AG FINANCIAL, LLC
Adviser information for AG FINANCIAL, LLC last updated from Form ADV on March 7th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Utah, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 174 | $104.6M |
| Non-Discretionary | 14 | $766,470 |
| Total | 188 | $105.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 153 | $40.3M |
| HNW Individuals | 31 | $56.1M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $646,900 |
| Charitable organizations | <5 | $7.8M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $499,500 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-66579 |
|---|---|
| SEC ERA File Number | 801-66579 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 140226 |
| Legal Entity Identifier | None |
Principal Office
2825 EAST COTTONWOOD PARKWAYSUITE 500
SALT LAKE CITY
UT
United States
Monday - Friday, 8:00AM TO 5:00PM
Tel: 801-990-3470, Fax: 801-990-3469
Websites
Chief Compliance Officer
AARON B. GRAHAM
PRINCIPAL
2825 EAST COTTONWOOD PARKWAY
SUITE 500
SALT LAKE CITY
UT
United States
Tel:
801-990-3470
Fax:
801-9903469
A******@*********M
(Full email address available in API data)
Regulatory Contact
JOHN CARR
ATTORNEY
6650 SW REDWOOD LANE
SUITE 220
PORTLAND
OR
United States
Tel:
503-635-5244
Fax:
503-635-2955
J****@******************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GRAHAM, AARON, BRIAN | Individual | – | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | 03/2006 | > 75% |