ALLWORTH FINANCIAL, L.P.
Adviser information for ALLWORTH FINANCIAL, L.P. last updated from Form ADV on March 22nd, 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 Partnership |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 392 |
|---|---|
| Investment Advisory/Research | 156 |
| Registered Broker-Dealer Representatives | 100 |
| Registered State Investment Advisers | 233 |
| Licensed Agents of an Insurance Company | 69 |
| No. of Firms/People that Solicit Clients | 78 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 57,269 | $18.6B |
| Non-Discretionary | 8,816 | $712.1M |
| Total | 66,085 | $19.3B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 17,181 | $6.0B |
| HNW Individuals | 5,782 | $12.6B |
| 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 | 242 | $562.4M |
| Charitable organizations | 33 | $14.3M |
| 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 | 54 | $98.6M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| 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 businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Publication of periodicals or newslettersEducational seminars/workshops |
|---|---|
| Compensation | % of AUMFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 19.3B |
| Portfolio Manager to Program | Sponsor |
|---|---|
| INDIVIDUAL MANAGED ASSET PROGRAM | ALLWORTH FINANCIAL, L.P. |
Identifiers
| SEC RIA File Number | 801-68255 |
|---|---|
| SEC ERA File Number | 801-68255 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 111167 |
| Legal Entity Identifier | None |
Principal Office
340 PALLADIO PKWY.SUITE 501
FOLSOM
CA
United States
Monday - Friday, 8:00 AM TO 5:00 PM
Tel: 916-482-2196, Fax: 916-483-9661
Websites
advisor.allworthfinancial.com/
www.facebook.com/allworthfinancial/
www.facebook.com/groups/raawomen
twitter.com/allworthretire
advisor.raa.com/
info.raa.com
www.linkedin.com/company/raa-financial-advisors/
moneypersonality.raa.com
vimeo.com/user14048902
horsemangroup.com/
allworthpartners.com
www.advisor2advisor.com
allworthfinancial.com
www.hansonmcclain.com
allworth401k.com/
allworthtaxsolutions.com/
moneymatters.com/
www.redrockwealth.com/
www.facebook.com/raafinancialadvisors
www.raablog.com/
www.raa.com
www.youtube.com/channel/uci3mtr9dphn8-capxwc6o2w
www.linkedin.com/company/allworth/
Chief Compliance Officer
COREY GAMBLE
CHIEF COMPLIANCE OFFICER
340 PALLADIO PKWY.
SUITE 501
FOLSOM
CA
United States
Tel:
916-475-1351
Fax:
855-208-5024
C***********@********************M
(Full email address available in API data)
Industry Affiliates
| ALLWORTH TAX SOLUTIONS | Accountant or accounting firm |
| AW SECURITIES | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ALLWORTH FINANCIAL GROUP, L.P. | Domestic Entity | – | PARTNER | 07/2017 | > 75% |
| GAMBLE, COREY, C | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2017 | < 5% |
| ENGELKEN, PETER, JOHN | Individual | – | CHIEF OPERATING OFFICER | 07/2017 | < 5% |
| AFG INTERMEDIATE, L.P. | Domestic Entity | ALLWORTH FINANCIAL GROUP, L.P. | OWNER | 07/2017 | > 75% |
| AFG PARENT GP, LLC | Domestic Entity | AFG INTERMEDIATE, L.P. | OTHER GENERAL PARTNERS | 10/2020 | |
| ODDY, CHRISTOPHER, MICHAEL | Individual | – | CHIEF FINANCIAL OFFICER | 04/2018 | < 5% |
| STOUT, ANDREW, ROY | Individual | – | CHIEF INVESTMENT OFFICER | 03/2019 | < 5% |
| ALLWORTH FINANCIAL HOLDINGS, LLC | Domestic Entity | AFG INTERMEDIATE, L.P. | OWNER | 10/2020 | > 75% |
| OTPP/AFG, LLC | Domestic Entity | ALLWORTH FINANCIAL HOLDINGS, LLC | OWNER | 10/2020 | 25-50% |
| 2781807 ONTARIO LIMITED | Foreign Entity | OTPP/AFG, LLC | OWNER | 10/2020 | > 75% |
| ONTARIO TEACHER'S PENSION PLAN BOARD | Foreign Entity | 2781807 ONTARIO LIMITED | OWNER | 10/2020 | > 75% |
| Greenberg, Barry, Yale | Individual | – | CHIEF LEGAL OFFICER | 06/2021 | < 5% |
| BUNCH, JOHN, BRADLEY | Individual | – | CHIEF EXECUTIVE OFFICER | 10/2023 | < 5% |