Allies Capital Management, Llc
- Regulatory AUM
- $25.0M
- Discretionary
- $25.0M
- Clients
- 1
- Avg AUM / client
- $25.0M
- Accounts
- 1
- Employees
- 1
AUM over time
Annual snapshots from Form ADV filings · as of Feb 20, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Corporations and other businesses | 1 | $25.0M | 100.0% |
People (2)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Klein, Michael | Owner | Jan 2022 (5y) | ≈ 56.25% – 100% via M. Klein Associates, Llc | |
| Cawood, Cara, Marie | Chief Compliance Officer | Apr 2023 (3y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| M. Klein Associates, Llc | Owner | Jan 2022 | 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):
- Klein, Michael: 75% – 100% of M. Klein Associates, Llc × 75% – 100% direct ≈ 56.25% – 100% 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.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 02/20/2026 | 925 KB | 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 pooled investment vehicles
- • Portfolio management for businesses/institutional clients
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Feb 20, 2026.
View current Form ADV (SEC/IAPD) ↗