G. Allen Financial Inc.
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$101,000,000
Total clients
40
75% high-net worth
Total advisors
1
of 2 employees
Firm size
Supported
1-3 advisors or $200M+ in AUM
Average clients per advisor
40
Average account size
$2,525,000
About
G. Allen Financial serves individual and high‑net‑worth clients, providing discretionary wealth management and individualized financial planning that covers retirement, education funding, investment selection, and general tax, estate and business planning advice (excluding legal or tax‑preparation services). The firm manages client accounts on a discretionary basis and addresses retirement‑plan rollover decisions under ERISA/IRC fiduciary standards.
Investment implementation emphasizes stock and bond mutual funds supported by fundamental securities analysis, using both long‑term and shorter‑term strategies tailored to client objectives; accounts are reviewed daily with financial planning reviews at least annually. Custody is maintained with Fidelity Institutional Wealth Services and the firm uses Black Diamond for custom reporting, and it typically aggregates sales across client accounts while generally not aggregating purchases.
The firm operates with a very small advisory team—one advisor—managing roughly $101 million for about 40 clients and maintaining a $1 million minimum for new engagements while retaining legacy smaller accounts, resulting in an unusually high AUM per advisor and a concentrated client base. G. Allen Financial is fee‑only, does not participate in wrap programs or accept third‑party compensation, elects not to vote client proxies, and provides written explanations or an educational approach when advising on rollovers.
Client services
Financial planning
Portfolio management
Expertise
Wealth management
Retirement plans for business owners (SEP, solo 401k)
Annuities
Debt management
General estate planning guidance
Fee options
$0 - $500,000: 1.25% $500,000 - $5,000,000: 1.05% $5,000,001 - $10,000,000: 0.50% $10,000,001+: 0.25%
Account minimum: $1,000,000 Fee-only: Fee-only advisor; does not receive compensation from securities sales or revenue sharing.
Main office location
G. Allen Financial Inc.
300 Paseo De Peralta, Suite 209
Santa Fe NM 87501, United States
Number of offices
1
Most active in
G. Allen Financial Inc. has reported serving >5 clients in these states in the last 12 months.
California · New Mexico
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 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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