BROGAN FINANCIAL
BROGAN FINANCIAL, INC. Legal Name
Adviser information for BROGAN FINANCIAL last updated from Form ADV on March 28th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Tennessee, United States |
Employees
| Total Number of Employees | 22 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 7 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,871 | $428.5M |
| Non-Discretionary | 12 | $15.7M |
| Total | 1,883 | $444.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 561 | $200.8M |
| HNW Individuals | 130 | $243.0M |
| 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 | 0 | $0 |
| Charitable organizations | <5 | $405,515 |
| 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 | 0 | $0 |
| 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 businessesEducational seminars/workshopsRADIO PROGRAM FOCUSING ON WEALTH, FINANCIAL AND GENERAL ISSUES |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Principal Office
8351 E WALKER SPRINGS LANESUITE 101
KNOXVILLE
TN
United States
Monday - Friday, 8:00AM -5:00PM
Tel: (865) 862-6800, Fax: (865) 862-6818
Chief Compliance Officer
SARAH J SUTTON
CONSULTANT/CCO
8351 E. WALKER SPRINGS LANE
SUITE 101
KNOXVILLE
TN
United States
Tel:
(662)470-1970
S***********@******************M
(Full email address available in API data)
Regulatory Contact
JAMES BROGAN
PRESIDENT
8351 E WALKER SPRINGS LANE
SUITE 101
KNOXVILLE
TN
United States
Tel:
(865) 862-6800
J**@******************M
(Full email address available in API data)
Industry Affiliates
| BROGAN FINANCIAL INSURANCE PLANNING LLC | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BROGAN, JAMES, EDWARD | Individual | – | PRESIDENT/CHIEF INVESTMENT OFFICER | 07/2001 | > 75% |
| SUTTON, SARAH, JEAN | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2021 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 13th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ABBOTT LABS | COM | 315K | 3K | – |
| ABBVIE INC | COM | 500K | 3K | – |
| ALPHABET INC | CAP STK CL A | 410K | 2K | – |
| AMAZON COM INC | COM | 654K | 3K | – |
| AMERICAN TOWER CORP NEW | COM | 225K | 1K | – |
| APPLE INC | COM | 3M | 16K | – |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 500K | 1K | – |
| BLACKSTONE INC | COM | 343K | 3K | – |
| CATERPILLAR INC | COM | 428K | 1K | – |
| CHEVRON CORP NEW | COM | 406K | 3K | – |
| CHIPOTLE MEXICAN GRILL INC | COM | 210K | 3K | – |
| COCA COLA CO | COM | 385K | 6K | – |
| COSTCO WHSL CORP NEW | COM | 320K | 377 | – |
| DIMENSIONAL ETF TRUST | INTL CORE EQT MK | 17M | 562K | – |
| DIMENSIONAL ETF TRUST | US EQUITY ETF | 553K | 9K | – |
| ELEVANCE HEALTH INC | COM | 894K | 2K | – |
| ETF SER SOLUTIONS | APTUS COLLRD INV | 71M | 2M | – |
| ETF SER SOLUTIONS | APTUS DEFINED | 24M | 892K | – |
| ETF SER SOLUTIONS | APTUS DRAWDOWN | 1M | 28K | – |
| ETF SER SOLUTIONS | OPUS SML CP VL | 16M | 470K | – |
| EXXON MOBIL CORP | COM | 633K | 6K | – |
| HOME DEPOT INC | COM | 853K | 2K | – |
| INVESCO EXCHANGE TRADED FD T | S&P500 EQL WGT | 326K | 2K | – |
| INVESCO QQQ TR | UNIT SER 1 | 491K | 1K | – |
| ISHARES TR | CORE DIV GRWTH | 201K | 3K | – |
| JACOBS SOLUTIONS INC | COM | 433K | 3K | – |
| JPMORGAN CHASE & CO. | COM | 239K | 1K | – |
| LEIDOS HOLDINGS INC | COM | 1M | 8K | – |
| LOWES COS INC | COM | 268K | 1K | – |
| MCDONALDS CORP | COM | 357K | 1K | – |
| MICROSOFT CORP | COM | 1M | 3K | – |
| NEXTERA ENERGY INC | COM | 403K | 6K | – |
| NVIDIA CORPORATION | COM | 224K | 2K | – |
| PROCTER AND GAMBLE CO | COM | 902K | 5K | – |
| ROPER TECHNOLOGIES INC | COM | 538K | 955 | – |
| SCHWAB STRATEGIC TR | US MID-CAP ETF | 490K | 6K | – |
| SCIENCE APPLICATIONS INTL CO | COM | 632K | 5K | – |
| SPDR GOLD TR | GOLD SHS | 6M | 30K | – |
| SPDR SER TR | PORTFOLIO S&P500 | 745K | 12K | – |
| TEXAS INSTRS INC | COM | 1M | 6K | – |
| UNITEDHEALTH GROUP INC | COM | 364K | 714 | – |
| VANGUARD INDEX FDS | S&P 500 ETF SHS | 484K | 967 | – |
| VANGUARD SCOTTSDALE FDS | VNG RUS1000IDX | 314K | 1K | – |
| VISA INC | COM CL A | 224K | 854 | – |
| VULCAN MATLS CO | COM | 331K | 1K | – |
| WALMART INC | COM | 357K | 5K | – |