A.G.P. / ALLIANCE GLOBAL PARTNERS, LLC

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A.G.P. / ALLIANCE GLOBAL PARTNERS, LLC

UUID95e4399f-49a4-50c8-912e-c849abaff231

TypeASSET_MANAGER

Status—

Created2025-10-23 02:23:49

Updated2025-10-23 02:24:38

Available Loaders

SEC Form ADV (XLSX Metrics)

Loads advanced metrics from the monthly IAPD XLSX exports (RAUM breakdown, client mix, service flags) into the adv_metrics table.

Open
SEC Form ADV Part 1 (Bulk)

Loads Form ADV Part 1 bulk data from the local CSV snapshot. Includes headquarters info, aliases, control persons, and evidence links.

Open

Identifiers

Authority	Identifier	Display	As Of	Confidence
adv_crd	8361	8361	—	1.0
sec_file_number	801-70276	801-70276	—	—

Profile

WebsiteHTTPS://WWW.COLEAARONSON.COM

HQ CityWESTPORT

HQ StateCT

HQ CountryUnited States

AUM (USD)—

AUM As OfNone

Aliases:

A.G.P / ALLIANCE GLOBAL PARTNERS adv_part1

ADV Metrics

Assets & Accounts

RAUM (total)1,689,281,243.0
RAUM (discretionary)1,561,922,474.0
Actionable assets629,552,342.0
Accounts5,849.0

Institutional Clients

Government AUM—
Pension AUM12,678,215.0
Charitable AUM622,553.0
HNW AUM532,156,151.0

As of 2024-10-30 00:00:00 • Source ia09022025.xlsx

People

Name	Title	Role	Email	Evidence
ALLIANCE GLOBAL HOLDINGS, INC.	HOLDING COMPANY	OFFICER	—	{"filing_id": "2018853", "owner_id": null, "source": "adv_part1", "table": "Schedule_A_B"}
BOCCHI, DAVID ARTHUR	TRUSTEE	OFFICER	—	{"filing_id": "2018853", "owner_id": "5713167", "source": "adv_part1", "table": "Schedule_A_B"}
DAVID BOCCHI FAMILY TRUST	PARTNER	OFFICER	—	{"filing_id": "2018853", "owner_id": null, "source": "adv_part1", "table": "Schedule_A_B"}
GAMBARDELLA, RAFFAELE	COO/CHIEF RISK OFFICER	OFFICER	—	{"filing_id": "2018853", "owner_id": "2448073", "source": "adv_part1", "table": "Schedule_A_B"}
KLEIN, CRAIG ERIN	CFO, PRINCIPAL FINANCIAL OFFICER	OFFICER	—	{"filing_id": "2018853", "owner_id": "3253836", "source": "adv_part1", "table": "Schedule_A_B"}
MICHALS, PHILLIP WILLIAM	PARTNER	OFFICER	—	{"filing_id": "2018853", "owner_id": "2414124", "source": "adv_part1", "table": "Schedule_A_B"}
VENEZIA, JOHN JOSEPH	CHIEF COMPLIANCE OFFICER - BROKER DEALER, RIA	OFFICER	—	{"filing_id": "2018853", "owner_id": "2737135", "source": "adv_part1", "table": "Schedule_A_B"}
HIGGINS, THOMAS JOSEPH	PRINCIPAL OPERATIONS OFFICER	EMPLOYEE	—	{"filing_id": "2018853", "owner_id": "1477505", "source": "adv_part1", "table": "Schedule_A_B"}
LAURIELLO, ANTHONY JOSEPH	MUNICIPAL SECURITIES PRINCIPAL	EMPLOYEE	—	{"filing_id": "2018853", "owner_id": "1086881", "source": "adv_part1", "table": "Schedule_A_B"}

Outbound Affiliations

Relation	Organization	Last Updated	Evidence
No outbound affiliations.

Inbound Affiliations

Relation	Organization	Last Updated	Evidence
No inbound affiliations.

Evidence

adv_part1

data/raw/sec_adv/raw_adv/ADV_Filing_Data_20250901_20250930/IA_ADV_Base_A_20250901_20250930.csv 2025-10-23 02:24:38 • csv
```
{
  "date_submitted": "09/30/2025 04:03:44 PM",
  "filing_id": "2018853",
  "reg_type": "IA"
}
```

A.G.P. / ALLIANCE GLOBAL PARTNERS, LLC

Available Loaders

SEC Form ADV (XLSX Metrics)

SEC Form ADV Part 1 (Bulk)

Identifiers

Profile

ADV Metrics

Assets & Accounts

Institutional Clients

People

Outbound Affiliations

Inbound Affiliations

Evidence

adv_part1