Allison Investment Management, LLC

The firm provides investment advisory and financial planning services to individuals, high‑net‑worth clients, pension/profit‑sharing plans, trusts, estates and corporate entities, offering both discretionary and non‑discretionary portfolio management and managed account programs. The firm generally requires a $500,000 household minimum (waivable in certain circumstances) and serves a relatively concentrated client base with roughly $170 million in assets under management and about 100 client relationships.

Investment advice is tailored to client goals, risk tolerance and time horizon, with strategies that may include asset allocation, dollar‑cost averaging, technical analysis and combinations of long‑ and short‑term purchases; the firm also advises clients to consult tax professionals because of potential tax implications. Client accounts are reviewed at least quarterly and the firm operates a wrap‑fee program that combines advisory, trade execution and certain administrative services into a single asset‑based fee, for which the firm serves as sole manager.

Operational and regulatory affiliations distinguish the firm from many peers: the firm’s principals are registered representatives of Osaic Wealth, Inc., which also sponsors the wrap program the firm manages, and one principal is a licensed insurance agent who may offer commissionable insurance products (the brochure discloses this potential conflict and notes clients are not required to purchase through firm representatives). The firm uses multiple custodians, including National Financial Services and Charles Schwab, and notes it will vote proxies only for accounts custodied at Charles Schwab, a detail clients should consider when evaluating custody and proxy voting procedures.