Allen Investment Management, Llc

SEC-registered Multi-Family Office · Large ($10B–$100B) CRD 124454 · SEC file 801-61985 · New York, NY

☆ Save with Pro ADV data as of Mar 30, 2026

Regulatory AUM: $16.9B
Discretionary: $14.1B
Clients: 144
Avg AUM / client: $117M
Accounts: 840
Employees: 28

AUM over time

$2.3B $16.9B

Dec 2011 Dec 2025

Annual snapshots from Form ADV filings · as of Mar 30, 2026

Asset allocation (SMA assets by investment type)

as of Mar 30, 2026

Exchange-traded equities

$11.3B 67%

US government & agency bonds

$2.5B 15%

Other

$1.7B 10%

Pooled investment vehicles

$846M 5%

Registered investment companies (funds/ETFs)

$507M 3%

Cash & equivalents

$169M 1%

Share of SMA assets by investment vehicle type, as filed in Form ADV Item 5.K. Dollar figures are percentages applied to total regulatory AUM.

Investments (13F portfolio — 221 positions, $8,088,445,200)

13F period Mar 31, 2026

#	Issuer	Class	Value	Shares	% of 13F	% of AUM
1	3 M Co	COM	$533,869,946	2,563,355	6.6%	3.16%
2	Abbott Laboratories	COM	$500,767,763	5,328,450	6.19%	2.96%
3	Abbvie Inc	COM	$420,351,432	1,135,563	5.2%	2.49%
4	Acuity Inc	CL A	$402,898,523	704,208	4.98%	2.38%
5	Advanced Micro Devices Inc	CAP STK CL C	$340,455,488	1,186,835	4.21%	2.01%
6	Affirm Hldgs Inc	COM	$339,076,260	388,448	4.19%	2.0%
7	Airbnb Inc	COM CL A	$326,633,931	1,080,710	4.04%	1.93%
8	Alibaba Group Hldg Ltd	COM	$306,165,813	701,813	3.79%	1.81%
9	Alico Inc	COM	$297,281,809	1,098,643	3.68%	1.76%
10	Allstate Corp	COM	$285,239,920	670,616	3.53%	1.69%
11	Alphabet Inc	COM	$247,087,332	2,217,621	3.05%	1.46%
12	Alphabet Inc	COM	$237,492,548	1,193,250	2.94%	1.4%
13	Alps Etf Tr	GOLD SHS	$214,481,497	498,458	2.65%	1.27%
14	Altria Group Inc	ALERIAN MLP	$210,851,340	4,005,535	2.61%	1.25%
15	Amazon Com Inc	TOTAL STK MKT	$190,784,764	594,697	2.36%	1.13%
16	American Express Co	UNIT SER 1	$182,107,793	315,513	2.25%	1.08%
17	Amgen Inc	S&P 500 ETF SHS	$153,909,758	257,568	1.9%	0.91%
18	Amphenol Corp	STATE STREET ENE	$144,878,878	2,364,983	1.79%	0.86%
19	Apollo Global Mgmt Inc	TR UNIT	$120,528,390	185,331	1.49%	0.71%
20	Apple Inc	COM	$120,268,750	689,614	1.49%	0.71%
21	Applied Matls Inc	SPONSORED ADS	$113,945,250	337,166	1.41%	0.67%
22	Applovin Corp	VAN FTSE DEV MKT	$113,881,502	1,777,177	1.41%	0.67%
23	Ares Capital Corp	COM	$92,921,402	300,221	1.15%	0.55%
24	Arista Networks Inc	VG TL INTL STK F	$92,767,648	1,203,056	1.15%	0.55%
25	Asml Hldg Nv	N Y REGISTRY SHS	$83,023,411	62,857	1.03%	0.49%

Top 25 of 221 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).

Who they serve

Client type	Clients	AUM	% of AUM
High net worth individuals	142	$16.9B	99.7%
Pooled investment vehicles (non-investment companies)	2	$49.9M	0.29%

Private funds (1)

Reported in Form ADV Section 7.B.(1), filing of Mar 2024 · $2.6M combined gross assets

Fund	Type	Domicile	Gross assets	Owners
Acia Asset Allocation Fund Lp	Hedge Fund	Delaware	$2.6M	22

People (11)

roster as of Jul 20, 2026

Name	Role / title	Credentials	With firm since	Ownership
Allen, Herbert, Iii, Anthony	President		Nov 2002 (24y)	≈ 18.75% – 50% via Allen Operations Llc
Diiorio, Peter	General Counsel		Mar 2007 (19y)	Less than 5%
Ashok Bhushan Chachra	Managing Director		Apr 2010 (16y)	Less than 5%
Rajasekharaiah, Pruthvi	Chief Operating Officer		May 2014 (12y)	Less than 5%
Vahabzadeh, Salima	Chief Financial Officer		Feb 2020 (7y)	Less than 5%
Golinsky, Jodi	Chief Compliance Officer & Deputy General Counsel		Jan 2024 (3y)	Less than 5%
Catherine Anne Tse	Registered representative		Aug 2021 (5y)
Samuel Hopkins Baker	Registered representative		Sep 2021 (5y)
Timothy J Erb	Registered representative		Sep 2021 (5y)
Arvind Srinivas Rangaraj	Registered representative	CFA	Feb 2022 (4y)
Elizabeth Haley Stahl	Registered representative	CFA	Mar 2023 (3y)

Entity owners (Schedule A/B)

Entity	Title / status	Since	Sch.	Ownership
Allen Operations Llc	Member	Nov 2002	A	75% or more

Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.

Estimated effective ownership (look-through of filed bands):

Allen, Herbert, Iii, Anthony: 25% – 50% of Allen Operations Llc × 75% – 100% direct ≈ 18.75% – 50% of the firm

Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.

Private funds (1, $2.6M gross assets)

Fund	Type	Gross assets	Min. investment	Owners
Acia Asset Allocation Fund Lp	Hedge Fund	$2.6M	$1.0M	22

From Form ADV Section 7.B private fund reporting.

Documents (1 archived)

Form	Period	Size
Form ADV (full filing)	03/30/2026	1.28 MB	View · PDF · Source ↗

Archived copies of the firm's regulatory filings, versioned by content hash.

Disciplinary disclosures

No disciplinary events reported on the firm's latest Form ADV filing.

How they charge

• Percentage of assets under management
• Fixed fees
• Performance-based fees

Services

• Portfolio management for individuals/small businesses
• Portfolio management for pooled investment vehicles
• Selection of other advisers
• Other services

Custody

Reported custodians

National Financial Services (Fidelity) $5.1B (30% of AUM) Mar 2026
Charles Schwab & Co. $3.7B (22% of AUM) Mar 2026
Pershing $2.7B (16% of AUM) Mar 2026
J.P. Morgan $2.2B (13% of AUM) Mar 2026

Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).

Firm reports having custody of client funds or securities (Item 9.A).

Source

All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 30, 2026.

View current Form ADV (SEC/IAPD) ↗