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 Capital Group, LLC

Independent wealth managerGrand Island, NebraskaCRD 135879SEC 801-64514website IAPD

Latest filing Mar 31, 2026

First filing on the tape Mar 8, 2012 · 49 filings

SEC status approved since Jul 15, 2005

RAUM

$1.5B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

94%

$1.4B individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$68.3M

derived; firm RAUM over IAPD count

Employees

21 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

49 filings and snapshots on the tape

RAUM$1.5B as of Mar 31, 2026

Mar 8, 2012$112M then

HNW client RAUM$985M as of Mar 31, 2026

Mar 26, 2018$173M then

State-registered IARs (5.B.3)21 as of Mar 31, 2026

Mar 8, 20120 then

Employees (5.A)38 as of Mar 31, 2026

Mar 26, 20139 then

Private funds2 as of Mar 31, 2026

Mar 29, 20241 then

RAUM +23% over the last fiscal year+23% a year over threeIARs 20 to 21

Practice profile

derived from the filing of Mar 31, 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
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)

RAUM per advisor: $68.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 100derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.4MderivedHNW RAUM over HNW clients
Average account: $209,656derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 4.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.7derivedItem 5.A over advisors
Advisors per office: 3.7derived6 offices incl. principal (1.F.5)
RAUM growth, one year: +23%derivedbetween the last two annual amendments
Advisor growth, one year: +5.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +6.6%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody: $109M, 667 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

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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$985M66%
Individuals$427M28%
Charitable organizations$56.5M3.8%
Corporations and businesses$18.3M1.2%
Pension and profit-sharing plans$8.6M0.6%
Pooled investment vehicles$5.6M0.4%

Individual clients: 1,779reported
HNW clients: 410reported
Pension plan clients: 4reported
Charitable clients: 56reported
Accounts: 7,162reported
Financial planning clients: 101-250reported
Wrap fee programs: noreported
Custody of client assets: $109M for 667 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=0.94 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

22 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
Eric Jerome AllenCertified Financial Planner, Chartered Financial Consultant	Grand Island, Ne	Jul 29, 2005	38 y	1
Mark Jerome AllenCertified Financial Planner	Grand Island, Ne	Jul 29, 2005	23 y	1
Michael David Stanton	Grand Island, Ne	Aug 5, 2014	15 y	3
Philip Joe McbrideCertified Financial Planner	Grand Island, Ne	Sep 18, 2014	19 y	3
Kent Kurtis Koch	Grand Island, Ne	Jun 24, 2015	18 y	0
Steven Eugene Wilbur	Omaha, Ne	Sep 18, 2017	28 y	4
Daniel Sean Conroy	Omaha, Ne	Oct 23, 2017	13 y	1
Travis James PortwoodCertified Financial Planner	Omaha, Ne	Jan 11, 2018	27 y	3
Randal Ray Korth	Grand Island, Ne	Jan 11, 2018	16 y	3
Pamela Jean Korth	Omaha, Ne	Jan 16, 2018	12 y	1
Shane Tyler Wissmann	Grand Island, Ne	Jan 9, 2019	17 y	4
Allison Marie HorakCertified Financial Planner	Grand Island, Ne	May 13, 2021	10 y	1
Steven Philip CahoyCertified Financial Planner	Grand Island, Ne	Jul 1, 2022	17 y	0
Bradley L FeikCertified Financial Planner	Grand Island, Ne	Nov 4, 2022	10 y	0
Benjamin G HanssenCertified Financial Planner	Grand Island, Ne	Jan 26, 2023	15 y	7
Brian E HarmonCertified Financial Planner	Grand Island, Ne	Aug 11, 2023	11 y	0
Trevor Jason Stevens	Grand Island, Ne	Dec 18, 2023	21 y	0
Blake Andrew Kokes	Grand Island, Ne	Oct 15, 2024	10 y	0
Chad Alan Sheffield	Grand Island, Ne	Mar 10, 2025	22 y	0
Michael C Tuttle	Grand Island, Ne	Mar 18, 2025	24 y	0
Sarah Lynn Havermann	Grand Island, Ne	May 14, 2026	13 y	0
Blake Thiele	Grand Island, Ne	Jul 24, 2026	11 y	1

Advisor movement

1 left, 1 joined in 12 months

net 0 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 4.5% of current headcount4 left over 36 months

Left, latest

Carter James Masteller to Stevens Capital Partners
Apr 28, 2026 · RIA to RIA
Troy Lee Hilyard to Mbe Wealth Management, LLC
Jun 6, 2024 · RIA to RIA
James Ray Gardner to Avantax Planning Partners, Inc.
Dec 18, 2023 · RIA to affiliated broker-dealer or bank
Jennifer Lea Cook to LPL Financial LLC
Nov 29, 2023 · RIA to affiliated broker-dealer or bank
Vincent Tomas Ryan to Avantax Planning Partners, Inc.
Jan 31, 2023 · RIA to RIA
Tad Allen Singer to Wealthplan Partners
Feb 11, 2020 · RIA to RIA

