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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

BROGAN FINANCIAL

BROGAN FINANCIAL, INC., CRD 133623

KNOXVILLE, TN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:58fb893f-59b8-75c7-8467-f2a41fcee2b1

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 4
On other graphs: 0
Observed: Mar 26, 2012 to Mar 31, 2026
24 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $577MItem 5.F on the latest filing (2026-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $566M
Private client RAUM: $568MderivedItem 5.D individuals plus high net worth individuals
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 7
RAUM per advisor: $82.4Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 31
Advisory employees: 5
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 2,093
Individual clients: 582
High net worth clients: 159
SEC number: 801-69181
CIK: 1889918
CRD: 133623
Filings on the tape: 24
First filed: Mar 26, 2012
Latest filed: Mar 31, 2026
Organised: Corporation, TN

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
JAMES EDWARD BROGAN	n/a	KNOXVILLE, TN	21	25	n/a	no
PETER DANIEL SAGANSKI	n/a	KNOXVILLE, TN	12	35	n/a	no
MARK RICHARD SHREVE	n/a	KNOXVILLE, TN	5	15	1	no
Eric Lee Belew	n/a	KNOXVILLE, TN	5	12	1	no
Brynn Ashley Pierce	n/a	KNOXVILLE, TN	0	12	n/a	no
Jason Surdyk	n/a	KNOXVILLE, TN	0	12	1	no
Tyler Evan Stermetz	n/a	KNOXVILLE, TN	0	10	n/a	no
Jane Anne Maikkula	n/a	KNOXVILLE, TN	0	11	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BROGAN, JAMES, EDWARD	PRESIDENT/CHIEF INVESTMENT OFFICER	E	yes	07/2001	Mar 26, 2012	Jul 31, 2024
SUTTON, SARAH, JEAN	CHIEF COMPLIANCE OFFICER	Na	no	10/2021	Oct 1, 2021	Jul 31, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
BROGAN FINANCIAL INSURANCE PLANNING LLC	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Knoxville	Tn	United States	4	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 2026	$577M	$566M	31	5	0	n/a	n/a
2024	Mar 31, 2025	$533M	$515M	20	4	0	n/a	n/a
2023	Mar 28, 2024	$444M	$429M	22	5	1	n/a	n/a
2022	Mar 31, 2023	$381M	$366M	19	5	0	n/a	n/a
2021	Mar 31, 2022	$398M	$382M	15	5	0	n/a	n/a
2020	Mar 31, 2021	$303M	$290M	14	6	0	n/a	n/a
2019	Mar 31, 2020	$252M	$241M	14	6	0	n/a	n/a
2018	Mar 29, 2019	$219M	$207M	14	6	0	n/a	n/a
2017	Mar 31, 2018	$175M	$163M	10	6	0	n/a	n/a
2016	Mar 31, 2017	$169M	$157M	10	6	n/a	n/a	n/a
2015	Mar 30, 2016	$148M	$143M	10	6	n/a	n/a	n/a
2014	Mar 31, 2015	$139M	$134M	9	4	n/a	n/a	n/a
2013	Mar 27, 2014	$128M	$122M	10	5	n/a	n/a	n/a
2012	Mar 12, 2013	$114M	$108M	10	3	n/a	n/a	n/a
2011	Mar 26, 2012	$102M	$92.8M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	0	0	0	2	2

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$577M	$533M	8.2%	$381M	14.9%	31	20	0	0

Relationships

Registered with (14)

← Tyler Evan StermetzAdvisorregistration: current employment
Jun 18, 2026 to presentfactForm ADV
← Jason SurdykAdvisorregistration: current employment
Apr 8, 2026 to presentfactForm ADV
← Brynn Ashley PierceAdvisorregistration: current employment
Feb 6, 2026 to presentfactForm ADV
← Eric Lee BelewAdvisorregistration: current employment
Sep 8, 2021 to presentfactForm ADV
← MARK RICHARD SHREVEAdvisorregistration: current employment
Sep 2, 2021 to presentfactForm ADV
← PETER DANIEL SAGANSKIAdvisorregistration: current employment
Jun 20, 2014 to presentfactForm ADV
← JAMES EDWARD BROGANAdvisorregistration: current employment
Feb 14, 2005 to presentfactForm ADV
← JAMES Nathan KRAESKEAdvisorregistration: previous registration
Jun 25, 2009 to Jun 17, 2024factForm ADV
← Jay Everett KadlecAdvisorregistration: previous registration
Sep 28, 2023 to Dec 8, 2023factForm ADV
← Aaron Matthew BuckAdvisorregistration: previous registration
Dec 11, 2018 to May 4, 2021factForm ADV
← Richard PolchinskiAdvisorregistration: previous registration
Oct 9, 2018 to Jul 17, 2019factForm ADV
← ALICIA DIANE NEWHOUSEAdvisorregistration: previous registration
Apr 28, 2016 to Sep 21, 2018factForm ADV
← BRANDON MICHAEL ALLEYAdvisorregistration: previous registration
Jan 13, 2014 to Aug 9, 2017factForm ADV
← DOUGLAS DREW MENTZERAdvisorregistration: previous registration
Apr 13, 2007 to Nov 11, 2008factForm ADV

