Fagan Associates provides financial planning, portfolio management for individuals and small businesses, and portfolio management for institutions. Financial planning was provided to 51–100 clients last fiscal year.
Fagan Associates reports 1,800 clients. They include 1,518 individual clients, 245 high-net-worth individuals and 28 charitable organizations. Of its assets, 98.1% ($923M across 3,091 accounts) are managed with discretion; $18M across 53 accounts are not.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 84% | 39% |
| High-net-worth individuals | 14% | 57% |
| Pension and profit-sharing plans | <1% | 1% |
| Charitable organizations | 2% | 2% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 1,518 | $369M | 39.2% | $243K |
| High-net-worth individuals | 245 | $538M | 57.2% | $2.2M |
| Pension and profit-sharing plans | 9 | $13.1M | 1.4% | $1.46M |
| Charitable organizations | 28 | $20.3M | 2.2% | $724K |
| Total | 1,800 | $941M | 100% | $523K |
- Clients
- 1,518
- Regulatory AUM
- $369M
- AUM share
- 39.2%
- Avg. per client
- $243K
- Clients
- 245
- Regulatory AUM
- $538M
- AUM share
- 57.2%
- Avg. per client
- $2.2M
- Clients
- 9
- Regulatory AUM
- $13.1M
- AUM share
- 1.4%
- Avg. per client
- $1.46M
- Clients
- 28
- Regulatory AUM
- $20.3M
- AUM share
- 2.2%
- Avg. per client
- $724K
Total
- Clients
- 1,800
- Regulatory AUM
- $941M
- AUM share
- 100%
- Avg. per client
- $523K
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 51–100
Fagan Associates charges 0.50%–1.50% a year for its Investment Advisory Services. The fee is billed in arrears, is negotiable and requires an account of at least $250,000. The brochure also prices 2 other services, listed under fee details.
Fee details and sources
Other fees
- Hourly Investment Advice
- Investment advice on an hourly basis, at the client's discretion and the advisor's consent, at a negotiable rate of not more than $400 per hour.
- Project Fees
- Project fees set by the breadth, depth and nature of the project, which is limited to investment advice, income tax preparation, insurance review and estate planning.
Dennis Fagan owns 75% or more of Fagan Associates. The leadership team of Fagan Associates includes President Dennis Fagan. It has 7 employees, 3 of them in advisory roles.
Leadership
Dennis FaganPresident, Chief Compliance Officer, and Portfolio Manager- Aaron FaganPortfolio Manager and Client Associate
Investment adviser representatives
3 representatives listed in the SEC register as of 9 October 2026.
Staff
- 7 employees
- 3 in advisory functions
- 3 state-registered reps
- Owns 75% or more of Fagan Associates Inc
Dennis Fagan
Control person · since August 1989
- Owns 10% to 25% of Fagan Associates Inc
Aaron Fagan
since January 2016
Fagan Associates’ regulatory assets grew 1.7× from $555M (March 2021) to $941M (March 2026); clients rose from 1,509 to 1,800 and employees from 4 to 7.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Mar 2026March 2026 | $941M | 1,800 | 7 | 1 |
| Jul 2025July 2025 | $802M | 1,749 | 6 | 1 |
| Jul 2024July 2024 | $677M | 1,610 | 5 | 1 |
| Mar 2023March 2023 | $583M | 1,702 | 5 | 1 |
| Mar 2022March 2022 | $667M | 1,611 | 6 | 1 |
| Mar 2021March 2021 | $555M | 1,509 | 4 | 1 |
Besides its headquarters, Fagan Associates has 0 offices, with 1 listed address in 1 state.
New York · 1 listed address
- 767 Hoosick Road, TroyHQ
Contact and registration details
- Legal name
- Fagan Associates Inc
- Headquarters
- 767 Hoosick Road, Troy, NY 12180
- Website
- faganasset.com
- Phone
- 518-279-1044
- @fagan-associates-inc
- SEC file
- 801-50955
- Structure
- New York corporation
- Fiscal year end
- December
Fagan Associates’ named custodian for separately managed accounts is Charles Schwab ($941M). Fagan Associates has custody of $2.89M for 4 clients.
- Charles SchwabCharles Schwab & Co., Inc. · Orlando, FL · $941M100%
At year end, Fagan Associates’ separately managed accounts were mostly in stocks (85%). Its reported 13F holdings for the quarter ended 30 June 2026 total $813M across 137 positions; the largest are Alphabet Inc. (10.3%), Advanced Micro Devices Inc. (7.1%) and Apple Inc. (6.1%).
What the accounts hold
- Stocks85%
- Bonds7%
- State and local bonds4%
- U.S. government and agency bonds3%
- Cash8%
Reported 13F holdings
- $813M
- Reported 13F value
- 137
- Positions
- 43.3%
- In the 10 largest
- +13.0%
- Value vs. prior quarter
- Alphabet Inc. · Cap Stk CL A10.3%
- Advanced Micro Devices Inc.7.1%
- Apple Inc.6.1%
- Nvidia Corporation3.7%
- Microsoft Corp.3.7%
- Amazon Com Inc.3.1%
- J P Morgan Exchange Traded F · Core Plus BD ETF2.8%
- JPMORGAN Chase & CO2.5%
- Lowes Cos Inc.2.1%
- Palantir Technologies Inc. · CL A1.9%
Together, the ten largest are 43.3% of reported value.
How many clients does Fagan Associates have?
Fagan Associates has 1,800 clients and manages $941 million for them, as of March 2026. They include 1,518 individual clients, 245 high-net-worth individuals and 28 charitable organizations.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 9 March 2026
What services does Fagan Associates offer?
Fagan Associates provides financial planning, portfolio management for individuals and small businesses, and portfolio management for institutions.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Fagan Associates charge?
Fagan Associates charges 0.50%–1.50% a year for its Investment Advisory Services. The fee is billed in arrears, is negotiable and requires an account of at least $250,000.
Source: 03 06 2026 FAI FORM ADV PART 2A AND 2B FINAL, filed 9 March 2026
Which custodians does Fagan Associates use?
Fagan Associates’ separately managed account assets are held at Charles Schwab & Co., Inc. (Orlando, FL), with $941M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 9 March 2026
How many financial advisors does Fagan Associates have?
Fagan Associates has 3 investment adviser representatives registered with state securities authorities, out of 7 employees, and 3 perform investment advisory functions. None are registered representatives of a broker-dealer or 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 Fagan Associates invest in?
At the end of its last fiscal year, Fagan Associates’ separately managed accounts held 85% exchange-traded equities, 8% cash and equivalents, 4% state and local bonds and 3% U.S. government and agency bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Does Fagan Associates have a minimum investment?
Yes, Fagan Associates’ minimum account size for its Investment Advisory Services is $250K.
Source: 03 06 2026 FAI FORM ADV PART 2A AND 2B FINAL, filed 9 March 2026
Who owns Fagan Associates?
Fagan Associates’ direct owners are Dennis Fagan (75% or more) and Aaron Fagan (10% to 25%).
Source: Form ADV Part 1A, Schedules A and B, filed 9 March 2026
How does Fagan Associates get paid?
Fagan Associates is paid through a percentage of assets under management and hourly charges. 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 Fagan Associates?
Fagan Associates’ main office is at 767 Hoosick Road, Troy, NY 12180. Its phone number is 518-279-1044. Its website is faganasset.com.