A.g.p / Alliance Global Partners
Registered investment adviser · Westport, CT · CRD #8361
Form ADV data as of 2026-11-01Regulatory assets
$2.95 billion
Total accounts
7,490
Employees
332
Disclosure events
11
Firm details
- Website: https://www.kscapital.com
- Telephone: 800-727-7922
- SEC file number: 801-70276
- Most recent Form ADV filing: 2026-10-28
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm reports 7 disclosure questions answered Yes, covering 11 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.
- 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 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 | $2.45 billion |
| Non-discretionary regulatory assets under management | $490.2 million |
| Total regulatory assets under management | $2.95 billion |
| Discretionary accounts | 6,848 |
| Non-discretionary accounts | 642 |
| Total accounts | 7,490 |
| Regulatory assets under management attributable to non-U.S. persons | $136.1 million |
People
| Total employees (excluding clerical) | 332 |
| Employees performing investment advisory functions (including research) | 144 |
| Employees who are registered representatives of a broker-dealer | 236 |
| Employees registered as investment adviser representatives with a state | 128 |
| Employees registered as IARs for another investment adviser | 0 |
| Employees who are licensed insurance agents | 69 |
| Firms or persons who solicit advisory clients on the firm's behalf | 1 |
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 | $484.5 million |
| Clients for whom a related person has custody | 500 |
| 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
Advisory services offered
Other business activities
Affiliated related persons
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) | 6,715 | $1.39 billion |
| High net worth individuals | 603 | $1.40 billion |
| Pooled investment vehicles (other than investment companies and BDCs) | 1 | $1.1 million |
| Pension and profit sharing plans (not the participants or government plans) | 41 | $37.5 million |
| Charitable organizations | 10 | $4.0 million |
| Corporations or other businesses not listed above | 120 | $116.9 million |