by the Numbers

Total Assets Under Management

$293.8 million

National Average: $3.7 billion
Total Number of Employees

3

National Average: 29
Total Number of Accounts

147

National Average: 2,073
Average Account Size

$2.0 million

National Average: $1.8 million

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Products and Services

Ag Asset Advisory, LLC provides a number of services, which can include financial planning services, portfolio management for individuals and small businesses, pension consulting services, selection of other advisers and other services. Notably, Ag Asset Advisory, LLC did not provide financial planning services to any of its customers in the prior financial year. Ag Asset Advisory, LLC is not engaged in selling products or offering services aside from investment advisory services to its investment advisory customers.

Core Advisor Services

  • Offered by 45% of firms

    Financial Planning Services

    This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

  • Offered by 62% of firms

    Portfolio Management

    This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

  • Find a firm that offers this service

    Market Timing Services

    This is the practice of attempting to make short-term profits on investments by buying low and selling high.

Other Services

  • Offered by 23% of firms

    Selection of Other Advisors

    This is the firm's assistance with choosing other advisors to work with who may have different specialties.

  • Find a firm that offers this service

    Publication of Periodicals

    This is the publication of various financial education materials.

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    Educational Seminars/Workshops

    This is the hosting of seminars or workshops to educate investors on financial concepts.

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Fee Structure

Fees charged by financial advisors largely depend on which services are provided. Fee types billed by the firm likely are comprised of the following fee structures: asset-based, fixed or performance-based. Wrap fee programs, or the practice of bundling services for a single fee, are not provided by the firm.

Available

  • Offered by 74% of firms

    Percentage of Assets

    Show Explanation

    This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

  • Offered by 17% of firms

    Performance-based

    Show Explanation

    Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

  • Offered by 40% of firms

    Fixed

    Show Explanation

    Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

Unavailable

  • Find one of the 35% of firms that offer this fee type

    Hourly

    Show Explanation

    Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

  • Find one of the 2% of firms that offer this fee type

    Commissions

    Show Explanation

    Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

  • Find one of the 1% of firms that offer this fee type

    Subscription

    Show Explanation

    Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

  • Find one of the 12% of firms that offer this fee type

    Other

    Show Explanation

    Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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Types of Clients

Ag Asset Advisory, LLC works with retail investors, high net worth investors, pension plans and charitable organizations. Out of its 147 accounts, Ag Asset Advisory, LLC's largest client is high net worth investors, although it also manages money for 28 high-net-worth individuals. A high-net-worth individual is defined by the SEC as an investor who has at least $750,000 under management or a net worth of at least $1.50 million or who is considered a "qualified purchaser" (a standard met by having at least $5 million in investments). None of its clients are non-U.S. persons.

  • High-Net-Worth Individuals* - 68.29%
  • Other Individuals - 17.07%
  • Corporations - 12.2%
  • Charitable Organizations - 2.44%

* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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Disclosures

Ag Asset Advisory, LLC does not have any disclosures.

Please visit its Form ADV for more details.

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This content was compiled from the SEC and FINRA