{
  "crd_number": 8361,
  "slug": "a-g-p-alliance-global-partners-westport-ct-8361",
  "primary_business_name": "A.G.P / ALLIANCE GLOBAL PARTNERS",
  "legal_name": "A.G.P. / ALLIANCE GLOBAL PARTNERS, LLC",
  "dbas": [
    "A.G.P. / ALLIANCE GLOBAL PARTNERS OF THE LOWCOUNTRY",
    "ABC WEALTH MANAGEMENT",
    "ADLER WEALTH MANAGEMENT",
    "AGP FINANCIAL DISTRICT",
    "ALLIANCE GLOBAL PLANNING",
    "BARKUS WEALTH MANAGEMENT",
    "BOATMAN FINANCIAL MANAGEMENT, PLLC",
    "CLEXPERUS LLC",
    "EPC ADVISORS GROUP",
    "KS CAPITAL MANAGEMENT, INC",
    "LIFETIME ADVISORY",
    "LOWELL NEWMAN",
    "LUNDBLADE FINANCIAL GROUP",
    "NTS BEARING",
    "PINZKER & ASSOCIATES",
    "SES GROUP",
    "VAN PELT & COMPANY",
    "ZOFINGEN PRIVATE WEALTH"
  ],
  "city": "Westport",
  "state": "CT",
  "country": "United States",
  "cbsa_code": "14860",
  "metro": {
    "cbsa_code": "14860",
    "common_name": "Bridgeport",
    "msa_name": "Bridgeport-Stamford-Danbury, CT",
    "path": "/advisors/ct/bridgeport"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2009-06-15",
  "years_registered": 17,
  "period": "2026-10-01",
  "filing_date": "2026-09-30",
  "carried_forward": false,
  "raum_total": 2945044230.0,
  "raum_discretionary": 2454879688.0,
  "raum_non_discretionary": 490164542.0,
  "raum_band": "1b_5b",
  "raum_band_label": "$1 billion to $5 billion",
  "total_employees": 332,
  "advisory_employees": 144,
  "client_count_bucket": null,
  "clients_by_type": {
    "charitable": {
      "raum": 4038487.0,
      "count": 10
    },
    "individuals": {
      "raum": 1388851247.0,
      "count": 6715
    },
    "banking_thrift": {
      "raum": null,
      "count": 0
    },
    "state_municipal": {
      "raum": null,
      "count": 0
    },
    "insurance_companies": {
      "raum": null,
      "count": 0
    },
    "investment_companies": {
      "raum": null,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 37450351.0,
      "count": 41
    },
    "other_investment_advisers": {
      "raum": null,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 1396674058.0,
      "count": 603
    },
    "pooled_investment_vehicles": {
      "raum": 1092095.0,
      "count": 1
    },
    "corporations_other_businesses": {
      "raum": 116937992.0,
      "count": 120
    },
    "business_development_companies": {
      "raum": null,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": null,
      "count": 0
    }
  },
  "compensation_types": [
    "hourly",
    "other",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals",
    "portfolio_management_pooled_vehicles",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": true,
  "disclosure_yes_count": 9,
  "states_registered": [
    "AK",
    "AL",
    "AR",
    "AZ",
    "CA",
    "CO",
    "CT",
    "DC",
    "DE",
    "FL",
    "GA",
    "HI",
    "IA",
    "ID",
    "IL",
    "IN",
    "KS",
    "KY",
    "LA",
    "MA",
    "MD",
    "ME",
    "MI",
    "MN",
    "MO",
    "MS",
    "MT",
    "NC",
    "ND",
    "NE",
    "NH",
    "NJ",
    "NM",
    "NV",
    "NY",
    "OH",
    "OK",
    "OR",
    "PA",
    "PR",
    "RI",
    "SC",
    "SD",
    "TN",
    "TX",
    "UT",
    "VA",
    "VI",
    "VT",
    "WA",
    "WI",
    "WV",
    "WY"
  ],
  "websites": [
    "https://abcwealthmanagement.com",
    "https://agpfinancialdistrict.com",
    "https://agplowcountry.com",
    "https://allianceg.com",
    "https://allianceg.com/the-ses-group",
    "https://allianceglobalplanning.com",
    "https://boatmanfinancial.com",
    "https://clexperus.com",
    "https://coleaaronson.com",
    "https://epcadvisorsgroup.com",
    "https://kscapital.com",
    "https://lowellnewman.com",
    "https://lundbladefinancialgroup.com",
    "https://ntsbearing.com",
    "https://pinzkerandassociates.com",
    "https://planzoldan.com",
    "https://salvatorerenzo.com",
    "https://vanpeltandcompany.com",
    "https://zofingenpwm.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/8361",
  "disclosure_items": [
    {
      "item": "11.A(2)",
      "question": "In the past ten years, has the firm or an advisory affiliate been charged with a felony?"