Joined, latest

Blake Thiele from Matter Family Office
Jul 24, 2026 · RIA to RIA
Benjamin G Hanssen from Ellerbrock-Norris Wealth Strategies LLC
Jan 26, 2023 · RIA to RIA
Allison Marie Horak from Novem Group
May 13, 2021 · RIA to RIA
Shane Tyler Wissmann from Novem Group
Jan 9, 2019 · RIA to RIA
Pamela Jean Korth from Mariner Wealth Advisors
Jan 16, 2018 · Other
Randal Ray Korth from Mariner
Jan 11, 2018 · Other
Travis James Portwood from Mariner
Jan 11, 2018 · Other
Daniel Sean Conroy from D.A. Davidson & Co.
Oct 23, 2017 · Other
Tad Allen Singer from D.A. Davidson & Co.
Sep 18, 2017 · Other
Steven Eugene Wilbur from D.A. Davidson & Co.
Sep 18, 2017 · Other
James Ray Gardner from Falco Financial Services, Inc.
Nov 6, 2014 · Other
Troy Lee Hilyard from Falco Financial Services, Inc.
Nov 6, 2014 · Other
Vincent Tomas Ryan from Avantax Planning Partners, Inc.
Nov 5, 2014 · Other
Philip Joe Mcbride from Cwm, LLC
Sep 18, 2014 · Other
Michael David Stanton from Td Ameritrade Investment Management, LLC
Aug 5, 2014 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 joined from Mariner
Jan 11, 2018 · Omaha, Ne
2 joined from D.A. Davidson & Co.
Sep 18, 2017 · Omaha, Ne

Teams out Teams in

Private funds

2 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
Acg Aerie, LLC	Real Estate Fund	$4.3M	17	Mar 29, 2024
Acg Aerie II, LLC		$2.2M	19	Mar 31, 2026

Owners and control persons

Schedule A and B, latest filing

Jerome Mark Allen · Managing Member / Chief Compliance Officercontrol
since 07/2005 · owns 25% to 50%
Jenny Nichol · Chief Financial Officercontrol
since 10/2015 · owns 5% to 10%
James Travis Portwood · Membercontrol
since 01/2023 · owns 10% to 25%
Eugene Steven Wilbur · Membercontrol
since 01/2023 · owns 10% to 25%
Kurtis Kent Koch · Member
since 01/2023 · owns 5% to 10%
Joe Philip Mcbride · Member
since 01/2023 · owns 10% to 25%
David Michael Stanton · Member
since 01/2023 · owns 5% to 10%
Tyler Shane Wissmann · Member
since 01/2023 · owns 5% to 10%
Jordan Allen · Trustee
since 11/2021 · owns F of Mark J. Allen Legacy Trust

Entity owners

Mark J. Allen Legacy Trust · Member
direct · owns 10% to 25%

Related persons

Schedule D 7.A

Mark Allen And Jenny Nichol
insurancen

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left
Grand Island, Ne · principal	22	2	1
Omaha, Ne	6	0	0
Ogallala, Ne	2	1	0

Offices

Schedule D 1.F, the 25 largest

Omaha, NE5 employees
Scottsbluff, NE4 employees
Kearney, NE3 employees
Chadron, NE2 employees
Ogallala, NE2 employees

