Allen Wealth Management, LLC, (AWM), an investment advisory firm registered with the state of California, is located in Santa Barbara, California. At AWM, we strive to provide a personalized, thoughtful, and professional experience for our clients.

We are committed to providing the absolute highest level of client service, attention, satisfaction, and quality of investment process possible. Through a singular focus on a limited number of client relationships, and on clients who live in the local area, as well as our personal commitment to each client’s unique needs, we believe we provide a comprehensive and fulfilling client experience.

While investment performance is always critically important, it is not the only necessary ingredient for achieving an acceptable level of client satisfaction. The very wealthy deserve and demand the attention from their portfolio manager that only comes from a close, personal relationship between client and investment professional. This relationship can only be developed through personal contact, and regular communication between client and portfolio manager. This type of close, personal relationship is exactly what we strive to establish and maintain with each and every client we serve. Our clients value strong performance, but they demand honesty, integrity, a well-conceived and implemented investment process, and a high level of communication.

While we do not require a minimum portfolio value per se, due to the fact that we only work with a limited number of client relationships, we can only accept new clients with substantial investment assets. While $1 million is a reasonable starting point, potential clients would need to have significantly more to invest beyond that initial amount, or would need to at least have ongoing prospects of acquiring additional investment capital through business earnings, the sale of assets, or inheritance.

With this stated, we strive to do everything possible to help each investor find the best possible portfolio management solution to fit their unique needs, regardless of the amount they have available to invest. To achieve this goal, we maintain referral relationships with a select group of advisors that specialize in a variety of investment management styles and portfolio sizes, so that we may recommend an advisor that best fits a prospective client’s needs. Prospective clients are therefore encouraged to contact us, even if they may not have extensive investable assets.

FORM ADV Part II