← Directory
RICHARD BROTHERS, FINANCIAL ADVISORS
Legal name: ALLEGIANCE FINANCIAL GROUP, INC.
CRD 113826File 801-122718
APPROVED
Retail clients
Filing as of Mar 26, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$180.6M
Bottom 25% of cohort (national)
Discretionary AUM
$174.5M
Non-discretionary $6.1M
Clients
173
433 accounts
Employees
10
Below cohort median in ME
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- BRO
- Registration date
- Nov 18, 2021
- Principal office
- 50 DONALD B. DEAN DRIVE, SUITE ONE, SOUTH PORTLAND, ME, 04106
- Phone
- 207-879-2352
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $180.6M
- Discretionary AUM
- $174.5M
- Non-discretionary AUM
- $6.1M
- Discretionary accounts
- 407
- Non-discretionary accounts
- 26
- Total accounts
- 433
- AUM per client
- $1.0M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | Fewer than 5 | $2K |
| Charitable organizations | Fewer than 5 | $1.2M |
| High net worth individuals | 54 | $140.1M |
| Individuals (other than high net worth individuals) | 119 | $39.3M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Other advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for other
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Clients | 160 | 173 | increased by13 |
| Apr 1, 2026 | AUM | $145,936,579 | $180,637,151 | increased by$34,700,572 |
| Apr 1, 2026 | Accounts | 403 | 433 | increased by30 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 8 | 10 | increased by2 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 185 | 160 | decreased by25 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $145,301,381 | $145,936,579 | increased by$635,198 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 614 | 403 | decreased by211 |
| Apr 1, 2022 | Clients | 182 | 185 | increased by3 |
| Apr 1, 2022 | AUM | $137,020,215 | $145,301,381 | increased by$8,281,166 |
| Apr 1, 2022 | Accounts | 736 | 614 | decreased by122 |
| Dec 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “RICHARD BROTHERS” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“RICHARD BROTHERS” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.