ROGAN & ASSOCIATES
ROGAN & ASSOCIATES, INC. Legal Name
Adviser information for ROGAN & ASSOCIATES 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 | Florida, United States |
Employees
| Total Number of Employees | 16 |
|---|---|
| Investment Advisory/Research | 10 |
| Registered Broker-Dealer Representatives | 10 |
| Registered State Investment Advisers | 12 |
| Licensed Agents of an Insurance Company | 10 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,950 | $563.2M |
| Non-Discretionary | 167 | $22.9M |
| Total | 2,117 | $586.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,257 | $420.8M |
| HNW Individuals | 169 | $156.1M |
| 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 | $2.7M |
| Charitable organizations | 0 | $0 |
| 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 | 9 | $6.6M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesCommissions% OF ASSETS UNDER ANOTHER RIA'S MANAGEMENT |
| Other Business Activities | Broker-dealer |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| ROGAN & ASSOCIATES PORTFOLIO PROGRAM | ROGAN & ASSOCIATES |
Principal Office
200 9TH AVENUE NORTHSUITE 100
SAFETY HARBOR
FL
United States
Monday - Friday, 9-5
Tel: 727-712-3400, Fax: 727-712-3113
Websites
www.youtube.com/channel/ucvd38ea8yxc4kabc0ws51lw
www.roganfinancial.com
www.financialplanningforlife.com
www.linkedin.com/company/rogan-&-associates?trk=tyah&trkinfo=clickedvertical%3acompany%2cclickedentityid%3a424003%2cidx%
twitter.com/roganfinancial
www.whyweplan.com
www.facebook.com/roganfinancial
Chief Compliance Officer
EDWIN R. FOSS
CHIEF COMPLIANCE OFFICER
200 9TH AVENUE NORTH
SUITE 100
SAFETY HARBOR
FL
United States
Tel:
727-712-3400
Fax:
727-712-3113
E*@*****************M
(Full email address available in API data)
Regulatory Contact
MICHAEL G. ROGAN
PRESIDENT
200 9TH AVENUE NORTH
SUITE 100
SAFETY HARBOR
FL
United States
Tel:
727 712-3400
Fax:
727 712-3113
C*********@*****************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 |
|---|---|---|---|---|---|
| FOSS, EDWIN ROBINSON | Individual | – | CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER, GENERAL SECURITIES PRINCIPAL | 07/2004 | < 5% |
| ROGAN, MICHAEL GERARD | Individual | – | PRESIDENT/CEO/CFO/MSP/ROSFP/SOLE OFFICER/SOLE SHAREHOLDER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 01/1997 | > 75% |
| CARTER, ANA R | Individual | – | FINOP | 03/2019 | < 5% |