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| Allen Investment Management LLC
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|---|---|
| CRD # | 124454 |
| SEC # | 801-61985 |
| CIK # | 0001303053, 0001326234 |
| AUM | 16.91 B (2026-03-30) |
| Employees | 28 (43% Investors, 0% Brokers) |
| Phone | 212-832-8000 |
| Address | 711 Fifth Avenue, 10th Floor New York, NY 10022 |
| Source | [IAPD] [EDGAR] [Website] |
| Total AUM ($B) |
|---|
| Sector | Form 13F Holdings | Value ($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) |
|---|
| Type | Form D Funds | Date | Sold | AUM |
|---|---|---|---|---|
| HF | ACIA Asset Allocation Fund LP | [2012-03-29] | 129.9 M | 0.6 M |
| Filed 2021-10-08 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Remaining Indefinite · Duration More than one year · Commission $97,428 · Net Assets Decline to Disclose | ||||
| HF | ACIA Equity Fund LP | [2012-03-29] | 10.5 M | 0.3 M |
| Filed 2017-02-13 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose | ||||
| HF | Allen Global Partners LP | [2012-03-29] | 351.6 M | 343.6 M |
| Filed 2014-10-08 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Remaining Indefinite · Duration More than one year · Commission $1,373,081 · Net Assets Decline to Disclose | ||||
| HF | Allen Global Partners Offshore | 2012-03-29 | 504.4 M | |
| AUM Breakdown | Accounts | AUM ($B) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 0 | 0.0 |
| (b) Individuals (high net worth individuals) | 142 | 16.9 |
| (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 | 2 | 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 | 840 | 16.9 |
| By Discretionary | ||
| Discretionary | 815 | 14.1 |
| Non-Discretionary | 25 | 2.8 |
| Total | 840 | 16.9 |
| By Non-United States Persons | ||
| Non-United States Persons | 2.5 | |
| United States Persons | 14.4 | |
| Total | 840 | 16.9 |
| Form D Directors | Role | # Filings | # Firms | 2011 - 2026 |
|---|---|---|---|---|
| Robert Dean | Director | 34 | 3 | |
| Howard Felson | Executive Officer | 3 | 3 | |
| Paul Gould | Director | 12 | 2 | |
| Allen Investment Management LLC | Promoter | 3 | 2 | |
| Chris Shakal | Executive Officer | 2 | 2 | |
| Amanda Nguyen | Executive Officer | 2 | 2 | |
| Joseph Cerullo | Executive Officer | 2 | 2 | |
| Kevin Medina | Executive Officer | 2 | 2 | |
| Kim Wieland | Executive Officer | 2 | 2 | |
| Herbert Allen III | Executive Officer | 2 | 2 | |
| View All | ||||
| 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 | $1.4B |
| Clients | 4 (12 non-US) |
| Serves | Institutional, Retail |
| Fund Types | Hedge Fund |
| LEI | REJ48EPVRX6SWS513Y40 |
| Form 3/4/5 Subject | 2011 - 2026 |
|---|---|
| CarGurus Inc | |
| Allen & CO LLC | |
| Allen Operations LLC | |
| Northern Power Systems Corp | |
| Allen Herbert A III |
| Insider Transaction (Form 3/4/5) | Date | Action | Shares | Price | Value ($) |
|---|---|---|---|---|---|
|
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 |
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