Hedge Fund Database

ALLEN CAPITAL GROUP, LLC

Adviser information for ALLEN CAPITAL GROUP, LLC last updated from Form ADV on March 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

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

Employees

Total Number of Employees 38
Investment Advisory/Research 21
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 21
Licensed Agents of an Insurance Company 11
No. of Firms/People that Solicit Clients 1

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 6,140 $998.5M
Non-Discretionary 0 $0
Total 6,140 $998.5M

Clients

Type Number RAUM
Individuals 1,685 $361.2M
HNW Individuals 252 $562.6M
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 5 $8.4M
Charitable organizations 47 $42.9M
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 23 $23.4M
Other 0 $0
Type Number
No. of Non-RAUM Clients 29
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 101-250

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)
Compensation % of AUMHourly chargesFixed feesCommissions
Other Business Activities Insurance broker or agent

Identifiers

SEC RIA File Number 801-64514
SEC ERA File Number 801-64514
SEC CIK Numbers 1601384
SEC CRD Numbers 135879
Legal Entity Identifier None

Principal Office

3540 PRAIRIEVIEW STREET
SUITE 200
GRAND ISLAND
NE
United States
Monday - Friday, 8:00 AM TO 5:00 PM
Tel: 308-385-1500, Fax: 308-398-1234

Websites

www.facebook.com/allencapgroup twitter.com/allencapgroup www.linkedin.com/company/1275902 www.allencapgroup.com

Chief Compliance Officer

MARK J. ALLEN
MANAGING MEMBER / CHIEF COMPLIANCE OFFICER
3540 PRAIRIEVIEW STREET
SUITE 200
GRAND ISLAND
NE
United States
Tel: 308-385-1500
Fax: 308-398-1234
(Full email address available in API data)

Regulatory Contact

LAURA DILL
COMPLIANCE ADMINISTRATOR
3540 PRAIRIEVIEW STREET
SUITE 200
GRAND ISLAND
NE
United States
Tel: 308-385-1500
Fax: 308-398-1234
(Full email address available in API data)

Industry Affiliates

ACG TAX, LLC Accountant or accounting firm

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
ACG AERIE, LLC Real Estate Fund $4.1M $0.1M 17

Control Persons

Name Type Entity Title Since Ownership
ALLEN, MARK, JEROME Individual – MANAGING MEMBER / CHIEF COMPLIANCE OFFICER 07/2005 25-50%
Nichol, Jenny Individual – CHIEF FINANCIAL OFFICER 10/2015 5-10%
MARK J. ALLEN LEGACY TRUST Domestic Entity – MEMBER 01/2022 10-25%
Allen, Jordan Individual MARK J. ALLEN LEGACY TRUST TRUSTEE 11/2021
PORTWOOD, TRAVIS, JAMES Individual – MEMBER 01/2023 10-25%
WILBUR, STEVEN, EUGENE Individual – MEMBER 01/2023 10-25%
MCBRIDE, PHILIP, JOE Individual – MEMBER 01/2023 10-25%
KOCH, KENT, KURTIS Individual – MEMBER 01/2023 5-10%
STANTON, MICHAEL, DAVID Individual – MEMBER 01/2023 5-10%
WISSMANN, SHANE, TYLER Individual – MEMBER 01/2023 5-10%

No. Employees, Historic

5025020202021202220232024202529 on 3/23/202029 on 6/24/202029 on 12/1/202029 on 3/19/202129 on 3/24/202130 on 6/1/202130 on 12/6/202130 on 1/4/202238 on 3/29/202238 on 7/6/202239 on 7/19/202240 on 12/13/202240 on 1/19/202339 on 1/31/202342 on 3/23/202343 on 8/25/202342 on 9/21/202342 on 12/1/202341 on 12/14/202342 on 12/18/202343 on 12/22/202338 on 3/29/2024