    },
    {
      "item": "11.C(2)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?"
    },
    {
      "item": "11.C(4)",
      "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.C(5)",
      "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?"
    },
    {
      "item": "11.D(1)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?"
    },
    {
      "item": "11.D(2)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?"
    },
    {
      "item": "11.D(4)",
      "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.D(5)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?"
    },
    {
      "item": "11.E(2)",
      "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?"
    }
  ],
  "city_as_filed": "WESTPORT",
  "url": "https://advisorcensus.com/firm/a-g-p-alliance-global-partners-westport-ct-8361",
  "display_name": "A.G.P / Alliance Global Partners",
  "summary": "A.G.P / Alliance Global Partners is an SEC-registered investment advisory firm in Westport, CT, registered since 2009, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated September 30, 2026.",
  "citation": "AdvisorCensus. A.G.P / Alliance Global Partners (CRD 8361): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Other"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for pooled investment vehicles (other than investment companies)",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is A.G.P / Alliance Global Partners compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), A.G.P / Alliance Global Partners reports these compensation arrangements: a percentage of assets under its management; hourly charges; other."
    },
    {
      "q": "How much does A.G.P / Alliance Global Partners charge?",
      "a": "Its Form ADV Part 2A brochure dated June 5, 2026 states: Asset-based fee: up to 3% of assets a year (the maximum the brochure states); Hourly rate: $150 to $500 an hour (the preparation of a Financial Plan). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is A.G.P / Alliance Global Partners located?",
      "a": "A.G.P / Alliance Global Partners' principal office is in Westport, CT, according to its Form ADV; the October 2026 filing also lists 17 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is A.G.P / Alliance Global Partners registered with the SEC or a state?",
      "a": "A.G.P / Alliance Global Partners is an SEC-registered investment advisory firm, registered since 2009. Status as filed: Approved. CRD 8361."
    },
    {
      "q": "How much does A.G.P / Alliance Global Partners manage?",
      "a": "A.G.P / Alliance Global Partners reports $2,945,044,230 in regulatory assets under management in its Form ADV filing dated September 30, 2026 (83% discretionary)."
    },
    {
      "q": "How have A.G.P / Alliance Global Partners' assets and staff changed since 2021?",
      "a": "In the Form ADV data for A.G.P / Alliance Global Partners: Regulatory assets under management: $1,273,866,692 in the October 2021 data and $2,945,044,230 in the October 2026 data, up 131%. Total employees: 256 in October 2021 and 332 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does A.G.P / Alliance Global Partners serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (6,715); high net worth individuals (603); corporations or other businesses not listed above (120)."
