{"url":"https://nivawealth.com/firms/allgen-financial-advisors-126877","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/126877","regulatoryAum":475182812,"crd":"126877","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6973361","suffix":null,"lastName":"Balza","firstName":"Karen","middleName":"P"},{"crd":"7948748","suffix":null,"lastName":"BREWSTER","firstName":"SCOTT","middleName":null},{"crd":"5633547","suffix":null,"lastName":"CORTES","firstName":"ROBERT","middleName":"J"},{"crd":"3190191","suffix":null,"lastName":"FERNANDEZ","firstName":"ANA","middleName":"NORKA"},{"crd":"4958140","suffix":null,"lastName":"HITE","firstName":"KATHRYN","middleName":"MITCHELL"},{"crd":"8143579","suffix":null,"lastName":"Manos","firstName":"Gillen","middleName":"Andrew"},{"crd":"3259475","suffix":null,"lastName":"MARTIN","firstName":"JASON","middleName":"CHRISTOPHER"},{"crd":"7318535","suffix":null,"lastName":"Mazon","firstName":"Paul","middleName":"Andrew"},{"crd":"5233716","suffix":null,"lastName":"OTERO","firstName":"AXEL","middleName":"JOSE"},{"crd":"8048982","suffix":null,"lastName":"Philpott","firstName":"Andrew","middleName":"Brian"},{"crd":"6909067","suffix":null,"lastName":"Robinson","firstName":"Edward","middleName":"Jamil Waheed"},{"crd":"2682260","suffix":null,"lastName":"ROLDAN","firstName":"PAUL","middleName":null},{"crd":"7574054","suffix":null,"lastName":"Sullivan","firstName":"Craig","middleName":"Peter"}],"total":13,"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":"2021-03-23","regulatoryAum":263570000,"clients":855,"employees":16,"offices":1},{"filedOn":"2022-03-25","regulatoryAum":321518894,"clients":1022,"employees":17,"offices":1},{"filedOn":"2023-03-18","regulatoryAum":309506883,"clients":991,"employees":16,"offices":1},{"filedOn":"2024-03-27","regulatoryAum":352356607,"clients":995,"employees":17,"offices":1},{"filedOn":"2025-03-27","regulatoryAum":392518934,"clients":1004,"employees":15,"offices":1},{"filedOn":"2026-07-24","regulatoryAum":475182812,"clients":1097,"employees":18,"offices":1}],"secFileNumber":"801-80077","legalName":"Allgen Financial Advisors, Inc.","displayName":"AllGen Financial Advisors","slug":"allgen-financial-advisors-126877","website":"https://allgenfinancial.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/allgenfinancial","xUrl":"https://twitter.com/allgenfinancial","founded":null,"organization":"Florida corporation","fiscalYearEnd":"December","headquarters":{"street":"100 W. 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They include 963 individual clients, 99 high-net-worth individuals, and 35 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 24 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does AllGen Financial Advisors offer?","answer":"AllGen Financial Advisors provides financial planning, portfolio management for individuals and small businesses, and educational seminars.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does AllGen Financial Advisors charge?","answer":"AllGen Financial Advisors charges 0.20%–1.00% a year for its Portfolio Management. Each asset band is charged at its own rate. The fee is billed in advance, is negotiable and has a $500 annual minimum.","source":"DISCLOSURE BROCHURE, filed 10 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does AllGen Financial Advisors use?","answer":"AllGen Financial Advisors’ separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $468M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 24 July 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does AllGen Financial Advisors have?","answer":"AllGen Financial Advisors has 13 investment adviser representatives registered with state securities authorities, out of 18 employees, and 13 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 2 employees are 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 AllGen Financial Advisors invest in?","answer":"At the end of its last fiscal year, AllGen Financial Advisors’ separately managed accounts held 94% exchange-traded equities, 3% registered funds (mutual funds, ETFs, BDCs), 1% U.S. government and agency bonds, 1% state and local bonds and 1% cash and equivalents.","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 AllGen Financial Advisors?","answer":"AllGen Financial Advisors’ direct owners are Jason Martin (50% to 75%) and Paul Roldan (50% to 75%).","source":"Form ADV Part 1A, Schedules A and B, filed 24 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does AllGen Financial Advisors get paid?","answer":"AllGen Financial Advisors is paid through a percentage of assets under management, hourly charges and fixed fees. 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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."}