Allison Investment Management, LLC (hereinafter called “AIM”) is a Registered Investment
Adviser based in Columbia, South Carolina, and incorporated under the laws of the State of
South Carolina. AIM is owned by John E. Allison and David L. Allison. AIM is registered with
the SEC and subject to the rules and regulations of the US Advisers Act. Founded in 2002, AIM
provides investment advisory services, which may include, but are not limited to, the review of
client investment objectives and goals, recommending asset allocation strategies of managed
assets among investment products such as cash, stocks, mutual funds and bonds, annuities,
and/or preparing written investment strategies. Our investment advice is tailored to meet our
clients’ needs and investment objectives. Clients may impose restrictions on investing in certain
securities or types of securities (such as a product type, specific companies, specific sectors, etc.)
by providing a signed and dated written notification, of which an e-mail is also an acceptable
form of notification. AIM also provides financial planning consulting services including, but not
limited to, risk assessment/management, investment planning, estate planning, financial
organization, or financial decision making/negotiation.
AIM provides investment advisory and other financial services through its Investment Advisory
Representatives ("IAR") to accounts opened with AIM. Managed Accounts are available to
individuals and high net worth individuals.
AIM provides discretionary and non-discretionary investment advisory services to some of its
clients through various managed account programs. AIM will assist clients
in determining the
suitability of the Managed Account Programs for the client. The IAR is compensated through a
comprehensive single fee and the account may be assessed other charges associated with
conducting a brokerage business. AIM and its IAR, as appropriate, will be responsible for the
following:
• Performing due diligence
• Recommending strategic asset and style allocations
• Providing research on investment product options, as needed
• Providing client risk profile questionnaire
• Obtaining investment advisory contract from client with required financial, risk tolerance,
suitability and investment vehicle selection information for each new account
• Performing client suitability check on account documentation, review the investment
objectives and evaluate the investment vehicle selections
• Providing Firm Brochure (this document)
Wrap Fee Programs
AIM manages wrap fee programs. A “wrap fee program” is a program under which investment
advisory and brokerage execution services are provided for a single “wrapped” fee.
AIM will be the sole manager of the “wrap fee program”. The “wrap fee program” is sponsored
by Triad-Advisors, LLC. AIM is not an affiliated entity of Triad-Advisors, LLC. The “wrap fee
program” offers a participant a suite of services such as asset allocation, portfolio management,
trade execution, and certain administrative activities, all for an annual, asset-based fee.
The firm currently has assets under management as of January 31, 2024:
Discretionary: $111,937,782
Non-Discretionary: $ 9,599,529
Total AUM: $121,537,311
Form ADV, Part 2A, Item 5