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AG FINANCIAL
Legal name: AG FINANCIAL, LLC
CRD 140226File 801-66579
APPROVED
Retail clients
Custody
Filing as of Feb 20, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$103.5M
Bottom 25% of cohort (national)
Discretionary AUM
$102.9M
Non-discretionary $527K
Clients
188
441 accounts
Employees
2
Bottom 25% of cohort in UT
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- DRO
- Registration date
- Apr 19, 2006
- Principal office
- 2825 EAST COTTONWOOD PARKWAY, SUITE 500, SALT LAKE CITY, UT, 84121
- Phone
- 801-990-3470
- Website
- HTTP://WWW.MYAGFINANCIAL.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $103.5M
- Discretionary AUM
- $102.9M
- Non-discretionary AUM
- $527K
- Discretionary accounts
- 425
- Non-discretionary accounts
- 16
- Total accounts
- 441
- AUM per client
- $550K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | Fewer than 5 | $836K |
| Charitable organizations | Fewer than 5 | $10.9M |
| High net worth individuals | 12 | $19.2M |
| Pension and profit sharing plans | 13 | $6.9M |
| Individuals (other than high net worth individuals) | 163 | $65.6M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- A percentage of assets under your management
Advisory activities
- Portfolio management for businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- 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 |
|---|---|---|---|---|
| Mar 1, 2026 | Clients | 172 | 188 | increased by16 |
| Mar 1, 2026 | AUM | $105,332,451 | $103,463,706 | decreased by$1,868,745 |
| Mar 1, 2026 | Accounts | 418 | 441 | increased by23 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 248 | 172 | decreased by76 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $110,000,000 | $105,332,451 | decreased by$4,667,549 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 449 | 418 | decreased by31 |
| Apr 1, 2022 | Clients | 264 | 248 | decreased by16 |
| Apr 1, 2022 | AUM | $103,300,000 | $110,000,000 | increased by$6,700,000 |
| Apr 1, 2022 | Accounts | 478 | 449 | decreased by29 |
| 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 “FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“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.