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A.G.P / ALLIANCE GLOBAL PARTNERS
Legal name: A.G.P. / ALLIANCE GLOBAL PARTNERS, LLC
CRD 8361File 801-70276
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Sep 30, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$2.95B
Top 25% of cohort (national)
Discretionary AUM
$2.45B
Non-discretionary $490.2M
Clients
7,490
7,490 accounts
Employees
332
Top 25% of cohort in CT
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- BRO
- Registration date
- Jun 15, 2009
- Principal office
- 88 POST ROAD WEST, 2ND FLOOR, WESTPORT, CT, 06880
- Phone
- 800-727-7922
- Website
- https://www.allianceg.com
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $2.95B
- Discretionary AUM
- $2.45B
- Non-discretionary AUM
- $490.2M
- Discretionary accounts
- 6,848
- Non-discretionary accounts
- 642
- Total accounts
- 7,490
- AUM per client
- $393K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 120 | $116.9M |
| Charitable organizations | 10 | $4.0M |
| High net worth individuals | 603 | $1.40B |
| Pooled investment vehicles | 1 | $1.1M |
| Pension and profit sharing plans | 41 | $37.5M |
| Individuals (other than high net worth individuals) | 6,715 | $1.39B |
Compensation & activities
ADV Items 5E, 5GCompensation
- Other
- Hourly charges
- Other (described) — SUB-ADVISER OF POOLED INVESTMENT VEHICLE CHARGES A PERFORMANCE F
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Selection of other advisers
- 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
- No
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- 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 11- Q11
- Q11A2
- Q11C2
- Q11C4
- Q11C5
- Q11D1
- Q11D2
- Q11D4
- Q11D5
- Q11E2
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Oct 1, 2026 | Employees | 320 | 332 | increased by12 |
| Oct 1, 2026 | Clients | 6,959 | 7,490 | increased by531 |
| Oct 1, 2026 | AUM | $2,300,125,872 | $2,945,044,230 | increased by$644,918,358 |
| Oct 1, 2026 | Accounts | 6,959 | 7,490 | increased by531 |
| Dec 1, 2025 vs May 1, 2025 | Employees | 318 | 320 | increased by2 |
| Dec 1, 2025 vs May 1, 2025 | Clients | 5,849 | 6,959 | increased by1,110 |
| Dec 1, 2025 vs May 1, 2025 | AUM | $1,689,281,243 | $2,300,125,872 | increased by$610,844,629 |
| Dec 1, 2025 vs May 1, 2025 | Accounts | 5,849 | 6,959 | increased by1,110 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 267 | 318 | increased by51 |
| May 1, 2025 vs Oct 1, 2022 | Custody | No | Yes | |
| May 1, 2025 vs Oct 1, 2022 | Clients | 5,102 | 5,849 | increased by747 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $1,247,803,386 | $1,689,281,243 | increased by$441,477,857 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 5,102 | 5,849 | increased by747 |
| Oct 1, 2022 | Employees | 256 | 267 | increased by11 |
| Oct 1, 2022 | Clients | 4,467 | 5,102 | increased by635 |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “ALLIANCE GLOBAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“ALLIANCE GLOBAL” 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.