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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM under $100M

ALLIO ADVISORS

ALLIO ADVISORS LLC, CRD 317938

SEATTLE, WA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7a0c3226-338c-cdbe-a219-2009cd155f14

Data as of Oct 3, 2025 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 11
On other graphs: 0
Observed: Dec 17, 2021 to Oct 3, 2025
48 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $556,892Item 5.F on the latest filing (2025-10-03); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $556,892
Private client RAUM: $556,892derivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 472
Individual clients: 428
High net worth clients: 0
SEC number: 801-123065
CRD: 317938
Filings on the tape: 48
First filed: Dec 17, 2021
Latest filed: Oct 3, 2025
Organised: Limited Liability Company, DE
Website: alliocapital.com

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ALLIO FINTECH CORP	Member	E	yes	11/2021	Dec 17, 2021	Dec 20, 2024
ALLIO HOLDINGS LLC	HOLDING COMPANY	E	yes	11/2021	Dec 17, 2021	Dec 20, 2024
GARCIA, DANIEL, THOMAS	CHIEF COMPLIANCE OFFICER	Na	yes	12/2024	Dec 9, 2024	Dec 20, 2024
GIANNONE, ANDREW, J	CHIEF INVESTMENT OFFICER/CHIEF EXECUTIVE OFFICER	Na	yes	01/2024	Apr 19, 2024	Dec 20, 2024
Chen, Ling, Feng	PRINCIPAL ENGINEER	Na	no	11/2021	Jan 22, 2022	Dec 20, 2024
PEB FINTECH LLC	Investor	Na	no	11/2021	Jan 22, 2022	Dec 20, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
ALLIO MARKETS, LLC	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Collegeville	Pa	United States	1	no
OAK CREEK	Wi	United States	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 3 of 5

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024	Mar 5, 2025	$234,911	$234,911	6	3	2	n/a	n/a
2023	May 31, 2023	$13,028	$13,028	2	2	0	n/a	n/a
2022	Jun 7, 2022	$0	$0	2	2	0	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$556,892	$13,028	4174.6%	n/a	n/a	6	2	0	0

Relationships

Registered with (3)

← ANDREW J GIANNONEAdvisorregistration: previous registration
Dec 5, 2023 to Jun 9, 2025factForm ADV
← RAYMOND CHARLES MICALETTIAdvisorregistration: previous registration
May 11, 2023 to Nov 21, 2023factForm ADV
← Robert Ridgway McLaughlinAdvisorregistration: previous registration
Feb 8, 2022 to Jun 14, 2022factForm ADV

Controls (4)

← GIANNONE, ANDREW, JOwnerCHIEF INVESTMENT OFFICER/CHIEF EXECUTIVE OFFICER, ownership code NA, individual
Apr 19, 2024 to Dec 20, 2024factForm ADV
← GARCIA, DANIEL, THOMASOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 9, 2024 to Dec 20, 2024factForm ADV
← ALLIO FINTECH CORPOwnerMEMBER, ownership code E, domestic entity
Dec 17, 2021 to Dec 20, 2024factForm ADV
← ALLIO HOLDINGS LLCOwnerHOLDING COMPANY, ownership code E, domestic entity
Dec 17, 2021 to Dec 20, 2024factForm ADV

Owns (2)

← Chen, Ling, FengOwnerPRINCIPAL ENGINEER, ownership code NA, individual
Jan 22, 2022 to Dec 20, 2024factForm ADV
← PEB FINTECH LLCOwnerINVESTOR, ownership code NA, domestic entity
Jan 22, 2022 to Dec 20, 2024factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jun 9, 2025
Advisor changed firm
Andrew J Giannone left Allio Advisors for Alden Investment Group (registered 2026-04-20)
Form ADVobserved 5 days ago
Occurred
Dec 9, 2024
Control person joined
Thomas Daniel Garcia (Chief Compliance Officer) appeared on Schedule A of Allio Advisors
Form ADVobserved 5 days ago
Occurred
Dec 9, 2024
Control person left
Rolland Christopher Morgan (Chief Compliance Officer) no longer on Schedule A of Allio Advisors (listed 2024-12-09, absent 2024-12-09)
Form ADVobserved 5 days ago
Occurred
Apr 19, 2024
Control person left
Adam Damko (Chief Compliance Officer) no longer on Schedule A of Allio Advisors (listed 2024-02-13, absent 2024-04-19)
Form ADVobserved 5 days ago
Occurred
Apr 19, 2024
Control person joined
J Andrew Giannone (Chief Investment Officer) appeared on Schedule A of Allio Advisors
Form ADVobserved 5 days ago
Occurred
Apr 19, 2024
Control person joined
Rolland Christopher Morgan (Chief Compliance Officer) appeared on Schedule A of Allio Advisors
Form ADVobserved 5 days ago
Occurred
Nov 21, 2023
Advisor departed, no destination yet
Raymond Charles Micaletti no longer registered at Allio Advisors; no later IA registration on IAPD
Form ADVobserved 5 days ago
Occurred
Jul 26, 2023
Control person joined
Adam Damko (Chief Compliance Officer) appeared on Schedule A of Allio Advisors
Form ADVobserved 5 days ago
Occurred
Jun 14, 2022
Advisor changed firm
Robert Ridgway Mclaughlin left Allio Advisors for Alps Advisors, Inc. (registered 2023-08-23)
Form ADVobserved 5 days ago
Occurred
Dec 17, 2021
First Form ADV filing
Allio Advisers filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Show 1 bookkeeping events

Occurred
Jan 2, 2026
Allio Advisors no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $556,892)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7a0c3226-338c-cdbe-a219-2009cd155f14
First observed: Dec 17, 2021
Last observed: Oct 3, 2025 11 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

ALLIO ADVISORS

ALLIO ADVISORS LLC, CRD 317938

SEATTLE, WA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7a0c3226-338c-cdbe-a219-2009cd155f14

Data as of Oct 3, 2025 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:59 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ALLIO FINTECH CORP

Member

yes

11/2021

Dec 17, 2021

Dec 20, 2024

ALLIO HOLDINGS LLC

HOLDING COMPANY

yes

11/2021

Dec 17, 2021

Dec 20, 2024

GARCIA, DANIEL, THOMAS

CHIEF COMPLIANCE OFFICER

yes

12/2024

Dec 9, 2024

Dec 20, 2024

GIANNONE, ANDREW, J

CHIEF INVESTMENT OFFICER/CHIEF EXECUTIVE OFFICER

yes

01/2024

Apr 19, 2024

Dec 20, 2024

Chen, Ling, Feng

PRINCIPAL ENGINEER

11/2021

Jan 22, 2022

Dec 20, 2024

PEB FINTECH LLC

Investor

11/2021

Jan 22, 2022

Dec 20, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ALLIO MARKETS, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Collegeville

United States

OAK CREEK

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2024

Mar 5, 2025

$234,911

n/a

2023

May 31, 2023

$13,028

n/a

2022

Jun 7, 2022

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2024

$556,892

$13,028

4174.6%

n/a