A.G.P / ALLIANCE GLOBAL PARTNERS
A.G.P. / ALLIANCE GLOBAL PARTNERS, LLC Legal Name
Adviser information for A.G.P / ALLIANCE GLOBAL PARTNERS last updated from Form ADV on October 17th, 2023. 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 | JUNE |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 283 |
|---|---|
| Investment Advisory/Research | 163 |
| Registered Broker-Dealer Representatives | 241 |
| Registered State Investment Advisers | 50 |
| Licensed Agents of an Insurance Company | 40 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,629 | $572.7M |
| Non-Discretionary | 2,591 | $747.9M |
| Total | 5,220 | $1.3B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 4,940 | $799.4M |
| HNW Individuals | 195 | $441.3M |
| 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 | 23 | $8.5M |
| Charitable organizations | <5 | $354,792 |
| 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 | 61 | $71.0M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 3 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly charges |
| Other Business Activities | Broker-dealerPERTH MINT CERTIFICATE PROGRAM |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 227.3M |
| Portfolio Manager | 0 |
| Both for Same | 0 |
Identifiers
| SEC RIA File Number | 801-70276 |
|---|---|
| SEC ERA File Number | 801-70276 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 8361 |
| Legal Entity Identifier | None |
Principal Office
88 POST ROAD WEST2ND FLOOR
WESTPORT
CT
United States
Monday - Friday, 7:00 TO 6:00
Tel: 800-727-7922, Fax: 203-662-9771
Websites
Chief Compliance Officer
JOHN VENEZIA
590 MADISON AVENUE
28 FLOOR
NEW YORK
NY
United States
Tel:
800-727-7922
J*******@************M
(Full email address available in API data)
Regulatory Contact
ELENA FUSILLO
DIRECTOR OF COMPLIANCE - BD
88 POST ROAD WEST
2ND FLOOR
WESTPORT
CT
United States
Tel:
800-727-7922
Fax:
203-662-9771
E*******@************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 |
|---|---|---|---|---|---|
| MICHALS, PHILLIP WILLIAM | Individual | – | CHIEF EXECUTIVE OFFICER | 01/2019 | < 5% |
| MICHALS, PHILLIP WILLIAM | Individual | ALLIANCE GLOBAL HOLDINGS, INC. | PARTNER | 07/2021 | 25-50% |
| GAMBARDELLA, RAFFAELE | Individual | ALLIANCE GLOBAL HOLDINGS, INC. | PARTNER | 07/2021 | 25-50% |
| HIGGINS, THOMAS JOSEPH | Individual | – | PRINCIPAL OPERATIONS OFFICER | 09/2018 | < 5% |
| LAURIELLO, ANTHONY JOSEPH | Individual | – | MUNICIPAL SECURITIES PRINCIPAL | 02/2019 | < 5% |
| VENEZIA, JOHN JOSEPH | Individual | – | CHIEF COMPLIANCE OFFICER - BROKER DEALER, RIA | 05/2019 | < 5% |
| KLEIN, CRAIG ERIN | Individual | – | CFO, PRINCIPAL FINANCIAL OFFICER | 10/2019 | < 5% |
| GAMBARDELLA, RAFFAELE | Individual | – | COO/CHIEF RISK OFFICER | 06/2020 | < 5% |
| DAVID BOCCHI FAMILY TRUST | Domestic Entity | ALLIANCE GLOBAL HOLDINGS, INC. | PARTNER | 07/2021 | 25-50% |
| BOCCHI, DAVID ARTHUR | Individual | DAVID BOCCHI FAMILY TRUST | TRUSTEE | 09/2020 | > 75% |
| ALLIANCE GLOBAL HOLDINGS, INC. | Domestic Entity | – | HOLDING COMPANY | 07/2021 | > 75% |