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

Allio Advisors

Former SEC-registered adviserSeattle, WashingtonCRD 317938SEC 801-123065websiteIAPD
Legal name Allio Advisors LLC
Latest filing Oct 3, 2025
First filing on the tape Dec 17, 2021 · 48 filings
SEC status approved since Feb 8, 2022
RAUM
$556,892
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$556,892 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
48 filings and snapshots on the tape
RAUM$556,892 as of Oct 3, 2025
Jun 7, 2022$0 then
HNW client RAUM$0 as of Oct 3, 2025
Jun 7, 2022$0 then
State-registered IARs (5.B.3)2 as of Oct 3, 2025
Jun 7, 20222 then
Employees (5.A)6 as of Oct 3, 2025
Jun 7, 20222 then
Private funds: no history
RAUM +4175% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Oct 3, 2025; every figure names its basis
RAUM per advisor
$278,446derivedRAUM over IAPD advisors; not a book size
Clients per advisor
214derivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$1,180derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+1703%derivedbetween the last two annual amendments
Advisor growth, one year
+100%derivedItem 5.B.3 between annual amendments
Client growth, one year
+337%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$556,892100%
Individual clients
428reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
472reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
  • Thomas Daniel Garcia · Chief Compliance Officercontrol
    since 12/2024 · owns less than 5%
  • J Andrew Giannone · Chief Investment Officer/Chief Executive Officercontrol
    since 01/2024 · owns less than 5%
  • Feng Ling Chen · Principal Engineer
    since 11/2021 · owns less than 5%
Entity owners
  • Allio Holdings LLC · Holding Company
    direct · owns 75% or more
  • Allio Fintech Corp · Member
    indirect · owns 75% or more of Allio Holdings LLC
  • Peb Fintech LLC · Investor
    direct · owns less than 5%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Collegeville, Pa000
Seattle, Wa · principal000
Offices
Schedule D 1.F, the 25 largest
  • Collegeville, PA1 employees
  • Oak Creek, WI1 employees
What changed
consecutive filings, newest first
  • Accounts · 868 to 472
    Aug 25, 2025 to Oct 3, 2025
  • Individual clients · 868 to 428
    Aug 25, 2025 to Oct 3, 2025
  • Discretionary RAUM · $68,310 to $556,892
    Aug 25, 2025 to Oct 3, 2025
  • Individual RAUM · $68,310 to $556,892
    Aug 25, 2025 to Oct 3, 2025
  • RAUM · $68,310 to $556,892
    Aug 25, 2025 to Oct 3, 2025
  • Financial planning clients · unset to
    Jun 27, 2025 to Jul 28, 2025
  • Accounts · 1,028 to 868
    Mar 5, 2025 to Jun 27, 2025
  • Advisory employees · 3 to 1
    Mar 5, 2025 to Jun 27, 2025
  • BD registered reps · 4 to 2
    Mar 5, 2025 to Jun 27, 2025
  • Individual clients · 1,028 to 868
    Mar 5, 2025 to Jun 27, 2025
  • Insurance-licensed employees · 3 to 0
    Mar 5, 2025 to Jun 27, 2025
  • State-registered IARs · 4 to 2
    Mar 5, 2025 to Jun 27, 2025
  • Other offices · 2 to 0
    Mar 5, 2025 to Jun 27, 2025
  • Discretionary RAUM · $234,911 to $68,310
    Mar 5, 2025 to Jun 27, 2025
  • Individual RAUM · $234,911 to $68,310
    Mar 5, 2025 to Jun 27, 2025
  • RAUM · $234,911 to $68,310
    Mar 5, 2025 to Jun 27, 2025
  • Advisory employees · 4 to 3
