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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

SHAMROCK ASSET MANAGEMENT LLC

CRD 108125

DALLAS, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:0cd3e58b-6e20-3ba4-d89f-086f99e6e98e

Data as of Aug 21, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 1
On other graphs: 0
Observed: Jan 10, 2012 to Aug 21, 2019
31 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $177MItem 5.F on the latest filing (2019-08-21); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $177M
Private client RAUM: $177MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 413
Individual clients: 108
High net worth clients: 109
Custody, client assets: $0
SEC number: 801-54702
CRD: 108125
Filings on the tape: 31
First filed: Jan 10, 2012
Latest filed: Aug 21, 2019
Organised: Limited Liability Company, Texas

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
CALDWELL, KEVIN, LEE	MANAGING DIRECTOR, CEO & CHIEF INVESTMENT OFFICER	B	yes	10/2009	Jan 10, 2012	Aug 21, 2019
GEOMETRY GROUP, INC.	Owner	C	yes	04/1997	Aug 21, 2019	Aug 21, 2019
GOYNE, THOMAS, CARROLL	MANAGING DIRECTOR MEMBER OF BOARD OF MANAGERS	C	yes	04/1997	Jan 10, 2012	Aug 21, 2019
LEWIS, JAMES, WILLIAM	Owner	E	yes	04/1997	Jan 10, 2012	Aug 21, 2019
LEWIS, JAMES, WILLIAM	Owner	B	yes	04/1997	Jan 10, 2012	Aug 21, 2019
ADAMS, CORD, ANTHONY	MANAGING DIRECTOR & CHIEF MARKETING OFFICER	Na	no	08/2012	Jan 10, 2012	Aug 21, 2019
Koch, Kyle, Michael	CHIEF COMPLIANCE OFFICER	Na	no	08/2019	Aug 2, 2012	Aug 21, 2019

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Mar 29, 2019	$177M	$177M	5	4	0	n/a	n/a
2017	Mar 30, 2018	$218M	$218M	5	4	0	n/a	n/a
2016	Mar 29, 2017	$229M	$227M	7	6	n/a	n/a	n/a
2015	Mar 30, 2016	$279M	$278M	8	7	n/a	n/a	n/a
2014	Mar 31, 2015	$312M	$310M	10	8	n/a	n/a	n/a
2013	Mar 28, 2014	$382M	$378M	10	6	n/a	n/a	n/a
2012	Mar 28, 2013	$299M	$277M	10	6	n/a	n/a	n/a
2011	Jan 10, 2012	$255M	$226M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$177M	$218M	-18.4%	$279M	-14.0%	5	5	0	0

Relationships

Owns (2)

← Koch, Kyle, MichaelOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 2, 2012 to presentfactForm ADV
← ADAMS, CORD, ANTHONYOwnerMANAGING DIRECTOR & CHIEF MARKETING OFFICER, ownership code NA, individual
Jan 10, 2012 to presentfactForm ADV

Controls (4)

← GOYNE, THOMAS, CARROLLOwnerMANAGING DIRECTOR MEMBER OF BOARD OF MANAGERS, ownership code C, individual
Jan 10, 2012 to presentfactForm ADV
← LEWIS, JAMES, WILLIAMOwnerOWNER, ownership code E, individual
Jan 10, 2012 to presentfactForm ADV
← CALDWELL, KEVIN, LEEOwnerMANAGING DIRECTOR, CEO & CHIEF INVESTMENT OFFICER, ownership code B, individual
Jan 10, 2012 to presentfactForm ADV
← GEOMETRY GROUP, INC.OwnerOWNER, ownership code C, domestic entity
Aug 21, 2019 to presentfactForm ADV

Registered with (6)

← KYLE MICHAEL KOCHAdvisorregistration: previous registration
Aug 12, 2019 to Dec 31, 2019factForm ADV
← CORD ANTHONY ADAMSAdvisorregistration: previous registration
Aug 20, 2012 to Dec 31, 2019factForm ADV
← JASON MATTHEW MORTONAdvisorregistration: previous registration
Aug 22, 2012 to Jul 24, 2017factForm ADV
← MICHAEL DAVID ERBAIOAdvisorregistration: previous registration
May 27, 2014 to Apr 26, 2016factForm ADV
← Thomas P ShraderAdvisorregistration: previous registration
Sep 19, 2012 to Sep 23, 2015factForm ADV
← TODD RICHARD GOUGHAdvisorregistration: previous registration
May 13, 2003 to Aug 26, 2008factForm ADV

Dated events

Occurred
Aug 9, 2019
Control person left
Merlin Edward Fjordbak (Chief Compliance Officer) no longer on Schedule A of Shamrock Asset Management Llc (listed 2019-03-29, absent 2019-08-09)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0cd3e58b-6e20-3ba4-d89f-086f99e6e98e
First observed: Jan 10, 2012
Last observed: Aug 21, 2019 86 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

SHAMROCK ASSET MANAGEMENT LLC

CRD 108125

DALLAS, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:0cd3e58b-6e20-3ba4-d89f-086f99e6e98e

Data as of Aug 21, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:18 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CALDWELL, KEVIN, LEE

MANAGING DIRECTOR, CEO & CHIEF INVESTMENT OFFICER

yes

10/2009

Jan 10, 2012

Aug 21, 2019

GEOMETRY GROUP, INC.

Owner

yes

04/1997

Aug 21, 2019

GOYNE, THOMAS, CARROLL

MANAGING DIRECTOR MEMBER OF BOARD OF MANAGERS

yes

04/1997

Jan 10, 2012

Aug 21, 2019

LEWIS, JAMES, WILLIAM

Owner

yes

04/1997

Jan 10, 2012

Aug 21, 2019

LEWIS, JAMES, WILLIAM

Owner

yes

04/1997

Jan 10, 2012

Aug 21, 2019

ADAMS, CORD, ANTHONY

MANAGING DIRECTOR & CHIEF MARKETING OFFICER

08/2012

Jan 10, 2012

Aug 21, 2019

Koch, Kyle, Michael

CHIEF COMPLIANCE OFFICER

08/2019

Aug 2, 2012

Aug 21, 2019

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 29, 2019

$177M

n/a

2017

Mar 30, 2018

$218M

n/a

2016

Mar 29, 2017

$229M

$227M

n/a

2015

Mar 30, 2016

$279M

$278M

n/a

2014

Mar 31, 2015

$312M

$310M

n/a

2013

Mar 28, 2014

$382M

$378M

n/a

2012

Mar 28, 2013

$299M

$277M

n/a

2011

Jan 10, 2012

$255M

$226M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$177M

$218M

-18.4%

$279M

-14.0%