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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM under $100M

ALLOS INVESTMENT ADVISORS, LLC

CRD 155541

OVERLAND PARK, KS

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:db6c278c-515e-ca0e-2096-26fdc647af7f

Data as of May 6, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 4
On other graphs: 0
Observed: Mar 19, 2012 to May 6, 2026
50 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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $73.6MItem 5.F on the latest filing (2026-05-06); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $73.6M
Private client RAUM: $73.4MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 8
RAUM per advisor: $9.2Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 9
Advisory employees: 9
Offices: 3Schedule D 1.F, beyond the principal office
Accounts: 788
Individual clients: 375
High net worth clients: 7
Custody, client assets: $73.0M
SEC number: 801-72028
CRD: 155541
Filings on the tape: 50
First filed: Mar 19, 2012
Latest filed: May 6, 2026
Organised: Limited Liability Company, KS

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
FALES, JOHN, CHRISTOPHER	Principal	F	yes	01/2016	Jan 22, 2016	Aug 8, 2024
KMETTY, JESSICA, ANN	Principal	F	yes	10/2010	Mar 19, 2012	Aug 8, 2024
SEARCY FINANCIAL SERVICES, INC.	MEMBER AND PARENT COMPANY	E	yes	10/2010	Mar 19, 2012	Aug 8, 2024
SHAFFER, MARCUS, CLINTON	Principal	D	yes	11/2010	Mar 19, 2012	Aug 8, 2024
STELTING, TAMARA, SUE	CHIEF COMPLIANCE OFFICER	Na	yes	08/2024	Aug 8, 2024	Aug 8, 2024
BROOKE, RYAN, WAYNE	Principal	F	no	01/2019	Feb 5, 2019	Aug 8, 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
SEARCY FINANCIAL SERVICES, INC.	n/a	Independent wealth	$514M	Y	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
SARATOGA SPRINGS	CA	United States	1	no
n/a	n/a	n/a	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 15 of 16

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 17, 2026	$73.6M	$73.6M	9	9	1	n/a	n/a
2024	Mar 4, 2025	$59.8M	$59.8M	8	8	1	n/a	n/a
2023	Feb 7, 2024	$51.3M	$51.3M	7	7	2	n/a	n/a
2022	Mar 10, 2023	$43.4M	$43.4M	6	6	1	n/a	n/a
2021	Jan 25, 2022	$44.2M	$44.2M	7	7	2	n/a	n/a
2020	Feb 5, 2021	$33.5M	$33.5M	7	7	1	n/a	n/a
2019	Mar 6, 2020	$25.3M	$25.3M	6	6	1	n/a	n/a
2018	Feb 4, 2019	$20.8M	$20.8M	9	7	1	n/a	n/a
2017	Mar 22, 2018	$21.2M	$21.2M	8	8	1	n/a	n/a
2016	Feb 16, 2017	$13.1M	$13.1M	9	7	n/a	n/a	n/a
2015	Jan 22, 2016	$8.6M	$8.6M	10	8	n/a	n/a	n/a
2014	Jan 15, 2015	$4.6M	$4.6M	5	5	n/a	n/a	n/a
2013	Jan 17, 2014	$2.8M	$2.8M	4	4	n/a	n/a	n/a
2012	Feb 19, 2013	$1.3M	$1.3M	4	4	n/a	n/a	n/a
2011	Mar 19, 2012	$273,531	$273,531	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	1	1

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
2025	$73.6M	$59.8M	23.0%	$43.4M	19.2%	9	8	3	1

Relationships

Registered with (11)

← Matthew RayAdvisorregistration: current employment
May 8, 2026 to presentfactForm ADV
← Daniel I RubioAdvisorregistration: current employment
May 8, 2026 to presentfactForm ADV
← Tanner J ManningAdvisorregistration: current employment
Sep 3, 2024 to presentfactForm ADV
← RYAN WAYNE BROOKEAdvisorregistration: current employment
Jun 7, 2016 to presentfactForm ADV
← BRENDA MARIE CARRICOAdvisorregistration: current employment
Jun 25, 2013 to presentfactForm ADV
← JOHN CHRISTOPHER FALESAdvisorregistration: current employment
Feb 25, 2013 to presentfactForm ADV
← JESSICA ANN KMETTYAdvisorregistration: current employment
Jan 3, 2011 to presentfactForm ADV
← MARCUS CLINTON SHAFFERAdvisorregistration: current employment
Jan 3, 2011 to presentfactForm ADV
← Kimberly Jane SolomonAdvisorregistration: previous registration
Dec 6, 2023 to Nov 1, 2024factForm ADV
← Alex Phillip GrahamAdvisorregistration: previous registration
Nov 5, 2020 to Sep 1, 2022factForm ADV
← DAVID WILLIAM BUSHAdvisorregistration: previous registration
Dec 1, 2015 to Oct 30, 2018factForm ADV

