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BROGAN FINANCIAL
Legal name: BROGAN FINANCIAL, INC.
CRD 133623File 801-69181
APPROVED
Retail clients
Filing as of Mar 31, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$577.0M
Above cohort median (national)
Discretionary AUM
$565.7M
Non-discretionary $11.3M
Clients
746
2,093 accounts
Employees
31
Above cohort median in TN
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- ARO
- Registration date
- May 13, 2008
- Principal office
- 2160 LAKESIDE CENTRE WAY, SUITE 102, KNOXVILLE, TN, 37922
- Phone
- (865) 862-6800
- Website
- HTTPS://BROGANFINANCIAL.COM/
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $577.0M
- Discretionary AUM
- $565.7M
- Non-discretionary AUM
- $11.3M
- Discretionary accounts
- 2,045
- Non-discretionary accounts
- 48
- Total accounts
- 2,093
- AUM per client
- $774K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | Fewer than 5 | $8.4M |
| Charitable organizations | Fewer than 5 | $936K |
| High net worth individuals | 159 | $327.5M |
| Individuals (other than high net worth individuals) | 582 | $240.2M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Other
- Other advisory activities
- 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 | Employees | 20 | 31 | increased by11 |
| Apr 1, 2026 | Clients | 761 | 746 | decreased by15 |
| Apr 1, 2026 | AUM | $533,311,508 | $577,039,484 | increased by$43,727,976 |
| Apr 1, 2026 | Accounts | 2,055 | 2,093 | increased by38 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 15 | 20 | increased by5 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 613 | 761 | increased by148 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $397,590,991 | $533,311,508 | increased by$135,720,517 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 1,637 | 2,055 | increased by418 |
| Apr 1, 2022 | Employees | 14 | 15 | increased by1 |
| Apr 1, 2022 | Clients | 589 | 613 | increased by24 |
| Apr 1, 2022 | AUM | $302,795,085 | $397,590,991 | increased by$94,795,906 |
| Apr 1, 2022 | Accounts | 1,531 | 1,637 | increased by106 |
| Apr 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 “BROGAN FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“BROGAN FINANCIAL” 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.