# AG Financial

> AG Financial is an SEC-registered investment advisory firm in Salt Lake City, UT, registered since 2006, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated February 20, 2026.

- CRD: 140226
- Filed as: AG FINANCIAL
- Legal name: AG Financial, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Salt Lake City, UT
- Filing period: October 2026
- Form ADV filing dated: February 20, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/140226
- AdvisorCensus page: https://advisorcensus.com/firm/ag-financial-salt-lake-city-ut-140226

## Quick answers

**How is AG Financial compensated?**
On its Form ADV (Item 5.E, October 2026), AG Financial reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees).

**Where is AG Financial located?**
AG Financial's principal office is in Salt Lake City, UT, according to its Form ADV; the March 2026 filing also lists 1 other office (Schedule D, Section 1.F).

**Is AG Financial registered with the SEC or a state?**
AG Financial is an SEC-registered investment advisory firm, registered since 2006. Status as filed: Approved. CRD 140226.

**How much does AG Financial manage?**
AG Financial reports $103,463,706 in regulatory assets under management in its Form ADV filing dated February 20, 2026 (99% discretionary).

**How have AG Financial's assets and staff changed since 2021?**
In the Form ADV data for AG Financial: Regulatory assets under management: $103,300,000 in the October 2021 data and $103,463,706 in the October 2026 data, unchanged. Total employees: 2 in October 2021 and 2 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does AG Financial serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (163); pension and profit sharing plans (but not the plan participants or government pension plans) (13); high net worth individuals (12).

**Which custodians does AG Financial use?**
AG Financial's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does AG Financial report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/140226

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

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.

### Regulatory assets under management (Item 5.F)
- Total: $103,463,706
- Discretionary: $102,936,942
- Non-discretionary: $526,764

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 163 | $65,571,707 |
| High net worth individuals | 12 | $19,239,494 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 13 | $6,926,067 |
| Charitable organizations | Fewer than 5 | $10,890,135 |
| Corporations or other businesses not listed above | Fewer than 5 | $836,303 |

### Advisory services (Item 5.G)
- 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

### Firm details
- Registered since: 2006 (20 years)
- Employees: 2 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AZ, CA, TX, UT, WY
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the March 2026 filing
- Scottsdale, AZ

### Websites listed on Form ADV (Item 1.I)
- myagfinancial.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $103,300,000 | 2 | February 11, 2021 |
| October 2022 | $110,000,000 | 2 | March 1, 2022 |
| October 2023 | $103,695,000 | 2 | March 13, 2023 |
| October 2024 | $105,375,489 | 2 | March 7, 2024 |
| October 2025 | $105,332,451 | 2 | February 27, 2025 |
| October 2026 | $103,463,706 | 2 | February 20, 2026 |

Regulatory assets under management: $103,300,000 in the October 2021 data and $103,463,706 in the October 2026 data, unchanged.
Total employees: 2 in October 2021 and 2 in October 2026.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. AG Financial (CRD 140226): Form ADV filing data as of October 2026.