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A.G.P / ALLIANCE GLOBAL PARTNERS

WESTPORT, CT · CRD 8361 · IAPD ↗ · agplowcountry.com · 800-727-7922

$2.95BRegulatory AUM
144Advisory reps
332Employees
0Clients
101-250Planning clients
1Private funds
53States
11Disclosures
wealthSegment
ApprovedSEC status

Filing changes

47
October 2026 — A.G.P / ALLIANCE GLOBAL PARTNERS notice-filed in VI.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
55
October 2026 — A.G.P / ALLIANCE GLOBAL PARTNERS added office(s): 17 -> 19 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
65
October 2026 — A.G.P / ALLIANCE GLOBAL PARTNERS reported RAUM up 28% ($2.30B -> $2.95B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
55
February 2026 — A.G.P / ALLIANCE GLOBAL PARTNERS's Item 11 disclosure-reporting entries rose by 3 (10 -> 13).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
December 2025 — A.G.P / ALLIANCE GLOBAL PARTNERS's Item 11 disclosure-reporting entries rose by 3 (7 -> 10).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
December 2025 — A.G.P / ALLIANCE GLOBAL PARTNERS shrank from 149 to 140 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
67
December 2025 — A.G.P / ALLIANCE GLOBAL PARTNERS reported RAUM up 36% ($1.69B -> $2.30B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
55
October 2024 — A.G.P / ALLIANCE GLOBAL PARTNERS shrank from 163 to 149 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
55
October 2024 — A.G.P / ALLIANCE GLOBAL PARTNERS added office(s): 15 -> 17 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
65
October 2024 — A.G.P / ALLIANCE GLOBAL PARTNERS reported RAUM up 28% ($1.32B -> $1.69B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
75
July 2024 — A.G.P / ALLIANCE GLOBAL PARTNERS now reports 1 private fund(s) ($1.0M gross).
Firm reports private funds for the first time.
Fund administrationCompliance

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