Broker-dealer firm · Westport, CT
A.g.p / Alliance Global Partners
A.G.P. / Alliance Global Partners, LLC · SEC-registered investment adviser · CRD 8361 · SEC 801-70276
At a glance
A.g.p / Alliance Global Partners is an SEC-registered investment adviser based in Westport, Connecticut, with $2.9 billion in regulatory assets under management as of its Form ADV filed September 30, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 7,318 individual clients. By Form ADV it is a broker-dealer firm, ranked 111th of 391 broker-dealer firms and 2,861st of 17,210 SEC-registered advisers by assets.
Main office 800-727-7922agplowcountry.comAs filed on Form ADV
- Regulatory AUM
- $2.9B
- Rank among broker-dealer firms
- #111 of 391
- Rank among all SEC RIAs
- #2,861 of 17,210
- Rank in Connecticut
- #122 of 507
- Individual clients
- 7,318
- High-net-worth clients
- 603
- Accounts
- 7,490
- Discretionary
- 83% of AUM
- Employees
- 332
- Advisory staff
- 144
- Offices
- 20
Owners and executives on its Form ADV
- Thomas Joseph HigginsPrincipal Operations Officer
- Phillip William MichalsChief Executive Officer
- Anthony Joseph LaurielloMunicipal Securities Principal
- John Joseph VeneziaChief Compliance Officer - Broker Dealer, RIA
- Craig Erin KleinCFO, Principal Financial Officer
- Raffaele GambardellaCoo/chief Risk Officer
- Timothy Francis CassidyAdministration Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
A.g.p / Alliance Global Partners is a hybrid RIA: 236 of its employees are also registered representatives of a broker-dealer.
Form ADV Part 1 doesn’t name an unaffiliated broker-dealer. The firm’s Part 2A brochure (Item 10) and each adviser’s record on the SEC’s adviser search do.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 603 | $1.4B | 47% |
| Individuals | 6,715 | $1.4B | 47% |
| Corporations or other businesses | 120 | $117M | 4% |
| Pension and profit sharing plans | 41 | $37M | 1% |
| Charitable organizations | 10 | $4M | <1% |
| Pooled investment vehicles | 1 | $1M | <1% |
Private funds
A.g.p / Alliance Global Partners reports 1 private funds with $1M in gross assets: other private funds (Form ADV Item 7.B).
Disciplinary disclosures
A.g.p / Alliance Global Partners answers yes to 11 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses and institutions
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Hourly charges
- Other
Form ADV and brochures on the SEC’s adviser search ↗agplowcountry.com ↗
AtlasMembers
The full record on A.g.p / Alliance Global Partners
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 91 peers of its type and size
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- Owners and executives, with titles and stakes
- 7 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 3Locked
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Background
Questions
How much does A.g.p / Alliance Global Partners manage?
A.g.p / Alliance Global Partners reports $2.9 billion in regulatory assets under management across 7,490 accounts, 83% of it on a discretionary basis, on its Form ADV filed September 30, 2026.
What kind of firm is A.g.p / Alliance Global Partners?
A.g.p / Alliance Global Partners is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are A.g.p / Alliance Global Partners’s clients?
By assets, its largest client types are high-net-worth individuals ($1.4 billion, 603 clients); individuals ($1.4 billion, 6,715 clients); corporations or other businesses ($117 million, 120 clients).
Does A.g.p / Alliance Global Partners manage private funds?
Yes. It reports 1 private funds with $1 million in gross assets, including other private funds.
Does A.g.p / Alliance Global Partners have any disciplinary history?
A.g.p / Alliance Global Partners answers yes to 11 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is A.g.p / Alliance Global Partners’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-30), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →