DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Allen Investment Management, LLC
Latest filing Mar 30, 2026
First filing on the tape Mar 29, 2012 · 24 filings
SEC status approved since Apr 11, 2003
RAUM
$17B
reported, Item 5.F
Discretionary
83%
of RAUM
Private clients
100%
$17B individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$2.8B
derived; firm RAUM over IAPD count
Employees
28
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$17B as of Mar 30, 2026
Mar 29, 2012$2.4B then
HNW client RAUM$17B as of Mar 30, 2026
Mar 28, 2018$4.6B then
State-registered IARs (5.B.3)6 as of Mar 30, 2026
Mar 27, 20131 then
Employees (5.A)28 as of Mar 30, 2026
Mar 27, 201330 then
Private funds1 as of Mar 30, 2026
Mar 29, 20125 then
RAUM +6.8% over the last fiscal year+14% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Multi-family-office-like · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, average HNW client assets at least $25M, fewer than 200 HNW clients, and business name contains 'family office' or private funds are reported
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $2.8BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $119MderivedHNW RAUM over HNW clients
- Average account
- $20.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 83%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.7derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 5.G
- Custody
- $8.4B, 111 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$17B100%
- Pooled investment vehicles$49.9M0.3%
- Individual clients
- n/areported
- HNW clients
- 142reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 840reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $8.4B for 111 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Ashok Bhushan Chachra | New York, Ny | Aug 20, 2021 | 16 y | 0 |
| Catherine Anne Tse | New York, Ny | Aug 20, 2021 | 27 y | 0 |
| Samuel Hopkins Baker | New York, Ny | Sep 29, 2021 | 35 y | 0 |
| Timothy J Erb | New York, Ny | Sep 29, 2021 | 20 y | 0 |
| Arvind Srinivas RangarajChartered Financial Analyst | New York, Ny | Feb 22, 2022 | 16 y | 0 |
| Elizabeth Haley StahlChartered Financial Analyst | New York, Ny | Mar 31, 2023 | 18 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Jorge Suarez-Velez to Americana Partners, LLCOct 14, 2024 · RIA to RIA
Joined, latest
none on the tape
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Allen Global Partners Offshoreno longer reported | Hedge Fund | $504M | 20 | Mar 29, 2012 |
| Allen Global Partners L.P.no longer reported | Hedge Fund | $344M | 78 | Mar 29, 2012 |
| Acia Asset Allocation Fund LP | Hedge Fund | $570,118 | 22 | Mar 29, 2012 |
| Acia Equity Fund LPno longer reported | Hedge Fund | $284,812 | 3 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Anthony III Herbert Allen · Presidentcontrolsince 11/2002 · owns less than 5%
- Bhushan Ashok Chachra · Managing Directorcontrolsince 04/2010 · owns less than 5%
- Nmn Peter Diiorio · General Counselcontrolsince 03/2007 · owns less than 5%
- Jodi Golinsky · Chief Compliance Officer & Deputy General Counselcontrolsince 01/2024 · owns less than 5%
- Pruthvi Rajasekharaiah · Chief Operating Officer Counselcontrolsince 05/2014 · owns less than 5%
- Salima Vahabzadeh · Chief Financial Officercontrolsince 02/2020 · owns less than 5%
- Anthony III Herbert Allen · Shareholdercontrolsince 12/2008 · owns 25% to 50% of Allen Operations LLC
Entity owners
- Allen Operations LLC · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- Acia Asset Allocation Gp LLCpooled vehicle sponsorn
- Allen & Company LLCbroker-dealerpooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- unusually large average HNW clientStatic outlier · filing Mar 30, 2026HNW RAUM per HNW client of $118,766,601 against a peer median of $4,554,235 (279 comparable advisers, 99.0th percentile, 35.0 robust deviations)peers: independent wealth managers, $5B to $20B (279) · 99% percentile
- very high RAUM per advisorStatic outlier · filing Mar 30, 2026RAUM per registered advisor of $2,819,125,884 against a peer median of $234,120,923 (250 comparable advisers, 98.0th percentile, 11.6 robust deviations)peers: independent wealth managers, $5B to $20B (250) · 98% percentile
