Allen Investment Management LLC

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Allen Investment Management LLC ✚
CRD #	124454
SEC #	801-61985
CIK #	0001303053, 0001326234
AUM	16.91 B (2026-03-30)
Employees	28 (43% Investors, 0% Brokers)
Fees
Minimum
Phone	212-832-8000
Address	711 Fifth Avenue, 10th Floor New York, NY 10022
Source	[IAPD] [EDGAR] [Website]

Total AUM ($B) Copy

CIK	Period
0001303053 0001326234	2026-03-31 2025-12-31 2025-09-30 2025-06-30 2025-03-31 2024-12-31 2024-09-30 2024-06-30 2024-03-31 2023-12-31 2023-09-30 2023-06-30 2023-03-31 2022-12-31 2022-09-30 2022-06-30 2022-03-31 2021-12-31 2021-09-30 2021-06-30 2021-03-31 2020-12-31 2020-09-30 2020-06-30 2020-03-31 2019-12-31 2019-09-30 2019-06-30 2019-03-31 2018-12-31 2018-09-30 2018-06-30 2018-03-31 2017-12-31

CIK

Period

0001303053 0001326234

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
	Clear Secure Inc	0.0
	Workday Inc	0.0
	Reinvent Technology Partners	0.0
	Coca Cola Co	0.0
	GE Vernova Inc	0.0
	Coupang Inc	0.0
	Amazon Com Inc	0.0
	Facebook Inc	0.0
	UnitedHealth Group Inc	0.0
	Visa Inc	0.0
	Tempus AI Inc	0.0
	Transdigm Group Inc	0.0
	New Pluto Global Inc	0.0
	ANGI Homeservices Inc	0.0
	Samsara Inc	0.0
	1Stdibscom Inc	0.0





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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
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

Comparable Firms	State	AUM
O'shaughnessy Asset Management LLC ✚	CT	19.78 B
Wellington Management Japan PTE Ltd ✚		17.75 B
Carillon Tower Advisers Inc ✚	FL	16.86 B
T Rowe Price Australia Limited ✚		16.71 B
National Investment Services of America LLC ✚	WI	16.25 B
Great Lakes Advisors LLC ✚	IL	16.16 B
Sit Fixed Income Advisors II LLC ✚	MN	14.97 B
Zacks Investment Management Inc ✚	IL	14.59 B
Wellington Management Hong Kong Limited ✚		14.15 B
Truston Asset Management Co Ltd ✚		13.75 B

Allen Investment Management LLC

Assets, Funds, Holdings