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•••• W••••• M••••••••• L••
Latest filing Jan 29, 2026
First filing on the tape Mar 5, 2012 · 37 filings
SEC status approved since Jun 20, 2005
RAUM
$664M
reported, Item 5.F
Discretionary
79%
of RAUM
Private clients
99%
$659M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$166M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$664M as of Jan 29, 2026
Mar 5, 2012$92.6M then
HNW client RAUM$445M as of Jan 29, 2026
Jan 30, 2018$72.4M then
State-registered IARs (5.B.3)4 as of Jan 29, 2026
Mar 5, 20120 then
Employees (5.A)7 as of Jan 29, 2026
Mar 1, 20132 then
Private funds: no history
RAUM +20% over the last fiscal year+20% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Jan 29, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $166MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 275derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $243,789derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 79%derivedof RAUM
- Institutional
- 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.7%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Financial planning clients
- 1,000reportedItem 5.H
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $7.9M, 10 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$445M67%
- Individuals$214M32%
- Charitable organizations$4.9M0.7%
- Individual clients
- 900reported
- HNW clients
- 199reported
- Pension plan clients
- n/areported
- Charitable clients
- 9reported
- Accounts
- 2,725reported
- Financial planning clients
- 1,000reported
- Wrap fee programs
- $0 sponsored, $576M managedreported
- Custody of client assets
- $7.9M for 10 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=4.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••••• C•••••• A••••Certified Financial Planner | Boone, Nc | Nov 22, 2004 | 22 y | 0 |
| E••• S•••• F••••••• | Boone, Nc | Mar 3, 2015 | 25 y | 3 |
| B•••••• M••••••• G••••Certified Financial Planner | Boone, Nc | Nov 17, 2021 | 21 y | 2 |
| R•••• G•••• C••••••• | Boone, Nc | Jul 2, 2026 | 10 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 25% of current headcount1 left over 36 months
Left, latest
- M••••••• L•• C••••••••• to R•••••• J•••• • A••••••••• I•••Jan 30, 2026 · RIA to affiliated broker-dealer or bank
- J••••• B•••••• R•••••• to L•• F•••••••• L••May 17, 2021 · RIA to affiliated broker-dealer or bank
Joined, latest
- B•••••• M••••••• G•••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Nov 17, 2021 · Affiliated broker-dealer or bank to independent RIA
- E••• S•••• F••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Mar 3, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• J•••••••• C•••••• · Member/Chief Compliance Officercontrolsince 09/2004 · owns 75% or more
Related persons
Schedule D 7.A
- A•••• C•• P•••insurancey
- A•••• F•••••••• A•••••••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Boone, Nc · principal | 4 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually high clients per advisorStatic outlier · filing Jan 29, 2026private clients per advisor of 274.8 against a peer median of 63.5 (1211 comparable advisers, 98.0th percentile, 5.7 robust deviations)peers: independent wealth managers, $500M to $1B (1,211) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 2,589 to 2,725Jul 22, 2025 to Jan 29, 2026
- Advisory employees · 3 to 4Jul 22, 2025 to Jan 29, 2026
- Charity clients · 8 to 9Jul 22, 2025 to Jan 29, 2026
- HNW clients · 161 to 199Jul 22, 2025 to Jan 29, 2026
- Individual clients · 879 to 900Jul 22, 2025 to Jan 29, 2026
- Assets in custody · $1.3M to $7.9MJul 22, 2025 to Jan 29, 2026
- Discretionary RAUM · $425M to $523MJul 22, 2025 to Jan 29, 2026
- HNW RAUM · $341M to $445MJul 22, 2025 to Jan 29, 2026
- Individual RAUM · $209M to $214MJul 22, 2025 to Jan 29, 2026
- Non-discretionary RAUM · $129M to $141MJul 22, 2025 to Jan 29, 2026
- RAUM · $554M to $664MJul 22, 2025 to Jan 29, 2026
- Wrap assets (manager) · $477M to $576MJul 22, 2025 to Jan 29, 2026
- Financial planning clients · More than 500 to More than 500Feb 14, 2025 to Jul 22, 2025
- Accounts · 2,454 to 2,589Jul 18, 2024 to Feb 14, 2025
- BD registered reps · 3 to 4Jul 18, 2024 to Feb 14, 2025
- Charity clients · 7 to 8Jul 18, 2024 to Feb 14, 2025
- HNW clients · 148 to 161Jul 18, 2024 to Feb 14, 2025
- Individual clients · 861 to 879Jul 18, 2024 to Feb 14, 2025
- Assets in custody · $2.3M to $1.3MJul 18, 2024 to Feb 14, 2025
- State-registered IARs · 3 to 4Jul 18, 2024 to Feb 14, 2025
- Discretionary RAUM · $362M to $425MJul 18, 2024 to Feb 14, 2025
- HNW RAUM · $280M to $341MJul 18, 2024 to Feb 14, 2025
- Individual RAUM · $196M to $209MJul 18, 2024 to Feb 14, 2025
- Non-discretionary RAUM · $116M to $129MJul 18, 2024 to Feb 14, 2025
- RAUM · $478M to $554MJul 18, 2024 to Feb 14, 2025
- Wrap assets (manager) · $417M to $477MJul 18, 2024 to Feb 14, 2025
- Accounts · 1,808 to 2,454Jan 30, 2023 to Feb 15, 2024
- Charity clients · 10 to 7Jan 30, 2023 to Feb 15, 2024
- HNW clients · 120 to 148Jan 30, 2023 to Feb 15, 2024
- Individual clients · 803 to 861Jan 30, 2023 to Feb 15, 2024
- Assets in custody · $4.5M to $2.3MJan 30, 2023 to Feb 15, 2024
- Discretionary RAUM · $283M to $362MJan 30, 2023 to Feb 15, 2024
- HNW RAUM · $186M to $280MJan 30, 2023 to Feb 15, 2024
- Individual RAUM · $196M to $196MJan 30, 2023 to Feb 15, 2024
- Non-discretionary RAUM · $99.6M to $116MJan 30, 2023 to Feb 15, 2024
- RAUM · $382M to $478MJan 30, 2023 to Feb 15, 2024
- Wrap assets (manager) · $382M to $417MJan 30, 2023 to Feb 15, 2024
- Accounts · 1,312 to 1,808Aug 19, 2022 to Jan 30, 2023
- BD registered reps · 2 to 3Aug 19, 2022 to Jan 30, 2023
- Charity clients · 9 to 10Aug 19, 2022 to Jan 30, 2023
Signals
2 dated events
- M••••••• L•• C••••••••• left A•••• W••••• M••••••••• L•• for R•••••• J•••• • A••••••••• I••• (registered 2026-02-25)Jan 30, 2026 · Advisor changed firm · fact
- Fosta Judd Allen (Member) no longer on Schedule A of A•••• W••••• M••••••••• L•• (listed 2018-02-01, absent 2019-01-28)Jan 28, 2019 · Control person left · inference
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
- Firm profile
- linkedin.com/company/allen-wealth-managementreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 828-268-9693reportedpublic record, Form ADV, Jan 29, 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
- $166Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026