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AG FINANCIAL, LLC
AG FINANCIAL, LLC (CRD# 140226) is an SEC-Registered Investment Advisor (RIA), headquartered in Salt Lake City, UT. The SEC approved the firm to operate as an RIA in Apr 2006. In Jan 2018, the firm reported total Regulatory Assets Under Management (RAUM) of $111.0 Million, and has discretion over 95% of those assets.   Pooled investment vehicles (Private Funds) account for 0% of RAUM.   Non-US investors represent 0% .  
 
AG FINANCIAL, LLC also reported in Jan 2018:
  • 2 employees, all of whom perform advisory functions.
  • A total of 2 office locations.
  • No registrations with foreign financial regulatory authorities.
  • NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
AG FINANCIAL, LLC has no disclosure events reported to the SEC at this time.
 

View AG FINANCIAL, LLC's most recent Form ADV filing
 


AG FINANCIAL, LLC has Notice Filings with the following State Securities Authorities: AZ-Apr 2006, CA-Feb 2014, TX-Nov 2007, UT-Apr 2006, WA-Jan 2018 , WY-Jan 2018

Disclaimer:  The information presented above was gleaned from the SEC website and is believed to be accurate.  FindingFraud.org is presenting this data for informational purposes only and assumes no responsibility for errors or omissions.  Please note that we are aware of many instances where RIAs provided erroneous data to the SEC.  Feel Free to contact FindingFraud.org with questions or concerns.