Allen Financial Advisement, Inc.
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$6,700,000
Clients
135
0% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
135
Very HighAverage account size
$49,630
About
Allen Financial Advisement, Inc. is a small, independent investment adviser that manages about $6.7 million across roughly 135 client relationships. The firm provides discretionary portfolio management for individuals (including high‑net‑worth clients), corporations, charities, and pension and profit‑sharing plans and has discontinued offering standalone financial planning as a separate, fee‑based service.
Investment strategy emphasizes passive management and modern portfolio theory, constructing diversified portfolios with index mutual funds and ETFs and performing periodic rebalancing to maintain target allocations. In addition to individual account management, the firm provides non‑ERISA retirement plan consulting (including participant enrollment and education) and offers educational seminars and speaking engagements on investment and retirement topics.
What distinguishes the firm from many solo independent advisers is its combination of plan‑level consulting and public education activities and its other industry affiliations: the principal acts as a licensed independent insurance agent and may receive commissions for insurance sales, and the firm makes referrals for estate‑planning services through TrusteeFriend; both relationships are disclosed and subject to internal conflict‑management procedures. The mix of retirement plan participant education, fee‑based seminars, and insurance/estate‑planning referrals is relatively uncommon for a firm of this size and structure.
Client services
Portfolio management
Pension consulting
Selection of other advisers
Educational seminars or workshops
Expertise
Passive / index investing
Fee options
Educational seminars & speaking engagements: Group events $0 - $5,000; Single participants $0 - $500 per participant.
$0 - $250,000: 1.50% $250,001 - $500,000: 1.25% $500,001 - $2,000,000: 1.00% $2,000,001 - $10,000,000: 0.75% $10,000,001+: 0.50%
Main office location
Allen Financial Advisement, Inc.
4275 Executive Square,, Suite 200
La Jolla CA 92037, United States
Number of offices
1
Most active in
Allen Financial Advisement, Inc. has reported serving >5 clients in these states in the last 12 months.
California
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
-
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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