Brogan Financial, Inc.
- Regulatory AUM
- $577M
- Discretionary
- $566M
- Clients
- 746
- Avg AUM / client
- $774K
- Accounts
- 2,093
- Employees
- 31
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 31, 2026
Investments (13F portfolio — 56 positions, $227,363,297)
13F period Mar 31, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Etf Ser Solutions | APTUS COLLRD INV | $81,652,608 | 1,945,963 | 35.9% | 14.2% |
| 2 | Etf Ser Solutions | OPUS SML CP VL | $32,246,852 | 817,618 | 14.2% | 5.59% |
| 3 | Etf Ser Solutions | APTUS DEFINED | $27,510,198 | 1,006,593 | 12.1% | 4.77% |
| 4 | Invesco Exchange Traded Fd T | S&P500 EQL WGT | $26,254,002 | 136,797 | 11.5% | 4.55% |
| 5 | Dimensional Etf Trust | INTL CORE EQT MK | $24,464,101 | 627,929 | 10.8% | 4.24% |
| 6 | Spdr Series Trust | STATE STREET SPD | $6,049,053 | 79,031 | 2.66% | 1.05% |
| 7 | Apple Inc | COM | $3,935,478 | 15,507 | 1.73% | 0.68% |
| 8 | Leidos Holdings Inc | COM | $1,197,516 | 7,700 | 0.53% | 0.21% |
| 9 | Microsoft Corp | COM | $1,178,103 | 3,183 | 0.52% | 0.2% |
| 10 | Nvidia Corporation | COM | $994,560 | 5,703 | 0.44% | 0.17% |
| 11 | Vanguard Index Fds | S&P 500 ETF SHS | $979,229 | 1,639 | 0.43% | 0.17% |
| 12 | Exxon Mobil Corp | COM | $965,245 | 5,689 | 0.42% | 0.17% |
| 13 | Amazon Com Inc | COM | $904,100 | 4,341 | 0.4% | 0.16% |
| 14 | Texas Instrs Inc | COM | $865,004 | 4,456 | 0.38% | 0.15% |
| 15 | Caterpillar Inc | COM | $821,289 | 1,159 | 0.36% | 0.14% |
| 16 | Ishares Tr | RUS 1000 GRW ETF | $793,966 | 1,862 | 0.35% | 0.14% |
| 17 | Procter & Gamble Co | COM | $771,839 | 5,344 | 0.34% | 0.13% |
| 18 | Walmart Inc | COM | $755,111 | 6,076 | 0.33% | 0.13% |
| 19 | Invesco Qqq Tr | UNIT SER 1 | $695,656 | 1,205 | 0.31% | 0.12% |
| 20 | Dimensional Etf Trust | US EQUITY MARKET | $678,763 | 9,572 | 0.3% | 0.12% |
| 21 | Abbvie Inc | COM | $670,561 | 3,083 | 0.29% | 0.12% |
| 22 | Etf Ser Solutions | APTUS DRAWDOWN | $620,872 | 12,561 | 0.27% | 0.11% |
| 23 | Spdr Gold Tr | GOLD SHS | $615,745 | 1,431 | 0.27% | 0.11% |
| 24 | Ishares Tr | RUS 1000 VAL ETF | $568,143 | 2,659 | 0.25% | 0.1% |
| 25 | Chevron Corporation | COM | $555,464 | 2,685 | 0.24% | 0.1% |
Top 25 of 56 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 582 | $240M | 41.6% |
| High net worth individuals | 159 | $327M | 56.7% |
| Charitable organizations | 2 | $936K | 0.16% |
| Corporations and other businesses | 3 | $8.4M | 1.46% |
People (8)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| James Edward Brogan | President/Chief Investment Officer | Jul 2001 (25y) | 75% or more | |
| Sutton, Sarah, Jean | Chief Compliance Officer | Oct 2021 (5y) | Less than 5% | |
| Peter Daniel Saganski | Registered representative | Jun 2014 (12y) | ||
| Mark Richard Shreve | Registered representative | Sep 2021 (5y) | ||
| Eric Lee Belew | Registered representative | Sep 2021 (5y) | ||
| Brynn Ashley Pierce | Registered representative | Feb 2026 (1y) | ||
| Jason Surdyk | Registered representative | Apr 2026 (0y) | ||
| Tyler Evan Stermetz | Registered representative | Jun 2026 (0y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 1.02 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Portfolio management for individuals/small businesses
- • Educational seminars/workshops
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $576M (100% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 31, 2026.
View current Form ADV (SEC/IAPD) ↗