Brogan Financial, Inc. (Knoxville)

Name: Brogan Financial, Inc.
Address: 8351 E Walker Springs Lane, Knoxville, TN, 37923
Telephone: (865) 862-6800

Brogan Financial, Inc. is a large advisory firm based in Knoxville. It manages $218.65 million of regulatory assets for 1,318 client accounts. It has been registered with the SEC as an adviser since 2008 and has operated in the jurisdictions of Florida, South Carolina, Tennessee, and Texas.

Brogan Financial provides financial planning services, portfolio management for individuals and small businesses, educational seminars and workshops, and radio program focusing on wealth, financial and general issues. It prepares financial plans for more than 499 clients. On top of advisory services, the firm doesn't engage in other business activities.

Brogan Financial: assets under management

The assets under management (AUM) of Brogan Financial, Inc. is $218.65 million. The firm's AUM has grown by 278% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $207.11 million in discretionary accounts and $11.55 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $159.07 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $721.65 thousand.

Investments

The firm invests in investment and business development companies the most. They account for 69% of the total AUM. The second-largest asset type is exchange traded securities, which make up 21% of the firm’s portfolio. Investments in cash and cash equivalents form 5% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Brogan Financial, Inc. for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients James Edward Brogan serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of James Edward Brogan is individuals with 492 clients and $134.7 million of assets under management. Among the 9 most similar advisory firms, Brogan Financial has the 4th highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $218.65 million for 544 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Brogan Financial doesn't advise any private funds.

Careers at Brogan Financial, Inc.

The company employs 14 people that are either part- or full-time employees. 43 percent of the employees work as investment advisers or researchers. 6 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

James Edward Brogan has been acting as President since 1 Jul 2001. Brandon Michael Alley joined the executive team most recently as the Operations Manager.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
James Edward Brogan	President/chief investment officer	1 Jul 2001	75% - 100%	2470219
Jamie Lyn Scott	Chief compliance officer	1 Feb 2012	Other	2984739
Theresa Ann Muller	Chief compliance officer	1 Oct 2013	Other	5853117
Brandon Michael Alley	Operations manager	1 Feb 2014	Other	6287768

Based in Knoxville

The principal office where Brogan Financial, Inc. performs its advisory services is located at 8351 E Walker Springs Lane, Knoxville, TN 37923, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number (865) 862-6800 or by fax (865) 862-6818. The normal business hours are 8:00am -5:00pm on Monday - Friday. You can find more information about the New York firm at broganfinancial.com/.