Controls (1)

← BROGAN, JAMES, EDWARDOwnerPRESIDENT/CHIEF INVESTMENT OFFICER, ownership code E, individual
Mar 26, 2012 to Jul 31, 2024factForm ADV

Owns (1)

← SUTTON, SARAH, JEANOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Oct 1, 2021 to Jul 31, 2024factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jun 17, 2024
Advisor changed firm
James Nathan Kraeske left Brogan Financial for Visionary Horizons, Llc (registered 2025-08-04)
Form ADVobserved 6 days ago
Occurred
Dec 8, 2023
Advisor changed firm
Jay Everett Kadlec left Brogan Financial for Forefront (registered 2025-06-17)
Form ADVobserved 6 days ago
Occurred
Oct 1, 2021
Control person left
Ann Theresa Muller (Chief Compliance Officer) no longer on Schedule A of Brogan Financial (listed 2021-03-31, absent 2021-10-01)
Form ADVobserved 6 days ago

Show 1 bookkeeping events

Occurred
Sep 14, 2026
Jane Anne Maikkula registered as an investment adviser representative at Brogan Financial

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:58fb893f-59b8-75c7-8467-f2a41fcee2b1
First observed: Mar 26, 2012
Last observed: Mar 31, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

BROGAN FINANCIAL

BROGAN FINANCIAL, INC., CRD 133623

KNOXVILLE, TN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:58fb893f-59b8-75c7-8467-f2a41fcee2b1

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:57 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JAMES EDWARD BROGAN

n/a

KNOXVILLE, TN

n/a

PETER DANIEL SAGANSKI

n/a

KNOXVILLE, TN

n/a

MARK RICHARD SHREVE

n/a

KNOXVILLE, TN

Eric Lee Belew

n/a

KNOXVILLE, TN

Brynn Ashley Pierce

n/a

KNOXVILLE, TN

n/a

Jason Surdyk

n/a

KNOXVILLE, TN

Tyler Evan Stermetz

n/a

KNOXVILLE, TN

n/a

Jane Anne Maikkula

n/a

KNOXVILLE, TN

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BROGAN, JAMES, EDWARD

PRESIDENT/CHIEF INVESTMENT OFFICER

yes

07/2001

Mar 26, 2012

Jul 31, 2024

SUTTON, SARAH, JEAN

CHIEF COMPLIANCE OFFICER

10/2021

Oct 1, 2021

Jul 31, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

BROGAN FINANCIAL INSURANCE PLANNING LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Knoxville

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 31, 2026

$577M

$566M

n/a

2024

Mar 31, 2025

$533M

$515M

n/a

2023

Mar 28, 2024

$444M

$429M

n/a

2022

Mar 31, 2023

$381M

$366M

n/a

2021

Mar 31, 2022

$398M

$382M

n/a

2020

Mar 31, 2021

$303M

$290M

n/a

2019

Mar 31, 2020

$252M

$241M

n/a

2018

Mar 29, 2019

$219M

$207M

n/a

2017

Mar 31, 2018

$175M

$163M

n/a

2016

Mar 31, 2017

$169M

$157M

n/a

2015

Mar 30, 2016

$148M

$143M

n/a

2014

Mar 31, 2015

$139M

$134M

n/a

2013

Mar 27, 2014

$128M

$122M

n/a

2012

Mar 12, 2013

$114M

$108M

n/a

2011

Mar 26, 2012

$102M

$92.8M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$577M

$533M

8.2%

$381M

14.9%