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John Allman

35 Years of Experience
Raleigh, NC
4 DisclosuresBroker

John Allman is a registered investment advisor at Robert W. Baird & CO. Incorporated, based in Raleigh, NC, with 35 years of industry experience. John is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Estate Planning, High Net Worth, Investment Management, and 3 more. Their firm serves 241,359 clients with $390B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
2620 advisors
Number of Clients
241,359 clients
Average Client Portfolio
$1.6M average
Assets Under Management
$394.1B

Fee Structure

Investment management only (planning not offered)

Robert W. Baird & Co. charges an ongoing annual fee for portfolio management, which is bundled with trade execution and custody services as part of a wrap fee program. The specific fee amount depends on the chosen program, strategy, and the size of your portfolio, and is generally calculated as a percentage of the assets they manage for you. Additional costs may apply if managers execute trades away from Baird or if you utilize specialized overlay services.

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Location

3600 Glenwood Avenue, Suite 200, Raleigh, NC, 27612

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History

Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
July 2008
Settled
Customer Dispute
November 1998
Denied
Customer Dispute
September 1998
Settled
Criminal
December 1979
Final Disposition
Employment History
Current Registrations
Robert W. Baird & CO. IncorporatedBroker
February 2012 - Present · 14 yrs 8 mos
Robert W. Baird & CO. Incorporated
February 2012 - Present · 14 yrs 8 mos
Previous Registrations
Morgan Stanley Smith Barney LLC
June 2009 - February 2012 · 2 yrs 8 mos
Morgan Stanley Smith BarneyBroker
June 2009 - February 2012 · 2 yrs 8 mos
Citigroup Global Markets INC.
December 2001 - June 2009 · 7 yrs 6 mos
Citigroup Global Markets INC.Broker
July 1993 - June 2009 · 15 yrs 11 mos
Lehman Brothers INC.Broker
June 1991 - July 1993 · 2 yrs 1 mo
The Stuart-James Company, IncorporatedBroker
October 1990 - December 1990 · 2 mos
State Registrations33 states
AKAZCACOCTDCFLGAILKSKYMAMDMEMIMONCNDNHNJNMNYOHORPARISCTXVAVTWAWIWY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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