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Managing Member/chief Compliance Officer · AG Financial

Aaron B. Graham

CRD 3167246 · Named on Form ADV at one SEC-registered adviser

At a glance

AG Financial, an SEC-registered wealth manager based in Salt Lake City, UT with $103 million in regulatory assets, lists Aaron B. Graham on its Form ADV as Managing Member/chief Compliance Officer, a control person.

Firms and roles

  • AG FinancialManaging Member/chief Compliance OfficerWealth manager · Salt Lake City, UT · $103M in regulatory assets

AtlasMembers

Aaron’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
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When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Aaron’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.