RAUM, Historic

1B500M0202020212022202320242025658217988 on 3/23/2020658217988 on 6/24/2020658217988 on 12/1/2020712025110 on 3/19/2021712025110 on 3/24/2021712025110 on 6/1/2021712025110 on 12/6/2021712025110 on 1/4/2022889908865 on 3/29/2022889908865 on 7/6/2022889908865 on 7/19/2022889908865 on 12/13/2022889908865 on 1/19/2023889908865 on 1/31/2023815698622 on 3/23/2023815698622 on 8/25/2023815698622 on 9/21/2023815698622 on 12/1/2023815698622 on 12/14/2023815698622 on 12/18/2023815698622 on 12/22/2023998471163 on 3/29/2024

No. Clients, Historic

3,0001,50002020202120222023202420251723 on 3/23/20201723 on 6/24/20201723 on 12/1/20201778 on 3/19/20211778 on 3/24/20211778 on 6/1/20211778 on 12/6/20211778 on 1/4/20221832 on 3/29/20221832 on 7/6/20221832 on 7/19/20221832 on 12/13/20221832 on 1/19/20231832 on 1/31/20231904 on 3/23/20231904 on 8/25/20231904 on 9/21/20231904 on 12/1/20231904 on 12/14/20231904 on 12/18/20231904 on 12/22/20232012 on 3/29/2024

