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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

AGA ADVISORS, LLC

CRD 165772

LAS VEGAS, NV

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:b2f660b7-f7ee-6d73-84d0-cceb36b782e4

Data as of Jan 28, 2014 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 1
On other graphs: 0
Observed: Jan 14, 2014 to Jan 28, 2014
5 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $0Item 5.F on the latest filing (2014-01-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 5
Advisory employees: 3
Accounts: 0
SEC number: 801-79098
CRD: 165772
Filings on the tape: 5
First filed: Jan 14, 2014
Latest filed: Jan 28, 2014
Organised: Limited Liability Company, Nevada

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
AGUILAR, FRANK	President	D	yes	01/2001	Jan 14, 2014	Jan 28, 2014
AGUILAR, FRANK	CHIEF EXECUTIVE OFFICER--MANAGING MEMBER	Na	yes	09/2012	Jan 14, 2014	Jan 28, 2014
ARCHEY, CLAY, LYNN	President	E	yes	01/2014	Jan 14, 2014	Jan 28, 2014
ARCHEY, CLAY, LYNN	CHIEF COMPLIANCE OFFICER--MANAGING MEMBER	Na	yes	09/2012	Jan 14, 2014	Jan 28, 2014
CTDA, INC.	President	B	yes	01/2014	Jan 20, 2014	Jan 28, 2014
GAROFALO, JASON, LEONARD	President	E	yes	05/2001	Jan 14, 2014	Jan 28, 2014
GAROFALO, JASON, LEONARD	PRESIDENT--MANAGING MEMBER	Na	yes	09/2012	Jan 14, 2014	Jan 28, 2014
JASON L. GAROFALO, INC.	President	C	yes	09/2012	Jan 20, 2014	Jan 28, 2014
NAPACA, INC.	President	C	yes	09/2012	Jan 20, 2014	Jan 28, 2014

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
TRICOR ADVISORY SERVICES, LLC	n/a	Former SEC adviser	$137M	N	yes	n/a
TRICOR FINANCIAL SERVICES, LTD.	n/a	n/a	n/a	N	yes	n/a
TRICOR FINANCIAL, LLC	n/a	n/a	n/a	N	yes	n/a

Relationships

Affiliated with (1)

→ TRICOR ADVISORY SERVICES, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (6)

← AGUILAR, FRANKOwnerPRESIDENT, ownership code D, individual
Jan 14, 2014 to presentfactForm ADV
← GAROFALO, JASON, LEONARDOwnerPRESIDENT, ownership code E, individual
Jan 14, 2014 to presentfactForm ADV
← ARCHEY, CLAY, LYNNOwnerPRESIDENT, ownership code E, individual
Jan 14, 2014 to presentfactForm ADV
← CTDA, INC.OwnerPRESIDENT, ownership code B, domestic entity
Jan 20, 2014 to presentfactForm ADV
← JASON L. GAROFALO, INC.OwnerPRESIDENT, ownership code C, domestic entity
Jan 20, 2014 to presentfactForm ADV
← NAPACA, INC.OwnerPRESIDENT, ownership code C, domestic entity
Jan 20, 2014 to presentfactForm ADV

Registered with (1)

← JASON LEONARD GAROFALOAdvisorregistration: previous registration
Mar 6, 2014 to Oct 22, 2014factForm ADV

Dated events

Occurred
Jan 14, 2014
First Form ADV filing
Aga Advisors, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b2f660b7-f7ee-6d73-84d0-cceb36b782e4
First observed: Jan 14, 2014
Last observed: Jan 28, 2014 153 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.

AGA ADVISORS, LLC

CRD 165772

LAS VEGAS, NV

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:b2f660b7-f7ee-6d73-84d0-cceb36b782e4

Data as of Jan 28, 2014 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:43 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

AGUILAR, FRANK

President

yes

01/2001

Jan 14, 2014

Jan 28, 2014

AGUILAR, FRANK

CHIEF EXECUTIVE OFFICER--MANAGING MEMBER

yes

09/2012

Jan 14, 2014

Jan 28, 2014

ARCHEY, CLAY, LYNN

President

yes

01/2014

Jan 14, 2014

Jan 28, 2014

ARCHEY, CLAY, LYNN

CHIEF COMPLIANCE OFFICER--MANAGING MEMBER

yes

09/2012

Jan 14, 2014

Jan 28, 2014

CTDA, INC.

President

yes

01/2014

Jan 20, 2014

Jan 28, 2014

GAROFALO, JASON, LEONARD

President

yes

05/2001

Jan 14, 2014

Jan 28, 2014

GAROFALO, JASON, LEONARD

PRESIDENT--MANAGING MEMBER

yes

09/2012

Jan 14, 2014

Jan 28, 2014

JASON L. GAROFALO, INC.

President

yes

09/2012

Jan 20, 2014

Jan 28, 2014

NAPACA, INC.

President

yes

09/2012

Jan 20, 2014

Jan 28, 2014

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

TRICOR ADVISORY SERVICES, LLC

n/a

Former SEC adviser

$137M

yes

n/a

TRICOR FINANCIAL SERVICES, LTD.

n/a

yes

n/a

TRICOR FINANCIAL, LLC

n/a

yes

n/a