{
  "crd_number": 153511,
  "slug": "allen-financial-management-oxford-mi-153511",
  "primary_business_name": "ALLEN FINANCIAL MANAGEMENT",
  "legal_name": "ALLEN FINANCIAL MANAGEMENT, LLC",
  "dbas": [],
  "city": "Oxford",
  "state": "MI",
  "country": "United States",
  "cbsa_code": "19820",
  "metro": {
    "cbsa_code": "19820",
    "common_name": "Detroit",
    "msa_name": "Detroit-Warren-Dearborn, MI",
    "path": "/advisors/mi/detroit"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2025-05-20",
  "years_registered": 1,
  "period": "2026-10-01",
  "filing_date": "2026-03-04",
  "carried_forward": false,
  "raum_total": 121209098.0,
  "raum_discretionary": 121209098.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 1,
  "advisory_employees": 1,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 44398653.0,
      "count": 250
    },
    "high_net_worth_individuals": {
      "raum": 76810445.0,
      "count": 38
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "LA",
    "MI",
    "TX"
  ],
  "websites": [
    "https://afmwealth.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/153511",
  "city_as_filed": "OXFORD",
  "url": "https://advisorcensus.com/firm/allen-financial-management-oxford-mi-153511",
  "display_name": "Allen Financial Management",
  "summary": "Allen Financial Management is an SEC-registered investment advisory firm in Oxford, MI, registered since 2025, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 4, 2026.",
  "citation": "AdvisorCensus. Allen Financial Management (CRD 153511): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses"
  ],
  "quick_answers": [
    {
      "q": "How is Allen Financial Management compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Allen Financial Management reports these compensation arrangements: a percentage of assets under its management."
    },
    {
      "q": "Where is Allen Financial Management located?",
      "a": "Allen Financial Management's principal office is in Oxford, MI, according to its Form ADV."
    },
    {
      "q": "Is Allen Financial Management registered with the SEC or a state?",
      "a": "Allen Financial Management is an SEC-registered investment advisory firm, registered since 2025. Status as filed: Approved. CRD 153511."
    },
    {
      "q": "How much does Allen Financial Management manage?",
      "a": "Allen Financial Management reports $121,209,098 in regulatory assets under management in its Form ADV filing dated March 4, 2026 (100% discretionary)."
    },
    {
      "q": "How have Allen Financial Management's assets and staff changed since 2025?",
      "a": "In the Form ADV data for Allen Financial Management: Regulatory assets under management: $114,585,338 in the October 2025 data and $121,209,098 in the October 2026 data, up 6%. Total employees: 1 in October 2025 and 1 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Allen Financial Management serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (250); high net worth individuals (38)."
    },
    {
      "q": "Which custodians does Allen Financial Management use?",
      "a": "Allen Financial Management's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Fidelity Distributors Company LLC as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Allen Financial Management report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/153511"
    }
  ],
  "filing_history": [
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 114585338.0,
      "total_employees": 1,
      "filing_date": "2025-04-18"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 121209098.0,
      "total_employees": 1,
      "filing_date": "2026-03-04"
    }
  ],
  "recent_changes": [],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "Fidelity Distributors Company LLC",
      "name_as_filed": "FIDELITY DISTRIBUTORS COMPANY LLC",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/allen-financial-management-oxford-mi-153511.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 250,
      "fewer_than_5": false,
      "raum": 44398653.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 38,
      "fewer_than_5": false,
      "raum": 76810445.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/153511",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}