|
⚲
|
| Keyboard |
| Allen Financial Management LLC
✚
|
|
|---|---|
| CRD # | 153511 |
| SEC # | 801-132815 |
| CIK # | 0001303053, 0001326234 |
| AUM | 121.2 M (2026-03-04) |
| Employees | 1 (100% Investors, 100% Brokers) |
| Fees | |
| Minimum | |
| Phone | 248-572-4731 |
| Address | 925 N Lapeer Rd Oxford, MI 48371 |
| Source | [IAPD] [EDGAR] [Website] |
| Total AUM ($M) |
|---|
| Sector | Form 13F Holdings | Value ($B) | |
|---|---|---|---|
| Palantir Technologies Inc | 0.2 | ||
| Acuity Brands Inc | 0.1 | ||
| Reinvent Technology Partners Y | 0.0 | ||
| Schwab Charles Corp | 0.0 | ||
| Affirm Holdings Inc | 0.0 | ||
| Mastercard Inc | 0.0 | ||
| Microsoft Corp | 0.0 | ||
| iShares Bitcoin Trust | 0.0 | ||
| Alphabet Inc | 0.0 | ||
| Alphabet Inc | 0.0 | ||
| View All | |||
| Holdings by Sector ($B) |
|---|
| AUM Breakdown | Accounts | AUM ($M) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 250 | 44.4 |
| (b) Individuals (high net worth individuals) | 38 | 76.8 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 0 | 0.0 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 0 | 0.0 |
| (g) Pension and profit sharing plans | 0 | 0.0 |
| (h) Charitable organizations | 0 | 0.0 |
| (i) State or municipal government entities | 0 | 0.0 |
| (j) Other investment advisers | 0 | 0.0 |
| (k) Insurance companies | 0 | 0.0 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 0 | 0.0 |
| (n) Other | 0 | 0.0 |
| Total | 536 | 121.2 |
| By Discretionary | ||
| Discretionary | 536 | 121.2 |
| Non-Discretionary | 0 | 0.0 |
| Total | 536 | 121.2 |
| By Non-United States Persons | ||
| Non-United States Persons | 0.0 | |
| United States Persons | 121.2 | |
| Total | 536 | 121.2 |
| EDGAR Form | CIK | 2011 - 2026 |
|---|---|---|
| 13F-NT | [0001303053] | |
| 3 | [0001303053] | |
| 4 | [0001303053] | |
| SC 13D | [0001303053] | |
| SC 13G | [0001303053] | |
| 13F-HR | [0001326234] |
| Form 13D/13G Filer | Form 13D/13G Subject | Filed |
|---|---|---|
| Allen & Co LLC | Cargurus Inc | [2017-10-20] |
| Allen & Co LLC | Northern Power Systems Corp | [2014-04-28] |
| Firm Profile (Form ADV) | |
|---|---|
| Discretionary AUM | $0.1B |
| Serves | Retail |
| Form 3/4/5 Subject | 2011 - 2026 |
|---|---|
| CarGurus Inc | |
| Allen & CO LLC | |
| Allen Operations LLC | |
| Northern Power Systems Corp | |
| Allen Herbert A III |
| Insider Transaction (Form 3/4/5) | Date | Action | Shares | Price | Value ($) |
|---|---|---|---|---|---|
|
CarGurus Inc CARG
Class A Common Stock
|
2017-10-16 | Conversion | 4,802,155 | $0.00 | |
|
CarGurus Inc CARG
Series B Preferred Stock · derivative
|
2017-10-16 | Conversion | 800,359 | ||
|
CarGurus Inc CARG
Class A Common Stock
|
2017-10-16 | Conversion | 63,882 | $0.00 | |
|
CarGurus Inc CARG
Series A Preferred Stock · derivative
|
2017-10-16 | Conversion | 10,647 | ||
|
CarGurus Inc CARG
Class A Common Stock
|
2017-10-16 | Conversion | 813,564 | $0.00 | |
|
CarGurus Inc CARG
Series C Preferred Stock · derivative
|
2017-10-16 | Conversion | 135,594 | ||
|
Northern Power Systems Corp NPS
Common Stock
|
2016-02-10 | Other | 3,799,376 | $0.00 | |
|
Northern Power Systems Corp NPS
Common Stock
|
2015-12-29 | Sell | 600,000 | $0.20 | 120,000 |
|
Northern Power Systems Corp NPS
Common Stock
|
2014-11-30 | Other | 2,400,162 | ||
|
Northern Power Systems Corp NPS
Class B Restricted Voting Shares
|
2014-11-30 | Other | 2,400,162 | ||
|
Northern Power Systems Corp NPS
Common Stock
|
2014-09-30 | Other | 800,053 | ||
|
Northern Power Systems Corp NPS
Class B Restricted Voting Shares
|
2014-09-30 | Other | 800,053 |
| Comparable Firms | State | AUM |
|---|---|---|
|
Arbalpha Capital LLC
✚
|
FL | 121.6 M |
|
Boston Portfolio Advisers LLC
✚
|
MA | 121.5 M |
|
Blue Haven Capital LLC
✚
|
IL | 121.5 M |
|
GIRA & GIRA Investment Advisors LLC
✚
|
VA | 121.4 M |
|
Life Strategies Inc
✚
|
CA | 121.2 M |
|
Resnick Wealth Alliance LLC
✚
|
FL | 121.1 M |
|
West Financial Strategies Inc
✚
|
NC | 121.0 M |
|
Wellington Capital Management Inc
✚
|
120.9 M | |
|
Jbglobalcom LLC
✚
|
NY | 120.9 M |
|
Craft Asset Management LLC
✚
|
FL | 120.8 M |