Holdings

From latest 13F, filed August 12th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBOTT LABS COM 440K 4K –
ADVANCED MICRO DEVICES INC COM 296K 2K –
AMAZON COM INC COM 6M 30K –
AMERICAN CENTY ETF TR AVANTIS EMGMKT 10M 157K –
AMERICAN CENTY ETF TR FOCUSED LRG CAP 1M 19K –
AMERICAN ELEC PWR CO INC COM 375K 4K –
AMGEN INC COM 3M 10K –
APPLE INC COM 18M 87K –
APPLIED MATLS INC COM 323K 1K –
BP PLC SPONSORED ADR 510K 14K –
BANK AMERICA CORP COM 1M 31K –
BECTON DICKINSON & CO COM 286K 1K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 39M 95K –
BLACKROCK ETF TRUST II FLEXIBLE INCOME 1M 28K –
CASEYS GEN STORES INC COM 238K 624 –
CATERPILLAR INC COM 1M 4K –
CHEVRON CORP NEW COM 4M 25K –
CHIPOTLE MEXICAN GRILL INC COM 316K 5K –
CITIGROUP INC COM NEW 201K 3K –
COCA COLA CO COM 365K 6K –
CONSOLIDATED EDISON INC COM 343K 4K –
CUMMINS INC COM 305K 1K –
DANAHER CORPORATION COM 305K 1K –
DEERE & CO COM 4M 9K –
DISNEY WALT CO COM 231K 2K –
DOLLAR GEN CORP NEW COM 2M 12K –
ENTERPRISE PRODS PARTNERS L COM 428K 15K –
FIDELITY MERRIMACK STR TR TOTAL BD ETF 6M 124K –
FIRST HORIZON CORPORATION COM 363K 23K –
GALLAGHER ARTHUR J & CO COM 334K 1K –
GENERAL DYNAMICS CORP COM 402K 1K –
GOLDMAN SACHS ETF TR ACCES TREASURY 3M 28K –
HOME DEPOT INC COM 5M 15K –
HONEYWELL INTL INC COM 362K 2K –
INTERNATIONAL BUSINESS MACHS COM 4M 22K –
ISHARES INC EM MKTS DIV ETF 275K 10K –
ISHARES TR CORE S&P TTL STK 226K 2K –
ISHARES TR CORE S&P500 ETF 5M 9K –
ISHARES TR CORE US AGGBD ET 357K 4K –
ISHARES TR S&P 500 GRWT ETF 317K 3K –
ISHARES TR 1 3 YR TREAS BD 673K 8K –
ISHARES TR CORE S&P MCP ETF 1M 22K –
ISHARES TR CORE S&P US GWT 704K 6K –
ISHARES TR CORE S&P SCP ETF 1M 13K –
ISHARES TR NATIONAL MUN ETF 974K 9K –
ISHARES TR MSCI KLD400 SOC 812K 8K –
ISHARES TR SHORT TREAS BD 3M 25K –
ISHARES TR US AER DEF ETF 707K 5K –
JOHNSON & JOHNSON COM 3M 19K –
KLA CORP COM NEW 205K 249 –
KROGER CO COM 211K 4K –
ELI LILLY & CO COM 623K 688 –
LOCKHEED MARTIN CORP COM 1M 2K –
LOWES COS INC COM 303K 1K –
MCDONALDS CORP COM 630K 2K –
MICROSOFT CORP COM 9M 20K –
MICRON TECHNOLOGY INC COM 591K 4K –
MONDELEZ INTL INC CL A 230K 4K –
MORGAN STANLEY COM NEW 231K 2K –
NEWMONT CORP COM 216K 5K –
NIKE INC CL B 2M 26K –
NIOCORP DEVS LTD COM NEW 19K 11K –
NORTHROP GRUMMAN CORP COM 434K 995 –
NUCOR CORP COM 795K 5K –
ONEOK INC NEW COM 2M 28K –
PALO ALTO NETWORKS INC COM 354K 1K –
PAYCHEX INC COM 278K 2K –
PEPSICO INC COM 316K 2K –
PFIZER INC COM 3M 104K –
PHILIP MORRIS INTL INC COM 226K 2K –
PHILLIPS 66 COM 791K 6K –
PROCTER AND GAMBLE CO COM 1M 8K –
PRUDENTIAL FINL INC COM 3M 29K –
QUALCOMM INC COM 270K 1K –
REALTY INCOME CORP COM 957K 18K –
SCHLUMBERGER LTD COM STK 290K 6K –
SCHWAB CHARLES CORP COM 5M 68K –
SCHWAB STRATEGIC TR US LRG CAP ETF 11M 173K –
SCHWAB STRATEGIC TR US LCAP GR ETF 2M 20K –
SCHWAB STRATEGIC TR US LCAP VA ETF 2M 30K –
SCHWAB STRATEGIC TR US SML CAP ETF 1M 29K –
