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Aditya Saraogi

A.G.P / Alliance Global Partners
24 Years of Experience
Miami, FL
2 DisclosuresBroker
View SEC Summary
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Aditya Saraogi is a registered investment advisor at A.G.P / Alliance Global Partners, based in Miami, FL, with 24 years of industry experience. Aditya 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
—
View Full SEC Brochure

Location

Miami, FL

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History

Regulatory History (2)
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.
Customer Dispute
March 2010
Closed-No Action
Customer Dispute
September 2008
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Aditya owns real estate in Orlando since 2008 and Choice One Financial LLC since 2009, which he uses to pay for business expenses. He also works as a consultant for IFB Agro Industries Limited, dedicating a few hours per week to this role.

Employment History
Current Registrations
A.G.P / Alliance Global Partners
November 2022 - Present · 3 yrs 11 mos
A.G.P. / Alliance Global Partners
November 2022 - Present · 3 yrs 11 mos
A.G.P. / Alliance Global PartnersBroker
November 2022 - Present · 3 yrs 11 mos
Previous Registrations
Ameriprise Financial Services, LLC
September 2015 - November 2022 · 7 yrs 2 mos
Ameriprise Financial Services, LLCBroker
August 2015 - November 2022 · 7 yrs 3 mos
Jhs Capital Advisors, LLCBroker
July 2009 - August 2015 · 6 yrs 1 mo
Aura Financial Services, INC.Broker
January 2003 - July 2009 · 6 yrs 6 mos
Continental Broker-Dealer CORP.Broker
January 2002 - February 2003 · 1 yr 1 mo
Allmerica Investments, INC.Broker
January 2002 - April 2002 · 3 mos
State Registrations18 states
CADCFLGAILINKYMIMNNCNJNYORPATNTXVAWA
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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