Fee-only adviser · Santa Fe, NM
G. Allen Financial Inc.
G. Allen Financial Inc. is a fee-only investment adviser registered with the securities regulators of California, New Mexico, with its main office in Santa Fe, New Mexico. On its latest Form ADV, filed February 17, 2026, it reports $101M in regulatory assets under management, 40 individual clients and 1 employee who gives investment advice. It reports no commission compensation, is not registered as a broker-dealer and does not act as an insurance agent.
Key facts from Form ADV
| Registration | State-registered: California, New Mexico |
|---|---|
| Firm CRD number | 119180 |
| Office | 300 Paseo de Peralta Suite 209 Santa Fe, NM 87501 |
| Phone | (505) 466-3550 |
| Website | www.gallenfinancial.com |
| Regulatory assets under management | $101M |
| Individual clients | 10 non-high-net-worth, 30 high-net-worth |
| Financial planning clients | 0 |
| How it charges | Percentage of assets |
| Services | Financial planning, Portfolio management |
| Employees | 2 |
| Disciplinary disclosures | None reported |
| Latest Form ADV filing | February 17, 2026 |
Source: the firm’s Form ADV Part 1A as published by the SEC’s Investment Adviser Public Disclosure database, data as of November 6, 2026. Figures are self-reported by the firm.
What this means for you
- It charges only as a percentage of the assets it manages. Ask about the fee schedule and any account minimum, which Form ADV Part 1 does not record.
- Most of its individual clients are high-net-worth, which on Form ADV means they meet the SEC’s qualified-client or qualified-purchaser test: broadly, more than $1 million managed by the adviser or a net worth above $2 million, with the thresholds indexed for inflation.
- It provides financial planning services, not only portfolio management.
- It reports no disciplinary history on Form ADV.
Before you hire any adviser
Read the firm’s Form ADV Part 2 brochure on its SEC record: it sets out fees, minimums, conflicts of interest and who will manage your money. Ask whether the firm acts as a fiduciary for all of your accounts, how it is paid in total, and who holds your assets. Our guide to choosing a financial adviser lists the questions to ask.
Other fee-only advisers in Santa Fe
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- Highrocks Wealth, LLC $6.3M
- Cradle to College Financial, LLC Not reported
- City Different Investments $244M
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