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.

Former SEC-registered adviser

Allen & Company Of Florida, LLC

Former SEC-registered adviserLakeland, FloridaCRD 25SEC 801-57874IAPD
Latest filing Apr 30, 2021
First filing on the tape Mar 6, 2012 · 71 filings
RAUM
$1.4B
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
87%
$1.2B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
65
32 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
71 filings and snapshots on the tape
RAUM$1.4B as of Mar 31, 2021
Mar 13, 2012$1.8B then
HNW client RAUM$849M as of Mar 31, 2021
Mar 27, 2018$423M then
State-registered IARs (5.B.3)32 as of Mar 31, 2021
Mar 13, 20120 then
Employees (5.A)65 as of Mar 31, 2021
Feb 28, 201361 then
Private funds: no history
RAUM +31% over the last fiscal year+11% a year over threeIARs 34 to 32
Practice profile
derived from the filing of Apr 30, 2021; every figure names its basis
RAUM per advisor
$42.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
85derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$851,712derivedHNW RAUM over HNW clients
Average account
$377,298derivedRAUM over accounts (5.F.2.f)
Discretionary
95%derivedof RAUM
Institutional
3.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
10.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+31%derivedbetween the last two annual amendments
Advisor growth, one year
-5.9%derivedItem 5.B.3 between annual amendments
Client growth, one year
+31%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
Custody
$1.9M, 1 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
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$849M62%
  • Individuals$344M25%
  • Corporations and businesses$125M9.2%
  • Charitable organizations$33.4M2.4%
  • Pension and profit-sharing plans$11.3M0.8%
  • Sovereign wealth funds$3.2M0.2%
Individual clients
1,729reported
HNW clients
997reported
Pension plan clients
14reported
Charitable clients
12reported
Accounts
3,621reported
Financial planning clients
251-500reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$1.9M for 1 clientsreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Mccarren Clare Kiesel · Senior Vice Presidentcontrol
    since 03/2021 · owns less than 5%
  • Michael Neill Walker · Vice President, Principal Operations Officer & Chief Financial Officercontrol
    since 11/2018 · owns less than 5%
  • Carol Manning Zitzelberger · Vice President, Chief Compliance Officer
    since 01/2003 · owns less than 5%
Entity owners
  • LPL Employee Services LLC · Managing Member
    direct · owns 75% or more
  • LPL Financial Holdings Inc. · Parent Company
    indirect · owns 75% or more of LPL Holdings, Inc. · public reporting company
  • LPL Holdings, Inc. · Parent Company
    indirect · owns 75% or more of LPL Employee Services, LLC
Related persons
Schedule D 7.A
  • Fortigent, LLC
    investment advisernRAUM $3.5B
  • LPL Financial LLC
    broker-dealerinvestment adviserreal estatecustodiannRAUM $819B
  • LPL Insurance Associates, Inc.
    real estaten
  • The Private Trust Company, N.A.
    n
Offices
Schedule D 1.F, the 25 largest
  • Winter Haven, FL6 employees
  • Viera, FL3 employees
What changed
consecutive filings, newest first
  • Accounts · 2,698 to 3,621
    Mar 25, 2021 to Mar 31, 2021
  • Advisory employees · 34 to 32
    Mar 25, 2021 to Mar 31, 2021
  • BD registered reps · 34 to 32
    Mar 25, 2021 to Mar 31, 2021
  • Charity clients · 8 to 12
    Mar 25, 2021 to Mar 31, 2021
  • Corporate clients · 40 to 48
    Mar 25, 2021 to Mar 31, 2021
  • HNW clients · 776 to 997
    Mar 25, 2021 to Mar 31, 2021
  • Individual clients · 1,304 to 1,729
    Mar 25, 2021 to Mar 31, 2021
  • Pension plan clients · 10 to 14
    Mar 25, 2021 to Mar 31, 2021
  • Assets in custody · $0 to $1.9M
    Mar 25, 2021 to Mar 31, 2021
  • Custody of client assets · false to true
    Mar 25, 2021 to Mar 31, 2021
  • Employees · 67 to 65
    Mar 25, 2021 to Mar 31, 2021
  • Financial planning clients · 101-250 to 251-500
    Mar 25, 2021 to Mar 31, 2021
  • State-registered IARs · 34 to 32
    Mar 25, 2021 to Mar 31, 2021
  • Discretionary RAUM · $928M to $1.3B
    Mar 25, 2021 to Mar 31, 2021
  • HNW RAUM · $660M to $849M
    Mar 25, 2021 to Mar 31, 2021
  • Individual RAUM · $258M to $344M
    Mar 25, 2021 to Mar 31, 2021
  • Non-discretionary RAUM · $117M to $75.0M
    Mar 25, 2021 to Mar 31, 2021
  • Pension RAUM · $8.1M to $11.3M
    Mar 25, 2021 to Mar 31, 2021
  • RAUM · $1.0B to $1.4B
    Mar 25, 2021 to Mar 31, 2021
  • Accounts · 2,585 to 2,698
    Jan 31, 2020 to Mar 30, 2020
  • Advisory employees · 31 to 34
    Jan 31, 2020 to Mar 30, 2020
  • BD registered reps · 36 to 34
    Jan 31, 2020 to Mar 30, 2020
  • Charity clients · 16 to 8
    Jan 31, 2020 to Mar 30, 2020
  • Corporate clients · 0 to 40
    Jan 31, 2020 to Mar 30, 2020
  • HNW clients · 236 to 776
    Jan 31, 2020 to Mar 30, 2020
  • Individual clients · 2,275 to 1,304
    Jan 31, 2020 to Mar 30, 2020
  • Pension plan clients · 14 to 10
    Jan 31, 2020 to Mar 30, 2020
