Allen & Company Of Florida, Inc. (Lakeland)


Allen & Company Of Florida, Inc. is a large advisory firm based in Lakeland. It manages $987.86 million of regulatory assets for 2,585 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Arizona, California, Colorado, and 28 other states.

Allen & Company Of Florida provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and pension consulting services. It prepares financial plans for more than 250 clients. On top of advisory services, the firm doesn't engage in other business activities.

Allen & Company Of Florida: assets under management

The assets under management (AUM) of Allen & Company Of Florida, Inc. is $987.86 million. The firm's AUM has grown by 228% since the beginning of its operation, and $5.8 million of the total AUM is attributable to clients outside of the United States.

The firm manages $984.7 million in discretionary accounts and $3.16 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $98.47 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $1.23 thousand.

Investments

The firm invests in investment and business development companies the most. They account for 65% of the total AUM. The second-largest asset type is exchange traded securities, which make up 27% of the firm’s portfolio. Investments in state and local bonds form 5% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Allen & Company Of Florida, Inc. for their services and products based on a percentage of assets under management and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Scott Edward Mchugh serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, pension and profit sharing plans, and state or municipal government entities. The largest group of clients of Scott Edward Mchugh is high net worth individuals with 236 clients and $443.95 million of assets under management. Among the 8 most similar advisory firms, Allen & Company Of Florida has the highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $987.86 million for 2,542 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.

Allen & Company Of Florida doesn't advise any private funds.

Careers at Allen & Company Of Florida, Inc.

The company employs 65 people that are either part- or full-time employees. 48 percent of the employees work as investment advisers or researchers. 33 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Scott Edward Mchugh has been acting as President since 1 Feb 2017. Lpl Employee Services Llc joined the executive team most recently as the Managing Member.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Ralph Carter Allen Chairman, director 1 Jan 1961 Other 3462
(Jr) James Everett Allen Director 1 Jan 1961 Other 1465600
Thomas Michael Sheridan Director, senior vice president, secretary, srop 1 Jun 1967 25% - 50% 421641
Louise Carter Allen Director 1 Aug 1980 Other 1465604
Joseph Gary Spooner Vice president 1 May 1983 Other 432456
Cheryl Sue Kilgore Assistant vice president, finanacial operations principal, controller 1 Nov 1998 Other 2940207
Laura Jane Hawley Director, sr. vice president, corporate secretary/treasurer 1 Jun 1999 Other 1146452
Roy Johnson Jr Mccraw Director, president, chief operating officer 1 Jul 2000 Other 2580295
Sharon Sylvia Pettit Director, senior vice president 1 Jul 2000 Other 361949
Carol Manning Zitzelberger Assistant vice president, compliance officer, crop 1 Jul 2000 Other 1741455
Michael Glenn Seymour Vice president 1 Jul 2000 Other 1597042
Allen & Company Financial Corporation Shareholder 1 May 2001 75% - 100% 59-3716218
Carol Manning Zitzelberger Vice president, chief compliance officer, registered options and security futures principal 1 Jan 2003 Other 1741455
Michael Neill Walker Assistant vice president , director of administration 1 Jan 2003 Other 2960002
Michael Henry Wright Assistant vice president 1 Jan 2003 Other 3255791
Carl Paul Bucker Vice president, corporate sales director 1 Jul 2004 Other 2344982
William Edwin Iii Rumph Director 1 Apr 2005 Other 2541454
Michael Neill Walker Vice president , director of administration, cfo 1 May 2005 Other 2960002
Keith Edward Albritton Vice president 1 Apr 2006 Other 2800204
Keith Edward Albritton President, ceo, director 1 Mar 2007 Other 2800204
Michael Henry Wright Vice president, registered options and security futures principal 1 Jan 2008 Other 3255791
William Sassano Vice president, operations 1 Jan 2011 Other 2314164
Keith Edward Albritton Senior vice president, director 1 Feb 2017 Other 2800204
Scott Edward Mchugh President/ceo 1 Feb 2017 Other 1985795
Lpl Employee Services Llc Managing member 1 May 2019 75% - 100% 47-1580146

Indirect Owners

The SEC currently registers 9 indirect owners.

Name Entity Date acquired Ownership Employer ID
Ralph Carter Allen Director, chairman, chief executive officer, president 1 May 2001 25% - 50% 3462
Thomas Michael Sheridan Director, senior v.p., secretary/treasurer 1 May 2001 25% - 50% 421641
Roy Johnson Jr Mccraw Director, president 1 May 2001 25% - 50% 2580295
(Jr) James Everett Allen Director 1 May 2001 25% - 50% xxx-xx-xxxx
James E. Jr. Rev. Trust Allen Indirect owner 1 May 2001 25% - 50% 20-6069225
James E. Jr. Rev. Trust Ralph C. Allen Trustee Allen Indirect owner 1 May 2001 25% - 50% 20-6069225
James E. Jr. Marital Trust Ralph C. Allen Trustee Allen Indirect owner 1 May 2001 25% - 50% 20-6069225
Inc. Lpl Holdings Parent company 1 May 2019 75% - 100% 04-3046611
Lpl Financial Holdings Inc. Parent company 1 May 2019 75% - 100% 20-3717839

Based in Lakeland

The principal office where Allen & Company Of Florida, Inc. performs its advisory services is located at 1401 South Florida Ave, Lakeland, FL 33803, which is also the mailing address of the firm. An additional office of the firm is in Viera, FL. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 863-688-9000 or by fax 863-688-7813. The normal business hours are 8:30 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at alleninvestments.com and its LinkedIn profile.