Allen James Financial LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$0
Clients
0
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Average account size
—
About
Allen James Financial LLC provides portfolio management and investment advisory services to individual and high‑net‑worth clients, preparing investment policy statements and performing asset allocation, selection, and ongoing monitoring. The firm’s brochure notes it typically advises on insurance products (including annuities), ETFs, hedge funds, and private placements and charges percentage‑of‑assets fees.
The firm describes an approach that uses technical analysis and recommends long‑term trading, with strategies tailored to clients’ goals, risk tolerance, and time horizon as documented in each client’s investment policy statement. AJFL does not have discretionary trading authority and must secure client permission before placing trades; the firm generally requires clients to use Charles Schwab & Co. Advisor Services for custody and does not aggregate trades across accounts.
Several items in the brochure distinguish AJFL from many peers: the firm discloses a historical regulatory enforcement event in which its principal was issued a desist‑and‑refrain order in January 2001 related to offering unregistered securities and transacting without a broker‑dealer license. The brochure also reports that the firm had no assets under management as of December 2025 and discloses that its principal is a licensed insurance agent who may receive commissions for insurance products, a potential conflict the firm says it will manage.
Client services
Expertise
Fee options
$0 - $500,000: 1.00% $500,001 - $1,000,000: 0.75% $1,000,001+: 0.50%
Main office location
Allen James Financial LLC
San Marcos CA, United States
Number of offices
1
Most active in
California
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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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.
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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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