  • Custody of client assets · true to false
    Jan 31, 2020 to Mar 30, 2020
  • Employees · 65 to 67
    Jan 31, 2020 to Mar 30, 2020
  • Financial planning clients · 251-500 to 101-250
    Jan 31, 2020 to Mar 30, 2020
  • State-registered IARs · 33 to 34
    Jan 31, 2020 to Mar 30, 2020
  • Discretionary RAUM · $3.2M to $928M
    Jan 31, 2020 to Mar 30, 2020
  • HNW RAUM · $444M to $660M
    Jan 31, 2020 to Mar 30, 2020
  • Individual RAUM · $441M to $258M
    Jan 31, 2020 to Mar 30, 2020
  • Non-discretionary RAUM · $985M to $117M
    Jan 31, 2020 to Mar 30, 2020
  • Pension RAUM · $60.4M to $8.1M
    Jan 31, 2020 to Mar 30, 2020
  • RAUM · $988M to $1.0B
    Jan 31, 2020 to Mar 30, 2020
  • Wrap assets (manager) · unset to 0.0
    Jan 31, 2020 to Mar 30, 2020
  • Wrap assets (sponsor) · unset to 0.0
    Jan 31, 2020 to Mar 30, 2020
  • Business name · ALLEN & COMPANY OF FLORIDA, INC. to ALLEN & COMPANY OF FLORIDA, LLC
    Nov 8, 2019 to Nov 25, 2019
Signals
22 dated events
  • Clare Mccarren Kiesel no longer registered at Allen & Company Of Florida, Llc; no later IA registration on IAPD
    Mar 2, 2022 · Advisor departure · fact
  • Mccarren Clare Kiesel (Senior Vice President) appeared on Schedule A of Allen & Company Of Florida, Llc
    Mar 31, 2021 · Control person joined · fact
  • Allen & Company Of Florida, Llc reported RAUM $1.4B, up 31% from $1.0B (2021-03-25 to 2021-03-31)
    Mar 31, 2021 · RAUM change · derived
  • Keith Edward Albritton (Vice President) no longer on Schedule A of Allen & Company Of Florida, Llc (listed 2021-03-25, absent 2021-03-31)
    Mar 31, 2021 · Control person left · inference
  • Ralph Carter Allen (Vice President) no longer on Schedule A of Allen & Company Of Florida, Llc (listed 2021-03-25, absent 2021-03-31)
    Mar 31, 2021 · Control person left · inference
  • Laura J Hawley (Vice President) no longer on Schedule A of Allen & Company Of Florida, Llc (listed 2021-03-25, absent 2021-03-31)
    Mar 31, 2021 · Control person left · inference
  • Arthur David Osman (President) no longer on Schedule A of Allen & Company Of Florida, Llc (listed 2021-03-25, absent 2021-03-31)
    Mar 31, 2021 · Control person left · inference
  • Michael Henry Wright (Vice President) no longer on Schedule A of Allen & Company Of Florida, Llc (listed 2021-03-25, absent 2021-03-31)
    Mar 31, 2021 · Control person left · inference
  • Michael Henry Wright (Vice President) appeared on Schedule A of Allen & Company Of Florida, Llc
    Nov 8, 2019 · Control person joined · fact
  • Keith Edward Albritton (Vice President) appeared on Schedule A of Allen & Company Of Florida, Llc
    Nov 8, 2019 · Control person joined · fact
  • Ralph Carter Allen (Vice President) appeared on Schedule A of Allen & Company Of Florida, Llc
    Nov 8, 2019 · Control person joined · fact
  • Laura J Hawley (Vice President) appeared on Schedule A of Allen & Company Of Florida, Llc
    Nov 8, 2019 · Control person joined · fact
  • Michael Neill Walker (Vice President, Principal Operations Officer & Chief Financial Officer) appeared on Schedule A of Allen & Company Of Florida, Llc
    Nov 8, 2019 · Control person joined · fact
  • Arthur David Osman (President) appeared on Schedule A of Allen & Company Of Florida, Llc
    Nov 8, 2019 · Control person joined · fact
  • Michael Neill Walker (Vice President , Director Of Administration, Cfo) no longer on Schedule A of Allen & Company Of Florida, Llc (listed 2019-03-29, absent 2019-09-13)
    Sep 13, 2019 · Control person left · inference
  • Allen & Company Of Florida, Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Sep 13, 2019 · Succession (Item 4) · fact
  • Ralph Carter Allen (Chairman, Director, Ceo) no longer on Schedule A of Allen & Company Of Florida, Llc (listed 2019-03-29, absent 2019-09-13)
    Sep 13, 2019 · Control person left · inference
  • Laura Jane Hawley (Director, President, Corporate Secretary/Treasurer) no longer on Schedule A of Allen & Company Of Florida, Llc (listed 2019-03-29, absent 2019-09-13)
    Sep 13, 2019 · Control person left · inference
  • Michael Henry Wright (Vice President, Registered Options And Security Futures Principal) no longer on Schedule A of Allen & Company Of Florida, Llc (listed 2019-03-29, absent 2019-09-13)
    Sep 13, 2019 · Control person left · inference
  • Keith Edward Albritton (Senior Vice President, Director) no longer on Schedule A of Allen & Company Of Florida, Llc (listed 2019-03-29, absent 2019-09-13)
    Sep 13, 2019 · Control person left · inference
  • William Sassano (Vice President, Operations) no longer on Schedule A of Allen & Company Of Florida, Llc (listed 2019-03-29, absent 2019-09-13)
    Sep 13, 2019 · Control person left · inference
  • Allen & Company Of Florida, Llc reported RAUM $1.0B, up 40% from $714.7M (2017-08-25 to 2018-03-27)
    Mar 27, 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.
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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026