9AT: ALLEN INVESTMENT MANAGEMENT, LLC

other names

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

Adviser Profile

As of Date	03/27/2025
ADV Location	NEW YORK, NY, United States
Adviser Type - Large advisory firm
Number of Employees	29 -6%
of those in investment advisory functions	12 -8%
Registration	SEC, Approved, 04/11/2003

AUM^*	15,833,950,821 15%
of that, discretionary	13,261,387,856 27%
Private Fund GAV^*	667,968
Avg Account Size	19,262,714 10%
% High Net Worth	98.62% 1%
SMA’s	Yes
Private Funds	1
Contact Info	212 xxxxxxx

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 Date10/30/2024	Form ADV-E View Report
Accounting Firm Name KPMG LLP	Filing Date01/26/2024	Form ADV-E View Report
Accounting Firm Name KPMG LLP	Filing Date01/03/2023	Form ADV-E View Report

Fund Type	Count	GAV
Fund TypeHedge Fund	Count1	GAV$667,968

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 SOROBAN CAPITAL PARTNERS LP	Hedge Fund18.3b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV18.3b	AUM9.6b	#Funds15
Adviser BOOTHBAY FUND MANAGEMENT	Hedge Fund14.3b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV14.3b	AUM14.5b	#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-	AUM17.5b	#Funds-
Adviser PLATINUM ASSET MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM5.0b	#Funds-
Adviser WALLEYE CAPITAL LLC	Hedge Fund44.4b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV44.4b	AUM43.4b	#Funds15
Adviser LAURION CAPITAL MANAGEMENT LP	Hedge Fund13.8b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV13.8b	AUM9.3b	#Funds3
Adviser JOHCM (USA) INC	Hedge Fund1.3b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund560.5m	Total Private Fund GAV1.9b	AUM9.0b	#Funds8
Adviser SRS INVESTMENT MANAGEMENT, LLC	Hedge Fund10.4b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV10.4b	AUM10.4b	#Funds7
Adviser VALUEACT CAPITAL MANAGEMENT, L.P.	Hedge Fund11.4b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV11.4b	AUM11.4b	#Funds16
Adviser LMR PARTNERS LLC	Hedge Fund218.8b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV218.8b	AUM77.2b	#Funds9

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker023135106	Stock NameAMAZON COM INC	$ Position$635,756,759	% Position7.00%	$ Change3.00%	# Change-2.00%
Stck Ticker594918104	Stock NameMICROSOFT CORP	$ Position$589,292,375	% Position7.00%	$ Change-11.00%	# Change-4.00%
Stck Ticker808513105	Stock NameSCHWAB CHARLES CORP	$ Position$557,920,354	% Position6.00%	$ Change0.00%	# Change-5.00%
Stck Ticker30303M102	Stock NameMETA PLATFORMS INC	$ Position$488,241,509	% Position5.00%	$ Change-3.00%	# Change8.00%
Stck Ticker78409V104	Stock NameS&P GLOBAL INC	$ Position$368,265,122	% Position4.00%	$ Change2.00%	# Change-5.00%
Stck Ticker92826C839	Stock NameVISA INC	$ Position$396,177,982	% Position4.00%	$ Change-1.00%	# Change-3.00%
Stck Ticker91324P102	Stock NameUNITEDHEALTH GROUP INC	$ Position$379,986,320	% Position4.00%	$ Change8.00%	# Change13.00%
Stck Ticker615369105	Stock NameMOODYS CORP	$ Position$367,771,005	% Position4.00%	$ Change6.00%	# Change-1.00%
Stck Ticker02079K107	Stock NameALPHABET INC	$ Position$317,631,498	% Position4.00%	$ Change23.00%	# Change-5.00%
Stck Ticker03769M106	Stock NameAPOLLO GLOBAL MGMT INC	$ Position$350,055,447	% Position4.00%	$ Change1.00%	# Change-7.00%

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

Client Types

Advisory Activities

Compensation Arrangments

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Private Funds

Employees

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