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A.G.P. / ALLIANCE GLOBAL PARTNERS, LLC, CRD 8361
WESTPORT, CT
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| CHRISTOPHER JOHN RIEGER | n/a | NEWPORT BEACH, CA | 17 | 33 | 1 | yes |
| ERIC DANIEL STEINGRUEBNER | Certified Financial Planner | NEWPORT BEACH, CA | 17 | 26 | n/a | yes |
| HEMANT KATHURIA | n/a | NEWPORT BEACH, CA | Reno, NV | 17 | 19 | n/a | yes |
| COREY JOSEPH OBERHOLTZER | Certified Financial Planner | NEWPORT BEACH, CA | SCOTTSDALE, AZ | 17 | 27 | n/a | yes |
| JEFFREY SCOTT PARIS | n/a | BOCA RATON, FL | 16 | 40 | n/a | yes |
| DAVID ECHEVERRIA | n/a | NEWPORT BEACH, CA | 16 | 17 | n/a | yes |
| JOHN WILLIAM CATALFIO | n/a | SCOTTSDALE, AZ | NEWPORT BEACH, CA | 16 | 35 | n/a | yes |
| TODD WILLIAM ROBERTSON | n/a | Altamont, NY | NEWPORT BEACH, CA | 16 | 18 | n/a | yes |
| THOMAS HOWARD ARTHUR | n/a | NEWPORT BEACH, CA | 16 | 31 | 3 | yes |
| MATT WARD | n/a | NEWPORT BEACH, CA | SANTA MONICA, CA | 14 | 35 | n/a | yes |
| ERIC ALFRED BOEGH | n/a | SANTA MONICA, CA | NEWPORT BEACH, CA | 14 | 32 | n/a | yes |
| JONATHAN JOSEPH MENDIOLA | n/a | NEWPORT BEACH, CA | 13 | 35 | n/a | yes |
| MIKE JOHN MASUNAS | n/a | SCOTTSDALE, AZ | NEWPORT BEACH, CA | 12 | 33 | 1 | yes |
| KYLE GRANNAN JONES | n/a | BOCA RATON, FL | 11 | 12 | 1 | yes |
| ANDREW JAY SCHIFF | n/a | New York, NY | 10 | 18 | n/a | yes |
| PHILIP WILLIAM MICHALS | n/a | New York, NY | 8 | 20 | 2 | yes |
| MOSS JASON PLAINE | n/a | New York, NY | 7 | 32 | 1 | yes |
| CHARLES HENRY GARRIDO | n/a | Chicago, IL | New York, NY | 7 | 42 | 3 | yes |
| GREGORY CHARLOT | n/a | BOCA RATON, FL | 7 | 16 | 2 | yes |
| ALEXANDER VLAD YELENSKY | n/a | WESTPORT, CT | 7 | 34 | 2 | yes |
| BEN DAVID DEMBIN | n/a | BOCA RATON, FL | 7 | 33 | 2 | yes |
| ERIC H ZOLDAN | Certified Financial Planner | New York, NY | Raleigh, NC | 7 | 29 | 3 | yes |
| RAYMOND ANTHONY ASMAR | n/a | BOCA RATON, FL | 7 | 41 | 2 | yes |
| Charles Eric Lundblade | Certified Financial Planner | Holmdel, NJ | Clemson, SC | 7 | 19 | 1 | yes |
| LANCE MITCHELL KLUGER | n/a | BOCA RATON, FL | 7 | 29 | 2 | yes |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| GP ADVISOR FUND, LLC | Other Private Fund | $1.2M | Aug 11, 2026 | 3 | Jun 28, 2024 | reported | n/a |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| ALLIANCE GLOBAL HOLDINGS, INC. | HOLDING COMPANY | E | yes | 07/2021 | Jun 7, 2022 | Oct 30, 2024 |
| BOCCHI, DAVID ARTHUR | Trustee | E | yes | 09/2020 | Nov 17, 2020 | Oct 30, 2024 |
| DAVID BOCCHI FAMILY TRUST | Partner | C | yes | 07/2021 | Nov 17, 2020 | Oct 30, 2024 |
| GAMBARDELLA, RAFFAELE | COO/CHIEF RISK OFFICER | Na | yes | 06/2020 | Apr 17, 2018 | Oct 30, 2024 |
| GAMBARDELLA, RAFFAELE | Partner | C | yes | 07/2021 | Apr 17, 2018 | Oct 30, 2024 |
| KLEIN, CRAIG ERIN | CFO, PRINCIPAL FINANCIAL OFFICER | Na | yes | 10/2019 | Sep 23, 2020 | Oct 30, 2024 |
| MICHALS, PHILLIP WILLIAM | CHIEF EXECUTIVE OFFICER | Na | yes | 01/2019 | Apr 17, 2018 | Oct 30, 2024 |
| MICHALS, PHILLIP WILLIAM | Partner | C | yes | 07/2021 | Apr 17, 2018 | Oct 30, 2024 |
| VENEZIA, JOHN JOSEPH | CHIEF COMPLIANCE OFFICER - BROKER DEALER, RIA | Na | yes | 05/2019 | Sep 30, 2019 | Oct 30, 2024 |
| HIGGINS, THOMAS JOSEPH | PRINCIPAL OPERATIONS OFFICER | Na | no | 09/2018 | Oct 12, 2018 | Oct 30, 2024 |
| LAURIELLO, ANTHONY JOSEPH | MUNICIPAL SECURITIES PRINCIPAL | Na | no | 02/2019 | Sep 30, 2019 | Oct 30, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| NEW YORK | NY | United States | 31 | yes |
| BOCA RATON | FL | United States | 26 | yes |
