A.G.P / Alliance Global Partners

CRD#8361
Investment Advisor Firm

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Learn more about A.G.P / Alliance Global Partners

  • Overview
  • By the Numbers
  • Products and Services
  • Fee Structure
  • Types of Clients
  • Disclosures
  • State Registrations
  • Office Locations
  • Firm Advisors

    • Overview

    A.G.P / Alliance Global Partners is located at 88 Post Road West, Westport, CT. The firm employs 163 financial advisors to manage client portfolios and provide financial guidance. A.G.P / Alliance Global Partners is a registered broker-dealer.

    A.G.P / Alliance Global Partners oversees $1.3 billion in assets under management across 5,220 accounts, of which 2,629 are discretionary and 2,591 are non-discretionary. Over the past year, the firm has provided financial planning services to between 101 and 250 clients. The services offered include financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, and selection of other advisers. The firm caters to retail investors, high net worth investors, pension plans, charitable organizations, and corporations, with retail investors being the largest client type by accounts. The fee structure at A.G.P / Alliance Global Partners includes asset-based and hourly fees. The firm has 195 high net worth clients.

    A.G.P / Alliance Global Partners is registered in the states of Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, and Wyoming.

    Assets Under Management

    $1.3 billion

    Number of Advisors

    163

    Disclosures

    No

    Office Location

    88 Post Road West
    Westport, CT 06880

    A.G.P / Alliance Global Partners by the Numbers

    Total Assets Under Management

    $1.3 billion

    National Average: $8.6 billion
    Total Number of Employees

    283

    National Average: 64
    Total Number of Accounts

    5,220

    National Average: 375,227
    Average Account Size

    $253.0 thousand

    National Average: $23.0 thousand
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    Products and Services

    A.G.P / Alliance Global Partners provides multiple services, which can include financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, and selection of other advisers. In the prior financial year, A.G.P / Alliance Global Partners provided 101-250 of its accounts with financial planning services. The Company is engaged in selling products or offering services different than investment advice to its clients.

    Core Advisor Services

    • Offered by 31% 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 46% 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 20% 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.

    • Find a firm that offers this service

      Educational Seminars/Workshops

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

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    Fee Structure

    Fees for financial management typically are based on the financial services provided. Fees charged by A.G.P / Alliance Global Partners can consist of some blend of the following fee structures: asset-based or hourly. Wrap fee programs, or the practice of bundling services for a single fee, are offered by A.G.P / Alliance Global Partners.

    Available

    • Offered by 69% 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 21% of firms

      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.

    Unavailable

    • Find one of the 1% 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 26% of firms that offer this fee type

      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.

    • Find one of the 0% 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 32% of firms that offer this fee type

      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.

    • Find one of the 10% 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

    The company manages money for a broad range of clients. The company works with retail investors, high net worth investors, pension plans, charitable organizations, and corporations. Out of its 5 clients, A.G.P / Alliance Global Partners's largest client type by number of accounts is retail investors, though it also manages money for 195 high-net-worth individuals. The SEC defines a high-net-worth individual as someone who has at least $750,000 under management or a net worth of at least $1,50 million or who is deemed a "qualified purchaser" (a standard met by having at least $5 million in investments).

    • High-Net-Worth Individuals* - 3.74%
    • Other Individuals - 94.64%
    • Corporations - 1.61%
    • Charitable Organizations - 0.02%

    * 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

    A.G.P / Alliance Global Partners does not have any disclosures.

    Please visit its Form ADV for more details.

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    Financial Advisors at A.G.P / Alliance Global Partners

    Anthony Romano
    Holmdel, NJ
    Barry Mills
    Boca Raton, FL
    Kyle Jones
    Boca Raton, FL
    Cole Aaronson
    New York, NY
    Gregory Charlot
    Boca Raton, FL
    John Raho
    New York, NY
    Eric Strominger
    New York, NY
    Ross Gladstone
    New York, NY
    Alec Lowell
    Boca Raton, FL

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