{"url":"https://nivawealth.com/firms/allison-investment-management-124645","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/124645","regulatoryAum":170419000,"crd":"124645","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4442492","suffix":null,"lastName":"ALLISON","firstName":"DAVID","middleName":"LINDSEY"},{"crd":"858095","suffix":null,"lastName":"ALLISON","firstName":"JOHN","middleName":"EDWARD"}],"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":"2022-05-25","regulatoryAum":115061000,"clients":111,"employees":2,"offices":2},{"filedOn":"2023-02-24","regulatoryAum":103582000,"clients":92,"employees":2,"offices":2},{"filedOn":"2024-03-18","regulatoryAum":121537311,"clients":93,"employees":2,"offices":2},{"filedOn":"2025-03-20","regulatoryAum":138205000,"clients":97,"employees":2,"offices":2},{"filedOn":"2026-07-09","regulatoryAum":170419000,"clients":100,"employees":2,"offices":2}],"secFileNumber":"801-125959","legalName":"Allison Investment Management, LLC","displayName":"Allison Investment Management","slug":"allison-investment-management-124645","website":"https://allinvmgt.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/124645/b9f0d926d35432fd-r1.webp","tone":"light","width":785,"height":200,"sourceUrl":"https://allinvmgt.com/","sourceLabel":"Allison Investment Management, LLC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"South Carolina limited liability company","fiscalYearEnd":"December","headquarters":{"street":"1201 Lincoln Street, Suite 301","city":"Columbia","state":"SC","stateName":"South Carolina","country":"United States","postalCode":"29201"},"tradeNames":[],"registration":{"secApproved":"24 June 2022","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1640130,"staff":{"employees":2,"advisory":2,"brokerDealerReps":2,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":170419000,"discretionary":156333000,"discretionaryAccounts":251,"nonDiscretionary":14086000,"nonDiscretionaryAccounts":40,"wrapProgram":65094000,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":22,"regulatoryAum":6616000},{"label":"High-net-worth individuals","clients":78,"regulatoryAum":157397000},{"label":"Pension and profit-sharing plans","clients":null,"fewerThan5":true,"regulatoryAum":2629000},{"label":"Charitable organizations","clients":null,"fewerThan5":true,"regulatoryAum":817000},{"label":"Corporations and other businesses","clients":null,"fewerThan5":true,"regulatoryAum":2960000}],"feePrograms":[{"role":"main","program":"Asset Management","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1015194","versionId":1015194,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-06","documentName":"FORM ADV PART 2A","fee_rate_low":0.6,"fee_rate_high":1.5,"fee_negotiable":true,"minimum_account":500000,"feeMinimumPeriod":null,"fee_minimum_annual":null}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T12:44:16.62542+00:00","documents":[{"name":"FORM ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1015194","versionId":1015194,"submittedOn":"2026-03-06"},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1015195","versionId":1015195,"submittedOn":null}]},"custodians":[{"name":"Fidelity Investments","shortName":"Fidelity","location":"Cincinnati, OH","smaAssets":80999000},{"name":"Charles Schwab","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":84073000}],"custodyNote":"Allison Investment Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"John Allison","title":"President/Member","crd":"858095"},{"name":"John Allison","title":"Chief Compliance Officer","crd":"858095"},{"name":"David Allison","title":"Secretary/Member","crd":"4442492"}],"ownership":[{"label":"John Allison","detail":"President/member in the 75% or more ownership band and a control person, since December 2002. Also chief compliance officer in the 75% or more ownership band and a control person, since December 2002."},{"label":"David Allison","detail":"Secretary/member in the 10% to 25% ownership band and a control person, since December 2002."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"North Carolina","offices":1,"addresses":[{"street":"10 Marina St.","city":"Wrightsville Beach"}]},{"state":"South Carolina","offices":1,"addresses":[{"street":"1201 Lincoln Street, Suite 301","city":"Columbia","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"803-806-8400","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":61},{"label":"U.S. government/agency bonds","percent":17},{"label":"Investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":11},{"label":"Cash and cash equivalents","percent":10}],"privateFunds":0},"sources":{"adv1FilingDate":"9 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/124645/PDF/124645.pdf","brochureDate":"6 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1015194","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 Allison Investment Management have?","answer":"Allison Investment Management has 100 clients and manages $170 million for them, as of July 2026. They include 78 high-net-worth individuals and 22 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 9 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Allison Investment Management offer?","answer":"Allison Investment Management provides financial planning and portfolio management for individuals and small businesses.","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 Allison Investment Management charge?","answer":"Allison Investment Management charges 0.60%–1.50% a year for its Asset Management. The fee is billed in advance, is negotiable and requires an account of at least $500,000.","source":"FORM ADV PART 2A, filed 6 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Allison Investment Management use?","answer":"Allison Investment Management’s separately managed account assets are held at Charles Schwab (San Francisco, CA), with $84.1M and Fidelity Investments (Cincinnati, OH), with $81M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 9 July 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Allison Investment Management have?","answer":"Allison Investment Management has 2 investment adviser representatives registered with state securities authorities, out of 2 employees, and 2 perform investment advisory functions. 2 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.","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 Allison Investment Management invest in?","answer":"At the end of its last fiscal year, Allison Investment Management’s separately managed accounts held 61% exchange-traded equities, 17% U.S. government and agency bonds, 11% registered funds (mutual funds, ETFs, BDCs), 10% cash and equivalents and 1% investment grade corporate 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":"Does Allison Investment Management have a minimum investment?","answer":"Yes, Allison Investment Management’s minimum account size for its Asset Management is $500K.","source":"FORM ADV PART 2A, filed 6 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Allison Investment Management?","answer":"Allison Investment Management’s direct owners are John Allison (75% or more) and David Allison (10% to 25%).","source":"Form ADV Part 1A, Schedules A and B, filed 9 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Allison Investment Management get paid?","answer":"Allison Investment Management is paid through a percentage of assets under management and fixed fees. 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 Allison Investment Management?","answer":"Allison Investment Management’s main office is at 1201 Lincoln Street, Suite 301, Columbia, SC 29201. Its phone number is 803-806-8400. Its website is allinvmgt.com.","source":"Form ADV Part 1A, Item 1.F, filed 9 July 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."}