# Allen Wealth Management, LLC

> Allen Wealth Management, LLC is an SEC-registered investment advisory firm in Boone, NC, registered since 2005, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated January 29, 2026.

- CRD: 133038
- Filed as: ALLEN WEALTH MANAGEMENT, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Boone, NC
- Filing period: October 2026
- Form ADV filing dated: January 29, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/133038
- AdvisorCensus page: https://advisorcensus.com/firm/allen-wealth-management-llc-boone-nc-133038

## Quick answers

**How is Allen Wealth Management, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Allen Wealth Management, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges.

**Where is Allen Wealth Management, LLC located?**
Allen Wealth Management, LLC's principal office is in Boone, NC, according to its Form ADV.

**Is Allen Wealth Management, LLC registered with the SEC or a state?**
Allen Wealth Management, LLC is an SEC-registered investment advisory firm, registered since 2005. Status as filed: Approved. CRD 133038.

**How much does Allen Wealth Management, LLC manage?**
Allen Wealth Management, LLC reports $664,325,517 in regulatory assets under management in its Form ADV filing dated January 29, 2026 (79% discretionary).

**How have Allen Wealth Management, LLC's assets and staff changed since 2021?**
In the Form ADV data for Allen Wealth Management, LLC: Regulatory assets under management: $350,269,054 in the October 2021 data and $664,325,517 in the October 2026 data, up 90%. Total employees: 6 in October 2021 and 7 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Allen Wealth Management, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (900); high net worth individuals (199); charitable organizations (9).

**Which custodians does Allen Wealth Management, LLC use?**
Allen Wealth Management, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Raymond James & Associates, Inc. and Raymond James Trust Company of NH as custodians holding 10% or more of its separately managed account assets.

**Does Allen Wealth Management, LLC report any disciplinary disclosures?**
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/133038

**What changed in Allen Wealth Management, LLC's recent Form ADV filings?**
In the February 2026 filing data: Employees performing advisory functions went from 3 to 4. Regulatory assets under management went from $553,948,253 to $664,325,517 (+20%). Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges

### Custodians (Schedule D, Section 5.K(3))
- Raymond James & Associates, Inc.
- Raymond James Trust Company of NH

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.

### Regulatory assets under management (Item 5.F)
- Total: $664,325,517
- Discretionary: $523,442,901
- Non-discretionary: $140,882,616

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 900 | $213,984,464 |
| High net worth individuals | 199 | $445,468,163 |
| Charitable organizations | 9 | $4,872,890 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2005 (21 years)
- Employees: 7 total, 4 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: FL, GA, LA, MS, NC, NE, OH, SC, TN, TX, VA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- allenwealthmanagement.com
- LinkedIn @allen-wealth-management

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $350,269,054 | 6 | March 24, 2021 |
| October 2022 | $369,631,321 | 6 | August 19, 2022 |
| October 2023 | $382,320,441 | 7 | January 30, 2023 |
| October 2024 | $478,457,556 | 7 | July 18, 2024 |
| October 2025 | $553,948,253 | 7 | July 22, 2025 |
| October 2026 | $664,325,517 | 7 | January 29, 2026 |

Regulatory assets under management: $350,269,054 in the October 2021 data and $664,325,517 in the October 2026 data, up 90%.
Total employees: 6 in October 2021 and 7 in October 2026.

## Changes in the filing (last 12 months)

### February 2026
- Employees performing advisory functions went from 3 to 4.
- Regulatory assets under management went from $553,948,253 to $664,325,517 (+20%).
- Updated its list of owners and control persons (Schedule A).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Allen Wealth Management, LLC (CRD 133038): Form ADV filing data as of October 2026.