{ "crd_number": 109524, "slug": "allstate-financial-advisors-llc-lincoln-ne-109524", "primary_business_name": "ALLSTATE FINANCIAL ADVISORS, LLC", "legal_name": "ALLSTATE FINANCIAL ADVISORS, LLC", "dbas": [], "city": "Lincoln", "state": "NE", "country": "United States", "cbsa_code": "30700", "metro": { "cbsa_code": "30700", "common_name": "Lincoln", "msa_name": "Lincoln, NE", "path": "/advisors/ne/lincoln" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2007-11-21", "years_registered": 18, "period": "2026-10-01", "filing_date": "2026-04-30", "carried_forward": false, "raum_total": 142352226.0, "raum_discretionary": 0.0, "raum_non_discretionary": 142352226.0, "raum_band": "100m_500m", "raum_band_label": "$100 million to $500 million", "total_employees": 341, "advisory_employees": 0, "client_count_bucket": null, "clients_by_type": { "individuals": { "raum": 142352226.0, "count": 397 } }, "compensation_types": [ "other" ], "advisory_activities": [ "selection_of_other_advisers" ], "wrap_fee_participant": false, "disclosure_yes_count": 2, "states_registered": [ "AK", "AL", "AR", "AZ", "CA", "CO", "CT", "DC", "DE", "FL", "GA", "HI", "ID", "IL", "IN", "KS", "KY", "LA", "MA", "MD", "ME", "MI", "MN", "MO", "MS", "MT", "NC", "ND", "NE", "NH", "NJ", "NM", "NV", "NY", "OH", "OK", "OR", "PA", "RI", "SC", "SD", "TN", "TX", "UT", "VA", "WA", "WI", "WV", "WY" ], "websites": [], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/109524", "disclosure_items": [ { "item": "11.D(4)", "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?" }, { "item": "11.E(2)", "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?" } ], "city_as_filed": "LINCOLN", "url": "https://advisorcensus.com/firm/allstate-financial-advisors-llc-lincoln-ne-109524", "display_name": "Allstate Financial Advisors, LLC", "summary": "Allstate Financial Advisors, LLC is an SEC-registered investment advisory firm in Lincoln, NE, registered since 2007, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated April 30, 2026.", "citation": "AdvisorCensus. Allstate Financial Advisors, LLC (CRD 109524): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "Other" ], "advisory_activity_labels": [ "Selection of other advisers (including private fund managers)" ], "quick_answers": [ { "q": "How is Allstate Financial Advisors, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Allstate Financial Advisors, LLC reports these compensation arrangements: other." }, { "q": "Where is Allstate Financial Advisors, LLC located?", "a": "Allstate Financial Advisors, LLC's principal office is in Lincoln, NE, according to its Form ADV; the May 2026 filing also lists 61 other offices (Schedule D, Section 1.F)." }, { "q": "Is Allstate Financial Advisors, LLC registered with the SEC or a state?", "a": "Allstate Financial Advisors, LLC is an SEC-registered investment advisory firm, registered since 2007. Status as filed: Approved. CRD 109524." }, { "q": "How much does Allstate Financial Advisors, LLC manage?", "a": "Allstate Financial Advisors, LLC reports $142,352,226 in regulatory assets under management in its Form ADV filing dated April 30, 2026 (0% discretionary)." }, { "q": "How have Allstate Financial Advisors, LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for Allstate Financial Advisors, LLC: Regulatory assets under management: $36,452,496 in the October 2021 data and $142,352,226 in the October 2026 data, up 291%. Total employees: 401 in October 2021 and 341 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Allstate Financial Advisors, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (397)." }, { "q": "Does Allstate Financial Advisors, LLC report any disciplinary disclosures?", "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.D(4) (another regulator's order in the past ten years) and 11.E(2) (self-regulatory organization's finding of a rule violation). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/109524" }, { "q": "What changed in Allstate Financial Advisors, LLC's recent Form ADV filings?", "a": "In the May 2026 filing data: Updated its list of owners and control persons (Schedule A)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 36452496.0, "total_employees": 401, "filing_date": "2021-03-29" }, { "period": "2022-10-01", "regulatory_assets_under_management": 31119722.0, "total_employees": 346, "filing_date": "2022-04-13" }, { "period": "2023-10-01", "regulatory_assets_under_management": 28519077.0, "total_employees": 335, "filing_date": "2023-08-30" }, { "period": "2024-10-01", "regulatory_assets_under_management": 62134830.0, "total_employees": 350, "filing_date": "2024-08-16" }, { "period": "2025-10-01", "regulatory_assets_under_management": 82015793.0, "total_employees": 337, "filing_date": "2025-03-31" }, { "period": "2026-10-01", "regulatory_assets_under_management": 142352226.0, "total_employees": 341, "filing_date": "2026-04-30" } ], "recent_changes": [ { "period": "2026-05-01", "period_label": "May 2026", "notes": [ "Updated its list of owners and control persons (Schedule A)." ] }, { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Regulatory assets under management went from $82,015,793 to $142,352,226 (+74%).", "Changed its office addresses in Centennial, CO.", "Changed its office addresses in Edmond, OK.", "Changed its office addresses in Fort Collins, CO.", "Changed its office addresses in Strongsville, OH.", "Changed its office addresses in Wellington, FL.", "Added an office in Albany, NY.", "Added an office in Arvada, CO.", "Added an office in Birmingham, AL.", "Added an office in Brooklyn, NY.", "Added an office in Cedar Knolls, NJ.", "Added an office in Conroe, TX.", "Added an office in Denver, CO.", "Added an office in Findlay, OH.", "Added an office in Hockessin, DE.", "Added an office in Lantana, FL.", "Added an office in Littleton, CO.", "Added an office in Newburgh, NY.", "Added an office in Oceanside, NY.", "Added an office in Roanoke, VA.", "Added an office in Springboro, OH.", "Added an office in Stockton, CA.", "No longer lists an office in Dover, DE.", "No longer lists an office in Kissimmee, FL.", "No longer lists an office in Mount Dora, FL.", "No longer lists an office in New Braunfels, TX.", "No longer lists an office in Pasadena, MD.", "No longer lists an office in Phoenixville, PA.", "No longer lists an office in Staten Island, NY.", "No longer lists an office in Tomball, TX." ] } ], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/allstate-financial-advisors-llc-lincoln-ne-109524.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 397, "fewer_than_5": false, "raum": 142352226.0 } ], "disclosure_line": "Reports 2 disclosure items on Form ADV Item 11.", "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/109524", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }