Allegiance Financial Group, Inc.
- Regulatory AUM
- $181M
- Discretionary
- $175M
- Clients
- 173
- Avg AUM / client
- $1.0M
- Accounts
- 433
- Employees
- 10
AUM over time
Annual snapshots from Form ADV filings · as of Mar 26, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 119 | $39.3M | 21.8% |
| High net worth individuals | 54 | $140M | 77.6% |
| Charitable organizations | Fewer than 5 clients | $1.2M | 0.69% |
| Corporations and other businesses | Fewer than 5 clients | $2.4K | 0.0% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Cai Software Llc 401(k) Profit Sharing Plan Cai Software Llc | 2024 |
People (7)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Randall Jon Richard | President & Chief Compliance Officer | Sep 1996 (30y) | 50% – 75% | |
| Neal Patrick Richard | Managing Director | Apr 1997 (29y) | 50% – 75% | |
| Zachary Tyler Lauzon | Registered representative | CFP | Mar 2015 (11y) | |
| Laura Michelle Linscott | Registered representative | CFP | May 2018 (8y) | |
| Smit Mayank Desai | Registered representative | May 2024 (2y) | ||
| Benjamin Henry Carroll | Registered representative | Mar 2026 (0y) | ||
| Oybek Tursky | Registered representative | Apr 2026 (0y) |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Cai Software Llc 401(k) Profit Sharing Plan | Cai Software Llc | 122 | $36.3M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/26/2026 | 1.02 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Other services
Custody
Reported custodians
- Pershing $166M (92% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 26, 2026.
View current Form ADV (SEC/IAPD) ↗