Brogan Financial provides portfolio management for individuals and small businesses, educational seminars, business succession planning, estate planning, financial planning, insurance, and tax planning.
Brogan Financial reports 746 clients. They include 582 individual clients, 159 high-net-worth individuals, and 3 corporations and other businesses. Of its assets, 98.0% ($566M across 2,045 accounts) are managed with discretion; $11.3M across 48 accounts are not. Of its clients, 1% are outside the U.S. It advised 1 client without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 78% | 42% |
| High-net-worth individuals | 21% | 57% |
| Charitable organizations | <1% | <1% |
| Corporations and other businesses | <1% | 1% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 582 | $240M | 41.6% | $413K |
| High-net-worth individuals | 159 | $327M | 56.7% | $2.06M |
| Charitable organizations | Fewer than 5 | $936K | 0.2% | $468K |
| Corporations and other businesses | Fewer than 5 | $8.44M | 1.5% | $2.81M |
| Total | 746 | $577M | 100% | — |
- Clients
- 582
- Regulatory AUM
- $240M
- AUM share
- 41.6%
- Avg. per client
- $413K
- Clients
- 159
- Regulatory AUM
- $327M
- AUM share
- 56.7%
- Avg. per client
- $2.06M
- Clients
- Fewer than 5
- Regulatory AUM
- $936K
- AUM share
- 0.2%
- Avg. per client
- $468K
- Clients
- Fewer than 5
- Regulatory AUM
- $8.44M
- AUM share
- 1.5%
- Avg. per client
- $2.81M
Total
- Clients
- 746
- Regulatory AUM
- $577M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 1%
- Clients advised without assets under management last fiscal year
- 1
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 0
Brogan Financial charges up to 2.00% a year for its Asset Management Service. The fee is billed in arrears and is negotiable. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Financial Planning
- Separate financial planning is billed at $300.00 per hour, or as a negotiated flat fee for clients who qualify.
James Brogan owns 75% or more of Brogan Financial. The leadership team of Brogan Financial includes President James Brogan and Chief Compliance Officer Sarah Sutton. It has 31 employees, 5 of them in advisory roles.
Staff
- 31 employees
- 5 in advisory functions
- 5 state-registered reps
- 6 insurance agents
- Owns 75% or more of Brogan Financial, Inc.
James Brogan
Control person · since July 2001
Brogan Financial’s regulatory assets grew 1.9× from $303M (March 2021) to $577M (March 2026); clients rose from 589 to 746 and employees from 14 to 31.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Mar 2026March 2026 | $577M | 746 | 31 | 1 |
| Mar 2025March 2025 | $533M | 761 | 20 | 1 |
| Jul 2024July 2024 | $444M | 692 | 22 | 2 |
| Mar 2023March 2023 | $381M | 667 | 19 | 1 |
| Mar 2022March 2022 | $398M | 613 | 15 | 1 |
| Mar 2021March 2021 | $303M | 589 | 14 | 1 |
Besides its headquarters, Brogan Financial has 0 offices, with 1 listed address in 1 state.
Tennessee · 1 listed address
- 2160 Lakeside Centre Way, Suite 102, KnoxvilleHQ
Contact and registration details
- Legal name
- Brogan Financial, Inc.
- Headquarters
- 2160 Lakeside Centre Way, Suite 102, Knoxville, TN 37922
- Website
- broganfinancial.com
- Phone
- 865-862-6800
- @brogan-financial-inc-
- SEC file
- 801-69181
- Founded
- 2001
- Structure
- Tennessee corporation
- Fiscal year end
- December
Brogan Financial’s named custodian for separately managed accounts is Charles Schwab ($576M). Brogan Financial does not have custody of client assets.
- Charles SchwabCharles Schwab & Co., Inc. · West Lake, TX · $576M100%
At year end, Brogan Financial’s separately managed accounts were mostly in funds (89%). Its reported 13F holdings for the quarter ended 30 June 2026 total $250M across 64 positions; the largest are ETF Ser Solutions (35.9%), ETF Ser Solutions (13.9%) and ETF Ser Solutions (11.7%).
What the accounts hold
- Stocks6%
- Funds89%
- Cash5%
How many clients does Brogan Financial have?
Brogan Financial has 746 clients and manages $577 million for them, as of March 2026. They include 582 individual clients, 159 high-net-worth individuals, and 3 corporations and other businesses.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 31 March 2026
What services does Brogan Financial offer?
Brogan Financial provides portfolio management for individuals and small businesses, educational seminars, business succession planning, estate planning, financial planning, insurance, and tax planning.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4
How much does Brogan Financial charge?
Brogan Financial charges up to 2.00% a year for its Asset Management Service. The fee is billed in arrears and is negotiable.
Which custodians does Brogan Financial use?
Brogan Financial’s separately managed account assets are held at Charles Schwab & Co., Inc. (West Lake, TX), with $576M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 31 March 2026
How many financial advisors does Brogan Financial have?
Brogan Financial has 5 investment adviser representatives registered with state securities authorities, out of 31 employees, and 5 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 6 employees are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Brogan Financial invest in?
At the end of its last fiscal year, Brogan Financial’s separately managed accounts held 89% registered funds (mutual funds, ETFs, BDCs), 6% exchange-traded equities and 5% cash and equivalents.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Brogan Financial?
Brogan Financial’s direct owner is James Brogan (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 31 March 2026
How does Brogan Financial get paid?
Brogan Financial is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Brogan Financial?
Brogan Financial’s main office is at 2160 Lakeside Centre Way, Suite 102, Knoxville, TN 37922. Its phone number is 865-862-6800. Its website is broganfinancial.com.