{"url":"https://nivawealth.com/firms/allen-capital-management-135147","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/135147","regulatoryAum":200030786,"crd":"135147","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"3014735","suffix":null,"lastName":"ALLEN","firstName":"STUART","middleName":"BRADLEY"},{"crd":"7776872","suffix":null,"lastName":"Kelekele","firstName":"Akili","middleName":"Luvu"}],"total":2,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-18","regulatoryAum":124700000,"clients":97,"employees":9,"offices":1},{"filedOn":"2022-06-30","regulatoryAum":178164672,"clients":102,"employees":9,"offices":1},{"filedOn":"2023-03-29","regulatoryAum":157746622,"clients":102,"employees":9,"offices":1},{"filedOn":"2024-03-18","regulatoryAum":179326644,"clients":110,"employees":9,"offices":1},{"filedOn":"2025-03-11","regulatoryAum":192433350,"clients":140,"employees":9,"offices":2},{"filedOn":"2026-08-26","regulatoryAum":200030786,"clients":109,"employees":9,"offices":2}],"secFileNumber":"801-67018","legalName":"Allen Capital Management, LLC","displayName":"Allen Capital Management","slug":"allen-capital-management-135147","website":"https://allentrust.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":"1999","organization":"Oregon limited liability company","fiscalYearEnd":"December","headquarters":{"street":"701 Columbia St, Ste 104","city":"Vancouver","state":"WA","stateName":"Washington","country":"United States","postalCode":"98660"},"tradeNames":[],"registration":{"secApproved":"17 July 2006","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1835144.8256880734,"staff":{"employees":9,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":200030786,"discretionary":200030786,"discretionaryAccounts":218,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":60,"regulatoryAum":33907629},{"label":"High-net-worth individuals","clients":49,"regulatoryAum":166123157}],"feePrograms":[{"role":"main","program":"Standard Fee Schedule","feeBasis":"whole_balance","fee_tiers":[{"to":2000000,"pct":1,"from":0},{"to":6000000,"pct":0.8,"from":2000000},{"to":null,"pct":0.55,"from":6000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1006000","versionId":1006000,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-02-03","documentName":"ALLEN CAPITAL MANAGEMENT ADV PART 2A","fee_rate_low":0.55,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":"annual","fee_minimum_annual":5000}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T13:15:43.712566+00:00","documents":[{"name":"ALLEN CAPITAL MANAGEMENT ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1006000","versionId":1006000,"submittedOn":"2026-02-03"}]},"custodians":[],"custodyNote":"Allen Capital Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Stuart Allen","title":"Managing Member/Chief Compliance Officer","crd":"3014735"}],"ownership":[{"label":"Allen Trust Company","detail":"Owner in the 75% or more ownership band and a control person, since January 2023."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Oregon","offices":1,"addresses":[{"street":"5000 Meadows RD, Ste 300","city":"Lake Oswego"}]},{"state":"Washington","offices":1,"addresses":[{"street":"701 Columbia St, Ste 104","city":"Vancouver","headquarters":true}]}],"brochureServices":["estate planning","philanthropic planning","tax planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"503-292-1041","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":80},{"label":"U.S. government/agency bonds","percent":1},{"label":"U.S. state and local bonds","percent":3},{"label":"Investment grade corporate bonds","percent":6},{"label":"Securities issued by registered investment companies or business development companies","percent":6},{"label":"Cash and cash equivalents","percent":4}],"privateFunds":0},"sources":{"adv1FilingDate":"26 August 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/135147/PDF/135147.pdf","brochureDate":"3 February 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1006000","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Allen Capital Management have?","answer":"Allen Capital Management has 109 clients and manages $200 million for them, as of August 2026. They include 60 individual clients and 49 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 26 August 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Allen Capital Management offer?","answer":"Allen Capital Management provides portfolio management for individuals and small businesses, portfolio management for institutions, estate planning, philanthropic planning, and tax planning.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Allen Capital Management charge?","answer":"Allen Capital Management charges 0.55%–1.00% a year for its Standard Fee Schedule. The whole portfolio is charged at the rate of its band. The fee is billed in arrears, is negotiable and has a $5,000 annual minimum.","source":"ALLEN CAPITAL MANAGEMENT ADV PART 2A, filed 3 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"How many financial advisors does Allen Capital Management have?","answer":"Allen Capital Management has 2 investment adviser representatives registered with state securities authorities, out of 9 employees, and 2 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Allen Capital Management invest in?","answer":"At the end of its last fiscal year, Allen Capital Management’s separately managed accounts held 80% exchange-traded equities, 6% investment grade corporate bonds, 6% registered funds (mutual funds, ETFs, BDCs), 4% cash and equivalents, 3% state and local bonds and 1% U.S. government and agency bonds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Allen Capital Management?","answer":"Allen Capital Management’s direct owner is Allen Trust Company (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 26 August 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Allen Capital Management get paid?","answer":"Allen Capital Management is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Allen Capital Management?","answer":"Allen Capital Management’s main office is at 701 Columbia St, Ste 104, Vancouver, WA 98660. Its phone number is 503-292-1041. Its website is allentrust.com.","source":"Form ADV Part 1A, Item 1.F, filed 26 August 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}