SCHWAB STRATEGIC TR EMRG MKTEQ ETF 1M 48K –
SCHWAB STRATEGIC TR FUNDAMENTAL EMER 3M 100K –
SCHWAB STRATEGIC TR US DIVIDEND EQ 3M 33K –
SCHWAB STRATEGIC TR INTL EQTY ETF 3M 79K –
SCHWAB STRATEGIC TR US REIT ETF 338K 17K –
SCHWAB STRATEGIC TR INT-TRM U.S TRES 263K 5K –
SCHWAB STRATEGIC TR US TIPS ETF 8M 163K –
SHERWIN WILLIAMS CO COM 493K 2K –
SNOWFLAKE INC CL A 2M 13K –
SOUTHERN CO COM 790K 10K –
STARBUCKS CORP COM 406K 5K –
STRYKER CORPORATION COM 404K 1K –
TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 6M 35K –
TIDAL ETF TR ZEGA BUY AND HED 10M 534K –
TRACTOR SUPPLY CO COM 3M 11K –
UNILEVER PLC SPON ADR NEW 3M 53K –
UNION PAC CORP COM 1M 7K –
UNITED RENTALS INC COM 201K 311 –
VANGUARD STAR FDS VG TL INTL STK F 212K 4K –
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 1M 29K –
VANGUARD WHITEHALL FDS HIGH DIV YLD 6M 47K –
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 1M 24K –
VEEVA SYS INC CL A COM 2M 10K –
VANGUARD MUN BD FDS TAX EXEMPT BD 322K 6K –
VANGUARD INDEX FDS S&P 500 ETF SHS 742K 1K –
VANGUARD INDEX FDS REAL ESTATE ETF 6M 70K –
VANGUARD INDEX FDS GROWTH ETF 494K 1K –
VANGUARD INDEX FDS VALUE ETF 540K 3K –
VANGUARD INDEX FDS SMALL CP ETF 521K 2K –
WALMART INC COM 4M 54K –
WELLS FARGO CO NEW COM 368K 6K –
WILLIAMS COS INC COM 286K 7K –
RTX CORPORATION COM 324K 3K –
INVESCO QQQ TR UNIT SER 1 686K 1K –
ALPS ETF TR ALERIAN MLP 3M 59K –
AT&T INC COM 327K 17K –
ABBVIE INC COM 371K 2K –
ETFS GOLD TR PHYSCL GOLD SHS 14M 626K –
EA SERIES TRUST ALPHA ARCH 1-3 5M 42K –
EA SERIES TRUST FREEDOM 100 EM 567K 16K –
ALPHABET INC CAP STK CL C 652K 4K –
ALPHABET INC CAP STK CL A 7M 38K –
ALTRIA GROUP INC COM 337K 7K –
AMERICAN TOWER CORP NEW COM 370K 2K –
BLACKSTONE INC COM 7M 56K –
BOOKING HOLDINGS INC COM 2M 511 –
BROADRIDGE FINL SOLUTIONS IN COM 2M 8K –
BROADCOM INC COM 968K 603 –
CISCO SYS INC COM 5M 97K –
COSTCO WHSL CORP NEW COM 343K 404 –
COUPANG INC CL A 284K 14K –
DIAMONDBACK ENERGY INC COM 1M 7K –
DIMENSIONAL ETF TRUST US TARGETED VLU 19M 373K –
DIMENSIONAL ETF TRUST EMERGING MKTS VA 485K 18K –
DUKE ENERGY CORP NEW COM NEW 1M 11K –
ETF SER SOLUTIONS DISTILLATE US 36M 695K –
EXXON MOBIL CORP COM 3M 24K –
FS CREDIT OPPORTUNITIES CORP COMMON STOCK 950K 149K –
META PLATFORMS INC CL A 7M 14K –
FIDELITY NATL INFORMATION SV COM 239K 3K –
FIRST TR EXCHANGE-TRADED FD NASD TECH DIV 1M 16K –
FIRST TR EXCHNG TRADED FD VI TCW OPPORTUNIS 52M 1M –
INNOVATOR ETFS TRUST INTERNATIONAL DV 348K 12K –
INVESCO EXCHANGE TRADED FD T S&P500 EQL UTL 242K 4K –
INVESCO EXCHANGE TRADED FD T S&P500 EQL TEC 3M 75K –
INVESCO EXCHANGE TRADED FD T S&P500 EQL FIN 3M 57K –
INVESCO EXCHANGE TRADED FD T FTSE RAFI 1000 1M 38K –
INVESCO EXCH TRD SLF IDX FD BULETSHS 2031 CP 190K 12K –
INVESCO EXCH TRD SLF IDX FD INVSCO 30 CORP 190K 12K –
INVESCO EXCH TRD SLF IDX FD BULETSHS 2029 190K 10K –
INVESCO EXCH TRD SLF IDX FD INVSCO BLSH 28 220K 11K –
