{ "crd_number": 339720, "slug": "a-g-p-asset-management-llc-new-york-ny-339720", "primary_business_name": "A.G.P. ASSET MANAGEMENT LLC", "legal_name": "A.G.P. ASSET MANAGEMENT LLC", "dbas": [], "city": "New York", "state": "NY", "country": "United States", "cbsa_code": "35620", "metro": { "cbsa_code": "35620", "common_name": "New York", "msa_name": "New York-Newark-Jersey City, NY-NJ", "path": "/advisors/ny/new-york" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2026-04-09", "years_registered": 0, "period": "2026-10-01", "filing_date": "2026-02-19", "carried_forward": false, "raum_total": 144457810.0, "raum_discretionary": 144457810.0, "raum_non_discretionary": 0.0, "raum_band": "100m_500m", "raum_band_label": "$100 million to $500 million", "total_employees": 2, "advisory_employees": 2, "client_count_bucket": null, "clients_by_type": { "pooled_investment_vehicles": { "raum": 144457810.0, "count": 2 } }, "compensation_types": [ "percentage_of_aum" ], "advisory_activities": [ "portfolio_management_pooled_vehicles" ], "wrap_fee_participant": false, "disclosure_yes_count": 7, "states_registered": [ "NY" ], "websites": [ "https://allianceg.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/339720", "disclosure_items": [ { "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(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": "NEW YORK", "url": "https://advisorcensus.com/firm/a-g-p-asset-management-llc-new-york-ny-339720", "display_name": "A.G.P. Asset Management LLC", "summary": "A.G.P. Asset Management LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2026, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated February 19, 2026.", "citation": "AdvisorCensus. A.G.P. Asset Management LLC (CRD 339720): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management" ], "advisory_activity_labels": [ "Portfolio management for pooled investment vehicles (other than investment companies)" ], "quick_answers": [ { "q": "How is A.G.P. Asset Management LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), A.G.P. Asset Management LLC reports these compensation arrangements: a percentage of assets under its management." }, { "q": "How much does A.G.P. Asset Management LLC charge?", "a": "Its Form ADV Part 2A brochure dated February 19, 2026 states: Asset-based fee: up to 2% of assets a year (the maximum the brochure states). Fees can differ by service and may be negotiable; the brochure is the complete statement." }, { "q": "Where is A.G.P. Asset Management LLC located?", "a": "A.G.P. Asset Management LLC's principal office is in New York, NY, according to its Form ADV." }, { "q": "Is A.G.P. Asset Management LLC registered with the SEC or a state?", "a": "A.G.P. Asset Management LLC is an SEC-registered investment advisory firm, registered since 2026. Status as filed: Approved. CRD 339720." }, { "q": "How much does A.G.P. Asset Management LLC manage?", "a": "A.G.P. Asset Management LLC reports $144,457,810 in regulatory assets under management in its Form ADV filing dated February 19, 2026 (100% discretionary)." }, { "q": "What types of clients does A.G.P. Asset Management LLC serve?", "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (2)." }, { "q": "Does A.G.P. Asset Management LLC report any disciplinary disclosures?", "a": "Reports 7 disclosure items on Form ADV Item 11: yes answers to 7 questions about regulatory matters (11.C(2), 11.C(4), 11.C(5), 11.D(1), 11.D(2), 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/339720" }, { "q": "What changed in A.G.P. Asset Management LLC's recent Form ADV filings?", "a": "In the May 2026 filing data: Newly registered with the SEC." } ], "filing_history": [], "recent_changes": [ { "period": "2026-05-01", "period_label": "May 2026", "notes": [ "Newly registered with the SEC." ] } ], "fees_from_brochure": { "source": "Form ADV Part 2A brochure dated February 19, 2026", "provided_by_the_firm": false, "tiers": [], "flat_rate": null, "stated_range": null, "stated_maximum": "2% of assets a year", "account_minimum": null, "account_minimum_may_be_waived": false, "minimum_annual_fee": null, "planning_fees": [], "figures": [ { "label": "Asset-based fee", "statements": [ "Asset-based fee: up to 2% of assets a year (the maximum the brochure states)" ], "quotes": [ "In connection with our advisory services, the Firm receives a management fee of up to 2.0% of capital contributions or gross offering proceeds attributable to each Fund or series, as more fully described in the applicable offering and governing documents." ] } ], "values": { "tiers": [], "range_pct": null, "max_pct": 2.0, "account_minimum": null, "minimum_annual_fee": null, "planning": [] }, "quotes": [ "In connection with our advisory services, the Firm receives a management fee of up to 2.0% of capital contributions or gross offering proceeds attributable to each Fund or series, as more fully described in the applicable offering and governing documents." ], "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable." }, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/a-g-p-asset-management-llc-new-york-ny-339720.md", "clients": [ { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 2, "fewer_than_5": false, "raum": 144457810.0 } ], "disclosure_line": "Reports 7 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/339720", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }