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ALLEN INVESTMENT MANAGEMENT, LLC
CRD 124454File 801-61985
APPROVED
Retail clients
Custody
Filing as of Mar 30, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$16.91B
Top 10% of cohort (national)
Discretionary AUM
$14.09B
Non-discretionary $2.83B
Clients
144
840 accounts
Employees
28
Top 25% of cohort in NY
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Apr 11, 2003
- Principal office
- 711 FIFTH AVENUE, 10TH FLOOR, NEW YORK, NY, 10022
- Phone
- 212-832-8000
- Website
- Not reported
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $16.91B
- Discretionary AUM
- $14.09B
- Non-discretionary AUM
- $2.83B
- Discretionary accounts
- 815
- Non-discretionary accounts
- 25
- Total accounts
- 840
- AUM per client
- $117.5M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 142 | $16.86B |
| Pooled investment vehicles | 2 | $49.9M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Performance-based fees
- A percentage of assets under your management
Advisory activities
- Other advisory activities
- Selection of other advisers
- Portfolio management for pooled investment vehicles
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- Yes
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 29 | 28 | decreased by1 |
| Apr 1, 2026 | Clients | 145 | 144 | decreased by1 |
| Apr 1, 2026 | AUM | $15,833,950,821 | $16,914,755,305 | increased by$1,080,804,484 |
| Apr 1, 2026 | Accounts | 822 | 840 | increased by18 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 31 | 29 | decreased by2 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 147 | 145 | decreased by2 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $13,558,428,777 | $15,833,950,821 | increased by$2,275,522,044 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 651 | 822 | increased by171 |
| Apr 1, 2022 | Clients | 153 | 147 | decreased by6 |
| Apr 1, 2022 | AUM | $10,438,971,845 | $13,558,428,777 | increased by$3,119,456,932 |
| Apr 1, 2022 | Accounts | 616 | 651 | increased by35 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “ALLEN INVESTMENT” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“ALLEN INVESTMENT” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.