Mcgowan Group Asset Management, Inc.
- Regulatory AUM
- $1.1B
- Discretionary
- $1.0B
- Clients
- 4,773
- Avg AUM / client
- $227K
- Accounts
- 4,773
- Employees
- 9
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of May 20, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 3,642 | $176M | 16.2% |
| High net worth individuals | 1,112 | $862M | 79.5% |
| Pension and profit sharing plans | 2 | $7.6M | 0.7% |
| Charitable organizations | 10 | $23.5M | 2.17% |
| Corporations and other businesses | 7 | $14.8M | 1.36% |
People (8)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Spencer Dean Mcgowan | President | Jun 2010 (16y) | 75% or more | |
| Sanchez, Ismael, Lee | Chief Compliance Officer | Jun 2014 (12y) | Less than 5% | |
| Andrew John Orton | Registered representative | Dec 2010 (16y) | ||
| Alexander Gustave Tollen | Registered representative | Oct 2011 (15y) | ||
| Stephen M Norris | Registered representative | Feb 2018 (8y) | ||
| Harrison Keith Smith | Registered representative | May 2021 (5y) | ||
| Joyce Cheng | Registered representative | May 2022 (4y) | ||
| Preston Smith Lane | Registered representative | Jun 2022 (4y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Mcgowan Group Wealth Management, Llc | Owner | Jul 2022 | A | 75% or more |
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) | 05/20/2026 | 902 KB | 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
Services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Pershing $1.1B (100% of AUM) May 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having 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: May 20, 2026.
View current Form ADV (SEC/IAPD) ↗