BRUCE G. ALLEN INVESTMENTS, LLC

Advisory Business

Type of Organization	Limited Liability Company
Fiscal Year End	DECEMBER
Legal Location	Colorado, United States

Employees

Total Number of Employees	2
Investment Advisory/Research	2
Registered Broker-Dealer Representatives	1
Registered State Investment Advisers	1
Licensed Agents of an Insurance Company	1
No. of Firms/People that Solicit Clients	0

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	460	$210.5M
Non-Discretionary	0	$0
Total	460	$210.5M

Clients

Type	Number	RAUM
Individuals	76	$37.8M
HNW Individuals	54	$170.8M
Banking or thrift institutions	0	$0
Investment companies	0	$0
Business development companies	0	$0
Pooled investment vehicles	0	$0
Pension and profit sharing plans	0	$0
Charitable organizations	<5	$1.9M
State or municipal gov entities	0	$0
Other investment advisers	0	$0
Insurance companies	0	$0
Sovereign wealth funds and foreign official institutions	0	$0
Corporations or other businesses	0	$0
Other	0	$0

Type	Number
No. of Non-RAUM Clients	13
No. of Non-U.S. Clients	1
No. of Financial Planning Clients	0

Services

Advisory Services	Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers)
Compensation	% of AUMHourly chargesFixed fees
Other Business Activities	Registered representative of a broker-dealerInsurance broker or agent

Identifiers

SEC RIA File Number	801-111789
SEC ERA File Number	801-111789
SEC CIK Numbers	2005409
SEC CRD Numbers	287859
Legal Entity Identifier	None

Principal Office

370 17TH STREET
SUITE 3580
DENVER
CO
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic