C.D. Allen Wealth Management, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$4,000,000
Clients
5
100% 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
5
Very LowAverage account size
$800,000
About
C.D. Allen Wealth Management serves primarily individual clients and also works with pension plans, businesses, charities and trusts & estates. The firm provides investment management, financial planning and business consulting, charging hourly rates for planning and a percentage-of-assets for investment management.
The firm’s stated investment approach emphasizes long-term investing with occasional short-term activity, using both fundamental and technical analysis and daily reviews of managed accounts. It also selects and monitors other California-registered money managers on clients’ behalf and discloses that those managers may pay the firm a portion of fees generated by referred clients.
The sole advisor holds CFA, CFP and CIMA credentials with industry experience dating to 1990, and the brochure highlights a mix of advisory and business-consulting services. It is somewhat unusual for a solo adviser of this size to work with institutional clients and to both refer to and oversee third‑party managers on an ongoing basis.
Client services
Financial planning
Portfolio management
Selection of other advisers
Expertise
Options & derivatives strategies
Fee options
Flat fees for specific business consulting projects, and recurring monthly or annual fees
N/A - N/A: 0.5% to 2% annually, depending on size and complexity of the account
Up to $250 per hour, depending on complexity
Main office location
C.D. Allen Wealth Management, LLC
209 Por La Mar Circle
Santa Barbara CA 93103, United States
Number of offices
1
Most active in
C.D. Allen Wealth Management, LLC 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:
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Lawyer
They provide legal services, typically billed separately.
Is not active or affiliated with:
-
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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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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