- control person changedChange between filings · filing Mar 30, 2026Golinsky, Jodi (CHIEF COMPLIANCE OFFICER & DEPUTY GENERAL COUNSEL) left Schedule A between the filings of 2024-01-03 and 2026-03-30peers: independent wealth managers, $5B to $20B (289)
What changed
consecutive filings, newest first
- Accounts · 822 to 840Mar 27, 2025 to Mar 30, 2026
- HNW clients · 143 to 142Mar 27, 2025 to Mar 30, 2026
- Assets in custody · $8.0B to $8.4BMar 27, 2025 to Mar 30, 2026
- Employees · 29 to 28Mar 27, 2025 to Mar 30, 2026
- Discretionary RAUM · $13B to $14BMar 27, 2025 to Mar 30, 2026
- HNW RAUM · $16B to $17BMar 27, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $2.6B to $2.8BMar 27, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $48.5M to $49.9MMar 27, 2025 to Mar 30, 2026
- RAUM · $16B to $17BMar 27, 2025 to Mar 30, 2026
- Accounts · 746 to 822Mar 22, 2024 to Mar 27, 2025
- Advisory employees · 13 to 12Mar 22, 2024 to Mar 27, 2025
- Charity clients · 0.0 to unsetMar 22, 2024 to Mar 27, 2025
- Corporate clients · 0.0 to unsetMar 22, 2024 to Mar 27, 2025
- HNW clients · 144 to 143Mar 22, 2024 to Mar 27, 2025
- Individual clients · 0.0 to unsetMar 22, 2024 to Mar 27, 2025
- Pension plan clients · 0.0 to unsetMar 22, 2024 to Mar 27, 2025
- Assets in custody · $6.8B to $8.0BMar 22, 2024 to Mar 27, 2025
- Employees · 31 to 29Mar 22, 2024 to Mar 27, 2025
- Financial planning clients · unset to 0Mar 22, 2024 to Mar 27, 2025
- Discretionary RAUM · $11B to $13BMar 22, 2024 to Mar 27, 2025
- HNW RAUM · $14B to $16BMar 22, 2024 to Mar 27, 2025
- Individual RAUM · 0.0 to unsetMar 22, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $2.5B to $2.6BMar 22, 2024 to Mar 27, 2025
- Pension RAUM · 0.0 to unsetMar 22, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $47.6M to $48.5MMar 22, 2024 to Mar 27, 2025
- RAUM · $14B to $16BMar 22, 2024 to Mar 27, 2025
- Accounts · 655 to 746Jan 3, 2024 to Mar 22, 2024
- Corporate clients · 1 to 0Jan 3, 2024 to Mar 22, 2024
- HNW clients · 145 to 144Jan 3, 2024 to Mar 22, 2024
- Assets in custody · $5.8B to $6.8BJan 3, 2024 to Mar 22, 2024
- Discretionary RAUM · $10B to $11BJan 3, 2024 to Mar 22, 2024
- HNW RAUM · $11B to $14BJan 3, 2024 to Mar 22, 2024
- Non-discretionary RAUM · $1.0B to $2.5BJan 3, 2024 to Mar 22, 2024
- Pooled vehicle RAUM · $58.5M to $47.6MJan 3, 2024 to Mar 22, 2024
- RAUM · $11B to $14BJan 3, 2024 to Mar 22, 2024
- Accounts · 651 to 655Mar 29, 2022 to Mar 28, 2023
- Charity clients · 1 to 0Mar 29, 2022 to Mar 28, 2023
- HNW clients · 142 to 145Mar 29, 2022 to Mar 28, 2023
- Pension plan clients · 1 to 0Mar 29, 2022 to Mar 28, 2023
- Assets in custody · $6.8B to $5.8BMar 29, 2022 to Mar 28, 2023
Signals
8 dated events
- Jorge Suarez-Velez left Allen Investment Management, Llc for Americana Partners, Llc (registered 2024-05-06)Oct 14, 2024 · Advisor changed firm · fact
- Jodi Golinsky (Chief Compliance Officer & Deputy General Counsel) appeared on Schedule A of Allen Investment Management, LlcJan 3, 2024 · Control person joined · fact
- Marie Kim Wieland (Managing Director) no longer on Schedule A of Allen Investment Management, Llc (listed 2022-03-29, absent 2023-03-28)Mar 28, 2023 · Control person left · inference
- Allen Investment Management, Llc reported RAUM $13.6B, up 30% from $10.4B (2021-03-31 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- Pruthvi Rajasekharaiah (Chief Operating Officer) appeared on Schedule A of Allen Investment Management, LlcMar 31, 2021 · Control person joined · fact
- Allen Investment Management, Llc reported RAUM $9.0B, up 62% from $5.5B (2019-03-28 to 2020-03-28)Mar 28, 2020 · RAUM change · derived
- Salima Vahabzadeh (Chief Financial Officer) appeared on Schedule A of Allen Investment Management, LlcMar 28, 2020 · Control person joined · fact
- Allen Investment Management, Llc reported RAUM $4.7B, up 41% from $3.4B (2017-03-16 to 2018-03-28)Mar 28, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Principal office phone
- 212-832-8000reportedpublic record, Form ADV, Mar 30, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $2.8Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026