Julian A. Allen

SPITFIRE CAPITAL LLC

ROSS, CA

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CRD#: 4374011

Professional summary

Julian Andrew Lawrence Allen, who also goes by Julian L. Allen, Julian Allen, is a registered financial advisor currently at SPITFIRE CAPITAL LLC located in Ross, California.

Julian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Julian has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Julian L. Allen | Julian Allen

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Mr. Allen is the Managing Member of Spitfire Fund GP LLC, created in March 2007 to function as the General Partner of The Spitfire Fund L.P., a private investment fund managed by Spitfire Capital LLC. Its current address is 83 Laurel Grove Avenue, Ross, CA 94957.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Julian Andrew Lawrence Allen's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 14, 2024 - Present

SPITFIRE CAPITAL LLC

RIA

CRD#: 143766

ROSS, CA

Past

June 8, 2007 - March 3, 2020

SPITFIRE CAPITAL LLC

RIA

CRD#: 143766

MILL VALLEY, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(10/14/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/3/2024

Uniform Investment Adviser Law Examination

Current Firm

SPITFIRE CAPITAL LLC

SPITFIRE CAPITAL LLC | SPITFIRE CAPITAL MANAGEMENT LLC

CRD#: 143766 / SEC#: 801-78321

RIA

Registered Investment Advisory firm - (3/3/2020 Terminated)

California

Registered Investment Advisory firm - (10/14/2024 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Ross, CA

Mailing Address

P.o. Box 1956, Mill Valley, CA 94942

Phone number

(415) 878-1908

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	3
AUM (Assets Under Management)	$ 63,020,210

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
California	ERA - Withdrawn	3/25/2024

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Julian A. Allen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Julian Andrew Lawrence Allen's CRS (Customer Relationship Summary).

Certified licenses

Experience

SPITFIRE CAPITAL LLC

SPITFIRE CAPITAL LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/3/2024

Current Firm

SPITFIRE CAPITAL LLC

Contact information

Documents

Regulatory assets under management

Exempt reporting advisers

Red Flags

Company Information

SPITFIRE CAPITAL LLC

TRUST BUT VERIFY

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