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.
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SEC-registered adviser
A•••••• I••••••••• M••••••••• L••
Latest filing Jul 9, 2026
First filing on the tape Nov 11, 2011 · 11 filings
SEC status approved since Jun 24, 2022
RAUM
$170M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
96%
$164M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$85.2M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$170M as of Jul 9, 2026
Feb 3, 2012$46.8M then
HNW client RAUM$157M as of Jul 9, 2026
Feb 24, 2023$93.5M then
State-registered IARs (5.B.3)2 as of Jul 9, 2026
Feb 3, 20120 then
Employees (5.A)2 as of Jul 9, 2026
Feb 24, 20232 then
Private funds: no history
RAUM +23% over the last fiscal year+18% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jul 9, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $85.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $585,632derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 2.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.1%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$157M92%
- Individuals$6.6M3.9%
- Corporations and businesses$3.0M1.7%
- Pension and profit-sharing plans$2.6M1.5%
- Charitable organizations$817,0000.5%
- Individual clients
- 22reported
- HNW clients
- 78reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 291reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $65.1M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• E••••• A•••••• | Columbia, Sc | Mar 25, 2009 | 32 y | 0 |
| D•••• L•••••• A••••••Chartered Financial Analyst | Columbia, Sc | Apr 2, 2009 | 24 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••• J•••• E••••• · President/Membercontrolsince 12/2002 · owns 75% or more
- A••••••• D••••• L•••••• · Secretary/Membersince 12/2002 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Columbia, Sc · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Wrightsville Beach, NC1 employees
What changed
consecutive filings, newest first
- Accounts · 248 to 291Mar 20, 2025 to Mar 6, 2026
- HNW clients · 72 to 78Mar 20, 2025 to Mar 6, 2026
- Individual clients · 25 to 22Mar 20, 2025 to Mar 6, 2026
- Discretionary RAUM · $123M to $156MMar 20, 2025 to Mar 6, 2026
- HNW RAUM · $128M to $157MMar 20, 2025 to Mar 6, 2026
- Individual RAUM · $4.8M to $6.6MMar 20, 2025 to Mar 6, 2026
- Non-discretionary RAUM · $15.4M to $14.1MMar 20, 2025 to Mar 6, 2026
- Pension RAUM · $2.2M to $2.6MMar 20, 2025 to Mar 6, 2026
- RAUM · $138M to $170MMar 20, 2025 to Mar 6, 2026
- Wrap assets (manager) · $76.3M to $65.1MMar 20, 2025 to Mar 6, 2026
- Accounts · 251 to 248Mar 18, 2024 to Mar 20, 2025
- HNW clients · 65 to 72Mar 18, 2024 to Mar 20, 2025
- Individual clients · 28 to 25Mar 18, 2024 to Mar 20, 2025
- Financial planning clients · 0 to 1-10Mar 18, 2024 to Mar 20, 2025
- Discretionary RAUM · $112M to $123MMar 18, 2024 to Mar 20, 2025
- HNW RAUM · $112M to $128MMar 18, 2024 to Mar 20, 2025
- Individual RAUM · $5.5M to $4.8MMar 18, 2024 to Mar 20, 2025
- Non-discretionary RAUM · $9.6M to $15.4MMar 18, 2024 to Mar 20, 2025
- Pension RAUM · $1.8M to $2.2MMar 18, 2024 to Mar 20, 2025
- RAUM · $122M to $138MMar 18, 2024 to Mar 20, 2025
- Wrap assets (manager) · $70.0M to $76.3MMar 18, 2024 to Mar 20, 2025
- Accounts · 239 to 251Feb 24, 2023 to Mar 18, 2024
- HNW clients · 57 to 65Feb 24, 2023 to Mar 18, 2024
- Individual clients · 35 to 28Feb 24, 2023 to Mar 18, 2024
- Discretionary RAUM · $94.6M to $112MFeb 24, 2023 to Mar 18, 2024
- HNW RAUM · $93.5M to $112MFeb 24, 2023 to Mar 18, 2024
- Individual RAUM · $6.8M to $5.5MFeb 24, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $9.0M to $9.6MFeb 24, 2023 to Mar 18, 2024
- Pension RAUM · $1.4M to $1.8MFeb 24, 2023 to Mar 18, 2024
- RAUM · $104M to $122MFeb 24, 2023 to Mar 18, 2024
- Wrap assets (manager) · $65.7M to $70.0MFeb 24, 2023 to Mar 18, 2024
- Accounts · 232 to 239May 25, 2022 to Feb 24, 2023
- HNW clients · 80 to 57May 25, 2022 to Feb 24, 2023
- Individual clients · 31 to 35May 25, 2022 to Feb 24, 2023
- Financial planning clients · 1-10 to 0May 25, 2022 to Feb 24, 2023
- Discretionary RAUM · $106M to $94.6MMay 25, 2022 to Feb 24, 2023
- HNW RAUM · $108M to $93.5MMay 25, 2022 to Feb 24, 2023
- Individual RAUM · $4.4M to $6.8MMay 25, 2022 to Feb 24, 2023
- Non-discretionary RAUM · $9.1M to $9.0MMay 25, 2022 to Feb 24, 2023
- Pension RAUM · $1.4M to $1.4MMay 25, 2022 to Feb 24, 2023
Signals
1 dated events
- Allison Investment Management, Llc filed its initial SEC registration (Form ADV)May 25, 2022 · First SEC registration · fact
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
- Business phone
- 803-806-8119reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 803-806-8400reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 910-509-7142reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- ALLINVMGT.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 803-806-8400reportedpublic record, Form ADV, Jul 9, 2026
- Team page
- allinvmgt.com/management-teamreportedpublished by the firm, firm site, Sep 16, 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
- $85.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026