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Roger Follis

A.G.P / Alliance Global Partners
30 Years of Experience
Washington, DC
4 DisclosuresBroker
View SEC Summary
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Roger Follis is a registered investment advisor at A.G.P / Alliance Global Partners, based in Washington, DC, with 30 years of industry experience. Roger is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include High Net Worth, Investment Management, Retirement Planning. Their firm serves 6,959 clients with $2.3B in assets under management.

A.G.P / Alliance Global Partners
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
131 advisors
Number of Clients
6,959 clients
Average Client Portfolio
$331K average
Assets Under Management
$2.3B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any3.00%

Fees are negotiable and range up to 3% for the Portfolio Adviser II and EPC programs, up to 2% for the Wrap Fee Program, and up to 2.5% for other third-party management programs.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

Washington, DC

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History

Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
January 2026
Final
Regulatory
December 2025
Final
Employment Separation After Allegations
February 2024
Customer Dispute
December 2023
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
A.G.P / Alliance Global Partners
February 2024 - Present · 2 yrs 8 mos
A.G.P. / Alliance Global Partners
February 2024 - Present · 2 yrs 8 mos
A.G.P. / Alliance Global PartnersBroker
February 2024 - Present · 2 yrs 8 mos
Previous Registrations
B. Riley Wealth Advisors, INC.
July 2022 - March 2024 · 1 yr 8 mos
B. Riley Wealth ManagementBroker
October 2020 - March 2024 · 3 yrs 5 mos
B Riley Wealth Management
October 2020 - December 2022 · 2 yrs 2 mos
Wells Fargo Advisors Financial Network, LLCBroker
February 2013 - October 2020 · 7 yrs 8 mos
Wells Fargo Advisors Financial Network, LLC
February 2013 - October 2020 · 7 yrs 8 mos
Raymond James Financial Services Advisors, INC
January 2009 - February 2013 · 4 yrs 1 mo
Raymond James Financial Services
March 2005 - January 2009 · 3 yrs 10 mos
Raymond James Financial Services, INC.Broker
November 2002 - February 2013 · 10 yrs 3 mos
Crystal Asset Management, LLC
January 2001 - January 2003 · 2 yrs
Robertson Stephens, INC.Broker
January 1999 - December 2000 · 1 yr 11 mos
Bear, Stearns & CO. INC.Broker
June 1997 - February 1999 · 1 yr 8 mos
Montgomery SecuritiesBroker
October 1995 - June 1997 · 1 yr 8 mos
State Registrations23 states
AZCACOCTDCFLGAINMDMINHNJNMNYOHOKORPASCTXVAWAWI
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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