    Dec 16, 2024 to Dec 20, 2024
  • BD registered reps · 0 to 4
    Dec 16, 2024 to Dec 20, 2024
  • Employees · 4 to 6
    Dec 16, 2024 to Dec 20, 2024
  • Insurance-licensed employees · 0 to 3
    Dec 16, 2024 to Dec 20, 2024
  • Other offices · 0 to 2
    Dec 16, 2024 to Dec 20, 2024
  • Related broker-dealer · false to true
    Dec 16, 2024 to Dec 20, 2024
  • Discretionary RAUM · $183,242 to $234,911
    Jun 25, 2024 to Jul 31, 2024
  • Individual RAUM · $183,242 to $234,911
    Jun 25, 2024 to Jul 31, 2024
  • RAUM · $183,242 to $234,911
    Jun 25, 2024 to Jul 31, 2024
  • Wrap assets (manager) · 0.0 to unset
    Jul 31, 2024 to Jul 31, 2024
  • Wrap assets (sponsor) · 0.0 to unset
    Jul 31, 2024 to Jul 31, 2024
  • Accounts · 235 to 1,028
    Jun 6, 2024 to Jun 25, 2024
  • HNW clients · 1 to 0
    Jun 6, 2024 to Jun 25, 2024
  • Individual clients · 234 to 1,028
    Jun 6, 2024 to Jun 25, 2024
  • Discretionary RAUM · $13,028 to $183,242
    Jun 6, 2024 to Jun 25, 2024
  • HNW RAUM · $2,512 to $0
    Jun 6, 2024 to Jun 25, 2024
  • Individual RAUM · $10,516 to $183,242
    Jun 6, 2024 to Jun 25, 2024
  • RAUM · $13,028 to $183,242
    Jun 6, 2024 to Jun 25, 2024
  • Advisory employees · 3 to 4
    May 3, 2024 to Jun 6, 2024
  • Employees · 3 to 4
    May 3, 2024 to Jun 6, 2024
  • State-registered IARs · 3 to 4
    May 3, 2024 to Jun 6, 2024
  • Advisory employees · 2 to 3
    Jan 2, 2024 to Feb 13, 2024
  • Employees · 2 to 3
    Jan 2, 2024 to Feb 13, 2024
  • State-registered IARs · 2 to 3
    Jan 2, 2024 to Feb 13, 2024
Signals
11 dated events
  • Allio Advisors no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $556,892)
    Jan 2, 2026 · Left the SEC roster · derived
  • Andrew J Giannone left Allio Advisors for Alden Investment Group (registered 2026-04-20)
    Jun 9, 2025 · Advisor changed firm · fact
  • Thomas Daniel Garcia (Chief Compliance Officer) appeared on Schedule A of Allio Advisors
    Dec 9, 2024 · Control person joined · fact
  • Rolland Christopher Morgan (Chief Compliance Officer) no longer on Schedule A of Allio Advisors (listed 2024-12-09, absent 2024-12-09)
    Dec 9, 2024 · Control person left · inference
  • J Andrew Giannone (Chief Investment Officer) appeared on Schedule A of Allio Advisors
    Apr 19, 2024 · Control person joined · fact
  • Rolland Christopher Morgan (Chief Compliance Officer) appeared on Schedule A of Allio Advisors
    Apr 19, 2024 · Control person joined · fact
  • Adam Damko (Chief Compliance Officer) no longer on Schedule A of Allio Advisors (listed 2024-02-13, absent 2024-04-19)
    Apr 19, 2024 · Control person left · inference
  • Raymond Charles Micaletti no longer registered at Allio Advisors; no later IA registration on IAPD
    Nov 21, 2023 · Advisor departure · fact
  • Adam Damko (Chief Compliance Officer) appeared on Schedule A of Allio Advisors
    Jul 26, 2023 · Control person joined · fact
  • Robert Ridgway Mclaughlin left Allio Advisors for Alps Advisors, Inc. (registered 2023-08-23)
    Jun 14, 2022 · Advisor changed firm · fact
  • Allio Advisers filed its initial SEC registration (Form ADV)
    Dec 17, 2021 · 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.
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