| NEW YORK | NY | United States | 18 | yes |
| NEWPORT BEACH | CA | United States | 12 | yes |
| Holmdel | Nj | United States | 10 | yes |
| Scottsdale | Az | United States | 7 | yes |
| BOCA RATON | FL | United States | 4 | yes |
| Chicago | IL | United States | 4 | yes |
| Charlotte | Nc | United States | 4 | yes |
| ROCHELLE PARK | Nj | United States | 4 | yes |
| Clemson | Sc | United States | 4 | yes |
| SANTA MONICA | CA | United States | 3 | yes |
| Miami | FL | United States | 3 | yes |
| HILTON HEAD | Sc | United States | 3 | yes |
| Washington | Dc | United States | 2 | yes |
| Aventura | FL | United States | 2 | yes |
| NEW YORK | NY | United States | 1 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 29, 2026 | $2.3B | $1.9B | 320 | 140 | 17 | 1 | n/a |
| 2024 | Sep 30, 2024 | $1.7B | $1.6B | 318 | 149 | 17 | 1 | $1.0M |
| 2023 | Sep 29, 2023 | $1.3B | $573M | 283 | 163 | 15 | n/a | n/a |
| 2022 | Sep 30, 2022 | $1.2B | $550M | 267 | 123 | 11 | n/a | n/a |
| 2021 | Sep 28, 2021 | $1.3B | $563M | 256 | 92 | 10 | n/a | n/a |
| 2020 | Sep 23, 2020 | $933M | $396M | 198 | 82 | 9 | n/a | n/a |
| 2019 | Sep 30, 2019 | $564M | $534M | 156 | 47 | 8 | n/a | n/a |
| 2018 | Jul 25, 2018 | $625M | $580M | 57 | 52 | 9 | n/a | n/a |
| 2017 | Aug 14, 2017 | $475M | $475M | 57 | 52 | n/a | n/a | n/a |
| 2016 | Aug 5, 2016 | $500M | $500M | 59 | 28 | n/a | n/a | n/a |
| 2015 | Jul 6, 2015 | $540M | $540M | 62 | 32 | n/a | n/a | n/a |
| 2014 | Sep 3, 2014 | $612M | $612M | 72 | 50 | n/a | n/a | n/a |
| 2013 | Aug 9, 2013 | $518M | $504M | 84 | 57 | n/a | n/a | n/a |
| 2012 | Sep 6, 2012 | $295M | $284M | n/a | n/a | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 12 | 2 | 10 | 1.5% | 3 | 0 | 0 | 36 | 8 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $2.3B | $1.7B | 36.2% | $1.2B | 22.6% | 320 | 318 | 17 | 17 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC | 2 | Oct 5, 2020 | Oct 5, 2020 | NEWPORT BEACH, CA | Team lift out | RIA to ibd | 3.6% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| B. RILEY WEALTH ADVISORS, INC. | 2 | Jun 29, 2026 | Jul 15, 2026 | RIDGEWOOD, NJ | Team lift out | Ibd to RIA | 1.2% |
| MAXIM FINANCIAL ADVISORS LLC | 2 | Feb 21, 2025 | Jan 29, 2025 | NEW YORK, NY | Team lift out | RIA to RIA | 5.4% |
| B. RILEY WEALTH ADVISORS, INC. | 2 | Apr 18, 2024 | Apr 17, 2024 | CHARLOTTE, NC | Team lift out | Ibd to RIA | 0.6% |
| B. RILEY WEALTH ADVISORS, INC. | 2 | Mar 4, 2024 | Feb 28, 2024 | WASHINGTON, DC | Team lift out | Ibd to RIA | 0.6% |
| AEGIS CAPITAL CORP. | 3 | Dec 22, 2023 | Dec 1, 2023 | ROCHELLE PARK, NJ | Team lift out | Ibd to RIA | 4.3% |
| STIFEL, NICOLAUS & COMPANY, INCORPORATED | 2 | Aug 24, 2023 | Aug 21, 2023 | CHARLOTTE, NC | Team lift out | Ibd to RIA | 0.1% |
| B. RILEY WEALTH ADVISORS, INC. | 3 | Jul 19, 2022 | Jul 21, 2022 | NEW YORK, NY | Team lift out | Ibd to RIA | 1.2% |
| LPL FINANCIAL LLC | 2 | Dec 22, 2021 | Jan 24, 2023 | FT LAUDERDALE, FL | Team lift out | Ibd to RIA | 0.0% |
| AEGIS CAPITAL CORP. | 2 | May 26, 2021 | May 24, 2021 | HOLMDEL, NJ | Team lift out | Ibd to RIA | 5.0% |
| AEGIS CAPITAL CORP. | 3 | Mar 19, 2021 | Apr 12, 2021 | NEW YORK, NY | Team lift out | Ibd to RIA | 7.0% |
| SPARTAN CAPITAL PRIVATE WEALTH MANAGEMENT LLC | 2 | Jul 10, 2020 | Jun 28, 2020 | WESTON, CT | Team lift out | Other | 33.3% |
| SUMMIT FINANCIAL GROUP INC | 2 | Aug 23, 2019 | Aug 26, 2019 | BOCA RATON, FL | Team lift out | Ibd to ibd | 0.7% |
| FORESTERS ADVISORY SERVICES, LLC | 2 | Feb 4, 2019 | Mar 19, 2019 | SUNRISE, FL | Team lift out | Ibd to ibd | 0.6% |