    },
    {
      "q": "Which custodians does A.G.P / Alliance Global Partners use?",
      "a": "A.G.P / Alliance Global Partners' most recent Form ADV filing (Schedule D, Section 5.K(3)) lists National Financial Services and RBC Capital Markets, LLC as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does A.G.P / Alliance Global Partners report any disciplinary disclosures?",
      "a": "Reports 9 disclosure items on Form ADV Item 11: yes answers to 1 question about criminal matters and 8 questions about regulatory matters (11.A(2), 11.C(2), 11.C(4), 11.C(5), 11.D(1), 11.D(2), 11.D(4), 11.D(5), 11.E(2)). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/8361"
    },
    {
      "q": "What changed in A.G.P / Alliance Global Partners' recent Form ADV filings?",
      "a": "In the October 2026 filing data: Added the business name Zofingen Private Wealth. Added the business name Lifetime Advisory. Added the business name Clexperus LLC. Added the business name Barkus Wealth Management. Added the business name Adler Wealth Management. Employees performing advisory functions went from 140 to 144. Regulatory assets under management went from $2,300,125,872 to $2,945,044,230 (+28%). Added an office in Kalispell, MT. Added an office in Ridgewood, NJ. Registered or notice-filed in VI."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 1273866692.0,
      "total_employees": 256,
      "filing_date": "2021-09-28"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 1247803386.0,
      "total_employees": 267,
      "filing_date": "2022-09-30"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 1320572086.0,
      "total_employees": 283,
      "filing_date": "2023-10-02"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 1689281243.0,
      "total_employees": 318,
      "filing_date": "2024-09-30"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 1689281243.0,
      "total_employees": 318,
      "filing_date": "2024-10-30"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 2945044230.0,
      "total_employees": 332,
      "filing_date": "2026-09-30"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-10-01",
      "period_label": "October 2026",
      "notes": [
        "Added the business name Zofingen Private Wealth.",
        "Added the business name Lifetime Advisory.",
        "Added the business name Clexperus LLC.",
        "Added the business name Barkus Wealth Management.",
        "Added the business name Adler Wealth Management.",
        "Employees performing advisory functions went from 140 to 144.",
        "Regulatory assets under management went from $2,300,125,872 to $2,945,044,230 (+28%).",
        "Added an office in Kalispell, MT.",
        "Added an office in Ridgewood, NJ.",
        "Registered or notice-filed in VI."
      ]
    },
    {
      "period": "2026-09-01",
      "period_label": "September 2026",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2025-12-01",
      "period_label": "December 2025",
      "notes": [
        "Item 11 disclosure answers changed: 9 yes answers, previously 6 (now yes: 11.C(2), 11.C(4), 11.C(5)).",
        "Employees performing advisory functions went from 149 to 140.",
        "Regulatory assets under management went from $1,689,281,243 to $2,300,125,872 (+36%)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated June 5, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": "3% of assets a year",
    "account_minimum": null,
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [
      "Hourly rate: $150 to $500 an hour (the preparation of a Financial Plan)"
    ],
    "figures": [
      {
        "label": "Asset-based fee",
        "statements": [
          "Asset-based fee: up to 3% of assets a year (the maximum the brochure states)"
        ],
        "quotes": [
          "A.G.P.’s advisory fees are charged based on a percentage of the client’s assets under management, are negotiable and will range up to 3%."
        ]
      },
      {
        "label": "Planning fee",
        "statements": [
          "Hourly rate: $150 to $500 an hour (the preparation of a Financial Plan)"
        ],
        "quotes": [
          "The hourly fees are between $150 - $500 for the preparation of a Financial Plan. Hourly fees are subject to a two (2) hour minimum."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": null,
      "max_pct": 3.0,
      "account_minimum": null,
      "minimum_annual_fee": null,
      "planning": [
        {
          "kind": "hourly",
          "amount": null,
          "min": 150.0,
          "max": 500.0,
          "period": "hour",
          "service": "the preparation of a Financial Plan"
        }
      ]
    },
    "quotes": [
      "A.G.P.’s advisory fees are charged based on a percentage of the client’s assets under management, are negotiable and will range up to 3%.",
      "The hourly fees are between $150 - $500 for the preparation of a Financial Plan. Hourly fees are subject to a two (2) hour minimum."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "National Financial Services",
      "name_as_filed": "NATIONAL FINANCIAL SERVICES",
      "affiliated": false
    },
    {
      "name": "RBC Capital Markets, LLC",
      "name_as_filed": "RBC CAPITAL MARKETS, LLC",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/a-g-p-alliance-global-partners-westport-ct-8361.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 6715,
      "fewer_than_5": false,
      "raum": 1388851247.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 603,
      "fewer_than_5": false,
      "raum": 1396674058.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 1,
      "fewer_than_5": false,
      "raum": 1092095.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 41,
      "fewer_than_5": false,
      "raum": 37450351.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 10,
      "fewer_than_5": false,
      "raum": 4038487.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 120,
      "fewer_than_5": false,
      "raum": 116937992.0
    }
  ],
  "disclosure_line": "Reports 9 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/8361",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}