{ "crd_number": 124454, "slug": "allen-investment-management-llc-new-york-ny-124454", "primary_business_name": "ALLEN INVESTMENT MANAGEMENT, LLC", "legal_name": "ALLEN INVESTMENT MANAGEMENT, LLC", "dbas": [ "ALLEN & COMPANY INVESTMENT ADVISORS" ], "city": "New York", "state": "NY", "country": "United States", "cbsa_code": "35620", "metro": { "cbsa_code": "35620", "common_name": "New York", "msa_name": "New York-Newark-Jersey City, NY-NJ", "path": "/advisors/ny/new-york" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2003-04-11", "years_registered": 23, "period": "2026-10-01", "filing_date": "2026-03-30", "carried_forward": false, "raum_total": 16914755305.0, "raum_discretionary": 14087219651.0, "raum_non_discretionary": 2827535654.0, "raum_band": "over_5b", "raum_band_label": "Over $5 billion", "total_employees": 28, "advisory_employees": 12, "client_count_bucket": null, "clients_by_type": { "high_net_worth_individuals": { "raum": 16864857339.0, "count": 142 }, "pooled_investment_vehicles": { "raum": 49897966.0, "count": 2 } }, "compensation_types": [ "fixed", "percentage_of_aum", "performance_based" ], "advisory_activities": [ "other", "portfolio_management_individuals", "portfolio_management_pooled_vehicles", "selection_of_other_advisers" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "CA", "CT", "FL", "MA", "NY", "TX" ], "websites": [], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/124454", "city_as_filed": "NEW YORK", "url": "https://advisorcensus.com/firm/allen-investment-management-llc-new-york-ny-124454", "display_name": "Allen Investment Management, LLC", "summary": "Allen Investment Management, LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2003, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated March 30, 2026.", "citation": "AdvisorCensus. Allen Investment Management, LLC (CRD 124454): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Fixed fees (other than subscription fees)", "Performance-based fees" ], "advisory_activity_labels": [ "Portfolio management for individuals and/or small businesses", "Portfolio management for pooled investment vehicles (other than investment companies)", "Selection of other advisers (including private fund managers)", "Other" ], "quick_answers": [ { "q": "How is Allen Investment Management, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Allen Investment Management, LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); performance-based fees. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Allen Investment Management, LLC located?", "a": "Allen Investment Management, LLC's principal office is in New York, NY, according to its Form ADV." }, { "q": "Is Allen Investment Management, LLC registered with the SEC or a state?", "a": "Allen Investment Management, LLC is an SEC-registered investment advisory firm, registered since 2003. Status as filed: Approved. CRD 124454." }, { "q": "How much does Allen Investment Management, LLC manage?", "a": "Allen Investment Management, LLC reports $16,914,755,305 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (83% discretionary)." }, { "q": "How have Allen Investment Management, LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for Allen Investment Management, LLC: Regulatory assets under management: $10,438,971,845 in the October 2021 data and $16,914,755,305 in the October 2026 data, up 62%. Total employees: 31 in October 2021 and 28 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Allen Investment Management, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (142); pooled investment vehicles (other than investment companies and business development companies) (2)." }, { "q": "Which custodians does Allen Investment Management, LLC use?", "a": "Allen Investment Management, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc., JP Morgan Chase Bank, National Financial Services and Pershing LLC as custodians holding 10% or more of its separately managed account assets." }, { "q": "Does Allen Investment Management, LLC 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/124454" }, { "q": "What changed in Allen Investment Management, LLC's recent Form ADV filings?", "a": "In the April 2026 filing data: Registered or notice-filed in TX." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 10438971845.0, "total_employees": 31, "filing_date": "2021-03-31" }, { "period": "2022-10-01", "regulatory_assets_under_management": 13558428777.0, "total_employees": 31, "filing_date": "2022-03-29" }, { "period": "2023-10-01", "regulatory_assets_under_management": 11436331390.0, "total_employees": 31, "filing_date": "2023-03-28" }, { "period": "2024-10-01", "regulatory_assets_under_management": 13796387101.0, "total_employees": 31, "filing_date": "2024-03-22" }, { "period": "2025-10-01", "regulatory_assets_under_management": 15833950821.0, "total_employees": 29, "filing_date": "2025-03-27" }, { "period": "2026-10-01", "regulatory_assets_under_management": 16914755305.0, "total_employees": 28, "filing_date": "2026-03-30" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Registered or notice-filed in TX." ] }, { "period": "2026-01-01", "period_label": "January 2026", "notes": [ "No longer registered or notice-filed in DE, TX." ] } ], "fees_from_brochure": null, "custodians": [ { "name": "Charles Schwab & Co., Inc.", "name_as_filed": "CHARLES SCHWAB & CO., INC.", "affiliated": false }, { "name": "JP Morgan Chase Bank", "name_as_filed": "JP MORGAN CHASE BANK", "affiliated": false }, { "name": "National Financial Services", "name_as_filed": "NATIONAL FINANCIAL SERVICES", "affiliated": false }, { "name": "Pershing LLC", "name_as_filed": "PERSHING 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-investment-management-llc-new-york-ny-124454.md", "clients": [ { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 142, "fewer_than_5": false, "raum": 16864857339.0 }, { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 2, "fewer_than_5": false, "raum": 49897966.0 } ], "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/124454", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }