A.g.p / Alliance Global Partners

Registered investment adviser · Westport, CT · CRD #8361

Form ADV data as of 2026-09-01

Regulatory assets

$2.30 billion

Total accounts

6,959

Employees

320

Disclosure events

Firm details

Website: https://www.agplowcountry.com
Telephone: 800-727-7922
SEC file number: 801-70276
Most recent Form ADV filing: 2026-08-11
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 9 disclosure questions answered Yes, covering 13 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

Charged with a felony (past 10 years)
SEC or CFTC found a violation of its regulations or statutes
SEC or CFTC entered an order in connection with investment-related activity
SEC or CFTC imposed a civil money penalty or a cease-and-desist order
Another regulator found a false statement, omission, or dishonest, unfair, or unethical conduct
Another regulator found a violation of investment-related regulations or statutes
Another regulator entered an order in connection with investment-related activity (past 10 years)
Another regulator denied, suspended, or revoked a registration or restricted activity
A self-regulatory organization found a violation of its rules

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$1.89 billion
Non-discretionary regulatory assets under management	$405.2 million
Total regulatory assets under management	$2.30 billion
Discretionary accounts	5,973
Non-discretionary accounts	986
Total accounts	6,959
Regulatory assets under management attributable to non-U.S. persons	$130.4 million

People

Total employees (excluding clerical)	320
Employees performing investment advisory functions (including research)	140
Employees who are registered representatives of a broker-dealer	258
Employees registered as investment adviser representatives with a state	120
Employees registered as IARs for another investment adviser	0
Employees who are licensed insurance agents	49
Firms or persons who solicit advisory clients on the firm's behalf	2

Custody

Has custody of client cash or bank accounts	No
Has custody of client securities	No
A related person has custody of client cash or bank accounts	Yes
A related person has custody of client securities	Yes
Client funds and securities held in a related person's custody	$69.3 million
Clients for whom a related person has custody	200
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No
Number of persons acting as qualified custodians for the firm's clients	1

How the firm is compensated

A percentage of assets under managementHourly chargesOther

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)

Other business activities

Broker-dealer (registered or unregistered)Other financial product salesperson

Affiliated related persons

Other investment adviser (including financial planners)

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys securities from or sells securities to advisory clients (principal transactions)
Buys or sells for itself securities it also recommends to clients
Recommends securities in which it has another proprietary interest
Executes agency cross transactions involving advisory client securities
Recommends securities in which it has another sales interest
Brokers or dealers selected under 8.C.(3) are related persons

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	6,208	$1.15 billion
High net worth individuals	427	$977.1 million
Pooled investment vehicles (other than investment companies and BDCs)	1	$1.2 million
Pension and profit sharing plans (not the participants or government plans)	209	$64.0 million
Charitable organizations	8	$3.6 million
Corporations or other businesses not listed above	106	$104.8 million