INVESCO EXCH TRD SLF IDX FD BULSHS 2027 CB 220K 11K –
INVESCO EXCH TRD SLF IDX FD BULSHS 2026 CB 221K 12K –
ISHARES TR MSCI USA QLT FCT 985K 6K –
ISHARES TR MSCI USA MMENTM 399K 2K –
ISHARES INC CORE MSCI EMKT 636K 12K –
ISHARES TR MSCI INTL QUALTY 41M 1M –
ISHARES TR CORE DIV GRWTH 562K 10K –
ISHARES TR US INFRASTRUC 428K 10K –
JPMORGAN CHASE & CO. COM 8M 37K –
J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM 9M 150K –
J P MORGAN EXCHANGE TRADED F ULTRA SHT MUNCPL 870K 17K –
J P MORGAN EXCHANGE TRADED F ULTRA SHRT INC 8M 165K –
J P MORGAN EXCHANGE TRADED F HEDGED EQUITY LA 281K 5K –
JANUS DETROIT STR TR HENDRSON AAA CL 13M 251K –
JANUS DETROIT STR TR HENDERSON MTG 7M 151K –
KINDER MORGAN INC DEL COM 3M 161K –
MASTERCARD INCORPORATED CL A 375K 850 –
MERCK & CO INC COM 1M 11K –
NEXTERA ENERGY INC COM 340K 5K –
NORTHERN LTS FD TR IV INSPIRE CORP BD 251K 11K –
NVIDIA CORPORATION COM 8M 65K –
PAYPAL HLDGS INC COM 2M 27K –
PHILLIPS EDISON & CO INC COMMON STOCK 207K 6K –
PIMCO ETF TR MULTISECTOR BD 212K 8K –
PROSHARES TR S&P 500 DV ARIST 7M 71K –
SPDR S&P 500 ETF TR TR UNIT 5K 200 –
SPDR S&P 500 ETF TR TR UNIT 19M 54K –
SPDR S&P 500 ETF TR TR UNIT 23K 2K –
SPDR S&P 500 ETF TR TR UNIT 119K 1K –
SPDR S&P 500 ETF TR TR UNIT 80K 1K –
SPDR S&P 500 ETF TR TR UNIT 255 200 –
SPDR S&P 500 ETF TR TR UNIT 53K 900 –
SPDR S&P 500 ETF TR TR UNIT 589K 1K –
SPDR S&P 500 ETF TR TR UNIT 82K 18K –
SPDR S&P 500 ETF TR TR UNIT 248K 19K –
SPDR S&P 500 ETF TR TR UNIT 136K 17K –
SPDR S&P 500 ETF TR TR UNIT 12K 500 –
SPDR S&P 500 ETF TR TR UNIT 6K 3K –
SPDR GOLD TR GOLD SHS 628K 3K –
SPDR INDEX SHS FDS PORTFLO EURP ETF 1M 24K –
SPDR INDEX SHS FDS PORTFOLIO EMG MK 13M 352K –
SPDR INDEX SHS FDS GLB NAT RESRCE 1M 24K –
SPDR INDEX SHS FDS S&P INTL ETF 5M 151K –
SPDR INDEX SHS FDS PORTFOLIO DEVLPD 856K 24K –
SPDR SER TR PORTFLI TIPS ETF 2M 91K –
SPDR SER TR PORTFOLIO S&P500 59M 930K –
SPDR SER TR PORTFOLIO SH TSR 925K 32K –
SPDR SER TR PORTFOLIO S&P600 14M 337K –
SALESFORCE INC COM 210K 817 –
SELECT SECTOR SPDR TR SBI HEALTHCARE 618K 4K –
SELECT SECTOR SPDR TR FINANCIAL 455K 11K –
SERVICENOW INC COM 353K 449 –
TESLA INC COM 619K 3K –
3M CO COM 3M 30K –
UNITEDHEALTH GROUP INC COM 5M 10K –
VANECK ETF TRUST SHRT HGH YLD MUN 460K 21K –
VANECK ETF TRUST MRNGSTR WDE MOAT 9M 100K –
VANECK ETF TRUST CLO ETF 660K 12K –
VANGUARD CHARLOTTE FDS TOTAL INT BD ETF 200K 4K –
VANGUARD SCOTTSDALE FDS INT-TERM CORP 217K 3K –
VERIZON COMMUNICATIONS INC COM 3M 73K –
VICTORY PORTFOLIOS II CORE INTERMEDIAT 22M 482K –
VISA INC COM CL A 3M 11K –
WP CAREY INC COM 317K 6K –
WISDOMTREE TR US LARGECAP DIVD 3M 41K –
WISDOMTREE TR INTL EQUITY FD 369K 7K –
WISDOMTREE TR US QTLY DIV GRT 728K 9K –
WISDOMTREE TR FLOATNG RAT TREA 5M 93K –
WORKDAY INC CL A 2M 7K –
XYLEM INC COM 5M 39K –
ZOETIS INC CL A 347K 2K –
ASML HOLDING N V N Y REGISTRY SHS 392K 383 –