Affiliated with (2)

→ SEARCY FINANCIAL SERVICES, INC.Registered adviserother investment adviser, control, common control
factForm ADV
← SEARCY FINANCIAL SERVICES, INC.Registered adviserother investment adviser, control, common control
factForm ADV

Controls (5)

← SEARCY FINANCIAL SERVICES, INC.OwnerMEMBER AND PARENT COMPANY, ownership code E, domestic entity
Mar 19, 2012 to Aug 8, 2024factForm ADV
← KMETTY, JESSICA, ANNOwnerPRINCIPAL, ownership code F, individual
Mar 19, 2012 to Aug 8, 2024factForm ADV
← SHAFFER, MARCUS, CLINTONOwnerPRINCIPAL, ownership code D, individual
Mar 19, 2012 to Aug 8, 2024factForm ADV
← FALES, JOHN, CHRISTOPHEROwnerPRINCIPAL, ownership code F, individual
Jan 22, 2016 to Aug 8, 2024factForm ADV
← STELTING, TAMARA, SUEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 8, 2024 to Aug 8, 2024factForm ADV

Owns (1)

← BROOKE, RYAN, WAYNEOwnerPRINCIPAL, ownership code F, individual
Feb 5, 2019 to Aug 8, 2024factForm ADV

Dated events

Occurred
Nov 1, 2024
Advisor changed firm
Kimberly Jane Solomon left Allos Investment Advisors, Llc for Capita Financial Network, Llc (registered 2025-02-10)
Form ADVobserved 5 days ago
Occurred
Aug 8, 2024
Control person joined
Sue Tamara Stelting (Chief Compliance Officer) appeared on Schedule A of Allos Investment Advisors, Llc
Form ADVobserved 5 days ago
Occurred
Sep 1, 2022
Advisor changed firm
Alex Phillip Graham left Allos Investment Advisors, Llc for Andina Advisors (registered 2022-09-20)
Form ADVobserved 5 days ago
Occurred
Jan 25, 2022
Control person left
John Michael Searcy (President) no longer on Schedule A of Allos Investment Advisors, Llc (listed 2021-11-12, absent 2022-01-25)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:db6c278c-515e-ca0e-2096-26fdc647af7f
First observed: Mar 19, 2012
Last observed: May 6, 2026 4 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.

ALLOS INVESTMENT ADVISORS, LLC

CRD 155541

OVERLAND PARK, KS

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:db6c278c-515e-ca0e-2096-26fdc647af7f

Data as of May 6, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:46 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FALES, JOHN, CHRISTOPHER

Principal

yes

01/2016

Jan 22, 2016

Aug 8, 2024

KMETTY, JESSICA, ANN

Principal

yes

10/2010

Mar 19, 2012

Aug 8, 2024

SEARCY FINANCIAL SERVICES, INC.

MEMBER AND PARENT COMPANY

yes

10/2010

Mar 19, 2012

Aug 8, 2024

SHAFFER, MARCUS, CLINTON

Principal

yes

11/2010

Mar 19, 2012

Aug 8, 2024

STELTING, TAMARA, SUE

CHIEF COMPLIANCE OFFICER

yes

08/2024

Aug 8, 2024

BROOKE, RYAN, WAYNE

Principal

01/2019

Feb 5, 2019

Aug 8, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

SEARCY FINANCIAL SERVICES, INC.

n/a

Independent wealth

$514M

yes

n/a

City

State

Country

Employees

Also broker-dealer

SARATOGA SPRINGS

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Apr 17, 2026

$73.6M

n/a

2024

Mar 4, 2025

$59.8M

n/a

2023

Feb 7, 2024

$51.3M

n/a

2022

Mar 10, 2023

$43.4M

n/a

2021

Jan 25, 2022

$44.2M

n/a

2020

Feb 5, 2021

$33.5M

n/a

2019

Mar 6, 2020

$25.3M

n/a

2018

Feb 4, 2019

$20.8M

n/a

2017

Mar 22, 2018

$21.2M

n/a

2016

Feb 16, 2017

$13.1M

n/a

2015

Jan 22, 2016

$8.6M

n/a

2014

Jan 15, 2015

$4.6M

n/a

2013

Jan 17, 2014

$2.8M

n/a

2012

Feb 19, 2013

$1.3M

n/a

2011

Mar 19, 2012

$273,531

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$73.6M

$59.8M

23.0%

$43.4M

19.2%