Charlotte, NC Office
TeamData sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
A.G.P / Alliance Global Partners
Multi-team
Firm-wide stats for A.G.P / Alliance Global Partners
About
A.G.P. / Alliance Global Partners is a dually registered SEC investment adviser and FINRA‑member broker‑dealer serving individual clients (including high‑net‑worth households), retirement plans, and pooled/institutional vehicles across a multi‑team platform. The firm offers discretionary and non‑discretionary portfolio management, financial and estate planning (including a partnership with Trust & Will), model and wrap fee programs, third‑party sub‑advisory arrangements, and brokerage and insurance product distribution.
Investment advice is delivered through a mix of strategies with a notable emphasis on international investing via the EPC Advisors Group division, combining top‑down country/currency analysis with bottom‑up security selection; A.G.P. also offers A.G.P. Model Portfolios (primarily ETF‑based) and separately managed accounts implemented by sub‑advisers such as EPAM. Client work generally begins with gathering financial information and setting objectives in an Investment Policy Statement, after which portfolios may be managed on a discretionary basis with periodic reviews, rebalancing, and the occasional use of derivatives or margin where deemed suitable.
Distinctive features relative to many multi‑team peers include the firm’s active broker‑dealer operations and other financial product sales, its role as adviser to pooled vehicles (such as GP Advisor Fund) and affiliation with a private fund (AGP Alternative Investment Fund II), and the management of pooled‑vehicle accounts — all activities that are statistically uncommon for firms in this category. The firm has also disclosed regulatory matters in recent years (including actions involving the SEC, FINRA, Nasdaq and a state insurance agency) and publicly discloses various custodian revenue‑sharing and rebate arrangements (for example with Fidelity and RBC); its advisory pricing is generally negotiated as percentage‑of‑AUM rather than presented as fixed fees.
Based on A.G.P / Alliance Global Partners
Expertise
Based on A.G.P / Alliance Global Partners
Location
700 East Blvd, Unit 3
Charlotte NC 28203
Advisors at this office
5
Advisors at this office
William V
Series 63, Series 65, Series 66
Charlotte, NC
A.G.P. / Alliance Global Partners
William Van Pelt is a financial advisor with A.G.P. / Alliance Global Partners, holding Series 63, 65, and 66 licenses and bringing 53 years of industry experience. His prior roles include positions at Stifel Nicolaus & Co Inc, Wells Fargo Clearing, and UBS Financial Services. Van Pelt serves as a FINRA arbitrator and is a board member of the Saint Nicholas Society of the City of New York, a genealogy organization. A.G.P. / Alliance Global Partners is a dually registered SEC investment adviser and FINRA-member broker-dealer servicing individual clients, retirement plans, and institutional vehicles through a multi-team platform. The firm offers a range of portfolio management options, financial and estate planning, and maintains a notable focus on international investing along with management of pooled vehicles and active broker-dealer operations.
James P
Series 63, Series 65
Charlotte, NC
A.G.P. / Alliance Global Partners
James Pinzker is a financial advisor at A.G.P. / Alliance Global Partners with 32 years of industry experience. He previously worked at firms including B. Riley Wealth Management, National Securities Corporation, Oppenheimer, UBS Financial Services, and Citigroup Global Markets. Outside of finance, he is a passive investor in two unrelated businesses: a barbecue operation and a coffee shop. A.G.P. / Alliance Global Partners is a multi-team SEC-registered investment adviser and FINRA-member broker-dealer serving individual clients, retirement plans, and pooled/institutional vehicles. The firm employs a variety of investment strategies with an emphasis on international investing and offers discretionary portfolio management, financial and estate planning, model portfolios, and brokerage and insurance product distribution.
Patricia V
Series 66
Charlotte, NC
A.G.P. / Alliance Global Partners
Patricia Van Pelt is a financial advisor with A.G.P. / Alliance Global Partners in Charlotte, NC, holding a Series 66 designation and six years of industry experience. Her career includes roles at Stifel Nicolaus, Stifel, and Grandview Financial Group. She is also involved with a separate business entity, Van Pelt & Company. A.G.P. / Alliance Global Partners is a dually registered SEC investment adviser and FINRA-member broker-dealer that serves individual and institutional clients through a multi-team platform, offering portfolio management, financial and estate planning, and a range of advisory and brokerage services with a focus on international investing and pooled vehicle management.
Sarah P
Series 66
Charlotte, NC
A.G.P. / Alliance Global Partners
Sarah Peter is a financial advisor with A.G.P. / Alliance Global Partners in Charlotte, NC, holding a Series 66 designation and four years of industry experience. Her work history includes roles at B. Riley Wealth Management, B. Riley Wealth Advisors, and National Securities Corp. A.G.P. / Alliance Global Partners is a dually registered SEC investment adviser and FINRA-member broker-dealer serving individual clients, retirement plans, and pooled vehicles across a multi-team platform. The firm emphasizes international investing through its EPC Advisors Group division and offers a range of portfolio management and financial planning services.
Jonathan M
CFP®, Series 66
Charlotte, NC
A.G.P. / Alliance Global Partners
Jonathan Moody is a CFP® professional with seven years of industry experience, currently serving as a financial advisor at A.G.P. / Alliance Global Partners since 2024. He previously worked at Stifel Financial Corp. for five years and has additional experience at Capitol Financial Solutions and Carroll Financial. Moody has held instructional roles at Winthrop University and Central Piedmont Community College. A.G.P. / Alliance Global Partners is a multi-team firm that serves individual clients, including high-net-worth households, retirement plans, and institutional vehicles. The firm offers a range of services including discretionary and non-discretionary portfolio management, financial and estate planning, and brokerage and insurance products, with a notable emphasis on international investing and management of pooled vehicles.
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