Allos Investment Advisors, LLC (Overland Park)

Name: Allos Investment Advisors, LLC
Address: 12980 Foster Street, Overland Park, KS, 66213
Telephone: 913-948-7788

Allos Investment Advisors, LLC is a related adviser based in Overland Park. It manages $20.78 million of regulatory assets for 468 client accounts. It has been registered with the SEC as an adviser since 2010 and has operated in the jurisdictions of Arizona, Colorado, Georgia, and 3 other states.

Allos Investment Advisors provides financial planning services and portfolio management for individuals and small businesses. It prepares financial plans for less than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Allos Investment Advisors: assets under management

The assets under management (AUM) of Allos Investment Advisors, LLC is $20.78 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 7498% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $20.78 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $44.41 thousand each.

Allos Investment Advisors has custody of $20.43 million in cash and securities for 177 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 48% of the total AUM. The second-largest asset type is investment and business development companies, which make up 47% of the firm’s portfolio. Investments in cash and cash equivalents form 5% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Allos Investment Advisors, LLC for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Allos Investment Advisors serves?

The firm provides services to individuals, charitable organizations, and high net worth individuals. The largest group of clients of Allos Investment Advisors is individuals with 244 clients and $17.75 million of assets under management. Among the 1 most similar advisory firms, Allos Investment Advisors has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $20.78 million for 247 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Allos Investment Advisors doesn't advise any private funds.

Careers at Allos Investment Advisors, LLC

The company employs 7 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 7 employees are registered as investment adviser representatives with the state securities authorities.

There’s a single person with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Jessica Ann Searcy Maldonado	Chief compliance officer	1 Oct 2010	Other	4554864
Inc. Searcy Financial Services	Member and parent company	1 Oct 2010	75% - 100%	105807
Jessica Ann Kmetty	Chief compliance officer	1 Oct 2010	Other	4554864
Inc. Searcy Financial Services	Parent company	1 Nov 2010	75% - 100%	105807

Indirect Owners

The SEC currently registers 4 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Michael John Searcy	President	1 Jul 2002	75% - 100%	821456
Marcus Clinton Shaffer	Principal	1 Nov 2010	Other	4777059
John Christopher Fales	Principal	1 Jan 2016	Other	6056370
Ryan Wayne Brooke	Principal	1 Jan 2019	Other	6422010

Based in Overland Park

The principal office where Allos Investment Advisors, LLC performs its advisory services is located at 12980 Foster Street, Overland Park, KS 66213, which is also the mailing address of the firm. An additional office of the firm is in Peoria, AZ. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 913-948-7788 or by fax 877-860-9313. The normal business hours are 8:00am to 5:00pm on Monday - Friday. You can find more information about the New York firm at allosadvisors.com and its LinkedIn profile.