9AT: ALLEN INVESTMENT MANAGEMENT, LLC

other names

ALLEN INVESTMENT MANAGEMENT, LLC
ALLEN & COMPANY INVESTMENT ADVISORS
ALLEN GLOBAL PARTNERS

Adviser Profile

As of Date	03/30/2026
Registration	SEC, Approved, 04/11/2003
ADV Location	NEW YORK, NY, United States
Contact Info	212 xxxxxxx

AUM^*	16,914,755,305 23%
of that, discretionary	14,087,219,651 25%
Private Fund GAV^*	570,118 -15%
Avg Account Size	20,136,613 9%
% High Net Worth	98.61% 0%
SMA’s	Yes
Private Funds	1

Adviser Type

- Large advisory firm

Number of Employees 28 -10%

of those in investment advisory functions 12 -8%

Client Types

- High net worth individuals
- Pooled investment vehicles

Advisory Activities

- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles
- Selection of other advisers

Compensation Arrangments

- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees

Accounting Firm Name	Filing Date	Form ADV-E
Accounting Firm Name KPMG	Filing Date01/28/2026	Form ADV-E View Report
Accounting Firm Name KPMG	Filing Date10/30/2024	Form ADV-E View Report
Accounting Firm Name KPMG LLP	Filing Date01/26/2024	Form ADV-E View Report

SEC Fund Type	Count	GAV
Fund TypeHedge Fund	Count1	GAV$570,118

Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser LMR PARTNERS LLC	Hedge Fund374.1b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV374.1b	AUM140.1b	#Funds9
Adviser T. ROWE PRICE AUSTRALIA LIMITED	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM16.7b	#Funds-
Adviser WALLEYE CAPITAL LLC	Hedge Fund53.3b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV53.3b	AUM52.1b	#Funds16
Adviser AGL CREDIT MANAGEMENT LLC	Hedge Fund1.4b	Liquidity Fund-	Private Equity Fund95.1m	Real Estate Fund-	Securitized Asset Fund23.5b	Venture Capital Fund-	Other Fund-	Total Private Fund GAV25.0b	AUM25.8b	#Funds54
Adviser TWINBEECH CAPITAL LP	Hedge Fund2.5b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV2.5b	AUM2.5b	#Funds3
Adviser GAMCO ASSET MANAGEMENT INC.	Hedge Fund331.0m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV331.0m	AUM11.7b	#Funds1
Adviser K2/D&S MANAGEMENT CO., L.L.C.	Hedge Fund3.5b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV3.5b	AUM6.5b	#Funds49
Adviser GENERATION INVESTMENT MANAGEMENT US LLP	Hedge Fund7.9b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV7.9b	AUM10.5b	#Funds4
Adviser ARISTEIA CAPITAL, LLC	Hedge Fund10.6b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV10.6b	AUM13.7b	#Funds5
Adviser MERITAGE GROUP LP	Hedge Fund20.9b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV20.9b	AUM14.1b	#Funds12

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker023135106	Stock Name3M CO	$ Position$533,869,946	% Position7.00%	$ Change-16.00%	# Change-7.00%
Stck Ticker808513105	Stock NameABBOTT LABORATORIES	$ Position$500,767,763	% Position6.00%	$ Change-10.00%	# Change-5.00%
Stck Ticker594918104	Stock NameABBVIE INC	$ Position$420,351,432	% Position5.00%	$ Change-29.00%	# Change-7.00%
Stck Ticker30303M102	Stock NameACUITY INC	$ Position$402,898,523	% Position5.00%	$ Change-17.00%	# Change-5.00%
Stck Ticker02079K107	Stock NameADVANCED MICRO DEVICES INC	$ Position$340,455,488	% Position4.00%	$ Change7.00%	# Change17.00%
Stck Ticker36828A101	Stock NameAFFIRM HLDGS INC	$ Position$339,076,260	% Position4.00%	$ Change30.00%	# Change-3.00%
Stck Ticker92826C839	Stock NameAIRBNB INC	$ Position$326,633,931	% Position4.00%	$ Change-18.00%	# Change-4.00%
Stck Ticker615369105	Stock NameALIBABA GROUP HLDG LTD	$ Position$306,165,813	% Position4.00%	$ Change-17.00%	# Change-3.00%
Stck Ticker91324P102	Stock NameALICO INC	$ Position$297,281,809	% Position4.00%	$ Change-22.00%	# Change-5.00%
Stck Ticker78409V104	Stock NameALLSTATE CORP	$ Position$285,239,920	% Position4.00%	$ Change-23.00%	# Change-5.00%

Brochure Summary

Overview

Founded in 2002, Allen Investment Management, LLC (“AIM” or the “Firm”) is a New York limited liability company that also conducts business as Allen & Company Investment Advisors (“ACIA”). It is a wholly-owned subsidiary of Allen Operations LLC, which is also the parent company of Allen & Company LLC (“Allen & Company”), a global investment banking firm and broker-dealer under common control with AIM. Allen Investment Management, LLC AIM provides customized wealth management services to high net worth individuals, family offices, trusts, foundations and similarly situated individuals or entities on a discretionary and non-discretionary basis (“Clients”). AIM also provides investment advisory services to the ACIA Asset Allocation Fund LP (“ACIA Fund”), a pooled investment vehicle that is still in the process of being wound down. AIM is also the sub-advisor to the Carnegie Hill Insurance Dedicated Fund, a Series of the SALI Multi-Series Fund, LP (“Carnegie Hill Fund”). Customized Wealth Management Services Pursuant to individually-tailored advisory agreements, AIM provides discretionary and non- discretionary investment portfolio management by AIM’s experienced investment advisory professionals (“Customized Wealth Management Services”), including but not limited to: (a) outsourced family office services; (b) customized portfolio management; (c) concentrated equity services; (d) multi asset class portfolio management (develop customized asset allocation program(s) and manage portfolio(s)

across varying asset classes); (e) long only equity management; investment manager selection and due diligence (source and underwrite investments with third-party managed funds); (f) opportunistic investments (source investments to take advantage of market dislocations or idiosyncratic opportunities); (g) portfolio construction; (h) monitoring and rebalancing; (i) cash flow modeling; and (j) fund management and liquidity management. Clients may impose restrictions on AIM’s ability to invest in certain securities based on their objectives. Funds Advised by AIM AIM is the investment adviser to the ACIA Fund that is being wound down. The ACIA Fund used to b e diversified across broad asset classes but has only one private security left in it. As of January 31, 2024, approximately 98% of ACIA Fund assets have been distributed to limited partners. In addition to cash to pay estimated expenses, the ACIA Fund has only one private security left in it that will run off in approximately five years. The ACIA Fund will not make any new investments or solicit new investors. AIM also serves as the investment sub-advisor to the Carnegie Hill Fund. AIM managed/manages the assets of each fund in accordance with the terms of their governing documents. As of December 31, 2023, AIM had $13,796,387,101 in regulatory assets under management with approximately $11,305,498,798 managed on a discretionary basis and approximately $2,490,888,303 managed on a non-discretionary basis. P a g e 5 | 23

ALLEN INVESTMENT MANAGEMENT, LLC

Adviser Profile

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

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