ADV anomalies

1 against comparable advisers; where to look, not conclusions

compensation changedChange between filings · filing Mar 31, 2026
commissions (Item 5.E.5): yes on the filing of 2025-07-28, no on the filing of 2026-03-31
peers: independent wealth managers, $1B to $5B (1,360)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 6,558 to 7,162
Jul 28, 2025 to Mar 31, 2026
Advisory employees · 20 to 21
Jul 28, 2025 to Mar 31, 2026
Charity clients · 50 to 56
Jul 28, 2025 to Mar 31, 2026
Corporate clients · 21 to 23
Jul 28, 2025 to Mar 31, 2026
HNW clients · 332 to 410
Jul 28, 2025 to Mar 31, 2026
Individual clients · 1,722 to 1,779
Jul 28, 2025 to Mar 31, 2026
Pooled vehicle clients · 1 to 2
Jul 28, 2025 to Mar 31, 2026
Commission compensation · true to false
Jul 28, 2025 to Mar 31, 2026
Assets in custody · $420M to $109M
Jul 28, 2025 to Mar 31, 2026
Employees · 39 to 38
Jul 28, 2025 to Mar 31, 2026
State-registered IARs · 20 to 21
Jul 28, 2025 to Mar 31, 2026
Discretionary RAUM · $1.2B to $1.5B
Jul 28, 2025 to Mar 31, 2026
HNW RAUM · $751M to $985M
Jul 28, 2025 to Mar 31, 2026
Individual RAUM · $391M to $427M
Jul 28, 2025 to Mar 31, 2026
Non-discretionary RAUM · $0 to $5.6M
Jul 28, 2025 to Mar 31, 2026
Pension RAUM · $11.8M to $8.6M
Jul 28, 2025 to Mar 31, 2026
Pooled vehicle RAUM · $3.4M to $5.6M
Jul 28, 2025 to Mar 31, 2026
RAUM · $1.2B to $1.5B
Jul 28, 2025 to Mar 31, 2026
Financial planning clients · 101-250 to 101-250
Jun 11, 2025 to Jul 28, 2025
Advisory employees · 21 to 20
Nov 14, 2024 to Apr 17, 2025
Charity clients · 47 to 50
Nov 14, 2024 to Apr 17, 2025
Corporate clients · 23 to 21
Nov 14, 2024 to Apr 17, 2025
HNW clients · 252 to 332
Nov 14, 2024 to Apr 17, 2025
Individual clients · 1,685 to 1,722
Nov 14, 2024 to Apr 17, 2025
Pension plan clients · 5 to 4
Nov 14, 2024 to Apr 17, 2025
Pooled vehicle clients · 0 to 1
Nov 14, 2024 to Apr 17, 2025
Assets in custody · $371M to $420M
Nov 14, 2024 to Apr 17, 2025
Employees · 38 to 39
Nov 14, 2024 to Apr 17, 2025
State-registered IARs · 21 to 20
Nov 14, 2024 to Apr 17, 2025
Private funds · 1 to 2
Nov 14, 2024 to Apr 17, 2025
Discretionary RAUM · $998M to $1.2B
Nov 14, 2024 to Apr 17, 2025
HNW RAUM · $563M to $751M
Nov 14, 2024 to Apr 17, 2025
Individual RAUM · $361M to $391M
Nov 14, 2024 to Apr 17, 2025
Pension RAUM · $8.4M to $11.8M
Nov 14, 2024 to Apr 17, 2025
Pooled vehicle RAUM · $0 to $3.4M
Nov 14, 2024 to Apr 17, 2025
RAUM · $998M to $1.2B
Nov 14, 2024 to Apr 17, 2025
Accounts · 6,140 to 6,558
Nov 14, 2024 to Apr 17, 2025
Advisory employees · 20 to 21
Jun 6, 2024 to Oct 23, 2024
Employees · 37 to 38
Jun 6, 2024 to Oct 23, 2024
State-registered IARs · 20 to 21
Jun 6, 2024 to Oct 23, 2024

Signals

11 dated events

Carter James Masteller left Allen Capital Group, Llc for Stevens Capital Partners (registered 2026-05-11)
Apr 28, 2026 · Advisor changed firm · fact
Troy Lee Hilyard left Allen Capital Group, Llc for Mbe Wealth Management, Llc (registered 2026-01-01)
Jun 6, 2024 · Advisor changed firm · fact
James Ray Gardner left Allen Capital Group, Llc for Avantax Planning Partners, Inc. (registered 2024-02-08)
Dec 18, 2023 · Advisor changed firm · fact
Jennifer Lea Cook left Allen Capital Group, Llc for Lpl Financial Llc (registered 2025-09-10)
Nov 29, 2023 · Advisor changed firm · fact
James Travis Portwood (Member) appeared on Schedule A of Allen Capital Group, Llc
Mar 23, 2023 · Control person joined · fact
Eugene Steven Wilbur (Member) appeared on Schedule A of Allen Capital Group, Llc
Mar 23, 2023 · Control person joined · fact
Jerome Eric Allen (Managing Member) no longer on Schedule A of Allen Capital Group, Llc (listed 2023-01-31, absent 2023-03-23)
Mar 23, 2023 · Control person left · inference
Vincent Tomas Ryan left Allen Capital Group, Llc for Avantax Planning Partners, Inc. (registered 2023-02-01)
Jan 31, 2023 · Advisor changed firm · fact
Jenny Nichol (Chief Financial Officer) appeared on Schedule A of Allen Capital Group, Llc
Mar 29, 2022 · Control person joined · fact
Allen Capital Group, Llc reported RAUM $658.2M, up 29% from $510.2M (2019-03-27 to 2020-03-23)
Mar 23, 2020 · RAUM change · derived
Allen Capital Group, Llc reported RAUM $449.1M, up 48% from $303.8M (2017-09-25 to 2018-03-26)
Mar 26, 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

Business email: inquiry@allencapgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: allie@allencapgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: ben@allencapgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: blake@allencapgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: brad@allencapgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: candice@allencapgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: chelsea@allencapgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: daphne@allencapgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: dennis@allencapgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: ej@allencapgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: janet@allencapgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: kayla@allencapgroup.comreportedpublished by the firm, firm site, Sep 15, 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: $68.3Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Across the graphs

Allen Capital Group, LLC is the same institution as 1 record in Real Estate Funds.

Real Estate Funds1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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