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ASG INVESTMENT MANAGEMENT, LLC

RENFREW, PA · CRD 292445 · IAPD ↗ · asgretire.com · 724-287-4071

$234.8MRegulatory AUM
2Advisory reps
9Employees
0Clients
More than 500Planning clients
0Private funds
2States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

60
April 2026 — ASG INVESTMENT MANAGEMENT, LLC (RENFREW, PA) left the SEC roster (was $234.8M RAUM, 2 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
58
April 2025 — ASG INVESTMENT MANAGEMENT, LLC reports More than 500 financial-planning clients, up from 251-500.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
60
April 2025 — ASG INVESTMENT MANAGEMENT, LLC reported RAUM up 29% ($182.6M -> $234.8M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.