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

ARMSTRONG SHAW ASSOCIATES INC.

CRD 107957

WILTON, CT

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:2c45b858-9d56-c5b6-a966-15bcaf58c7eb

Data as of Dec 5, 2023 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Jan 20, 2012 to Dec 5, 2023
23 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: $109MItem 5.F on the latest filing (2023-12-05); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $109M
Private client RAUM: $81.3MderivedItem 5.D individuals plus high net worth individuals
Private client share: 74%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 28
Individual clients: 7
High net worth clients: 16
SEC number: 801-20597
CRD: 107957
Filings on the tape: 23
First filed: Jan 20, 2012
Latest filed: Dec 5, 2023
Organised: Corporation, Delaware

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
GRADY, MONICA, CAROL	PRINCIPAL/CHIEF COMPLIANCE OFFICER/DIRECTOR	A	yes	12/1986	Jan 20, 2012	Dec 5, 2023
SHAW, JEFFREY, MITCHELL	PRINCIPAL/CHAIRMAN/DIRECTOR	E	yes	12/1986	Jan 20, 2012	Dec 5, 2023

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
2022	Mar 22, 2023	$109M	$109M	3	2	0	n/a	n/a
2021	Mar 16, 2022	$133M	$133M	4	3	0	n/a	n/a
2020	Mar 30, 2021	$110M	$110M	4	3	0	n/a	n/a
2019	Mar 12, 2020	$121M	$121M	4	3	0	n/a	n/a
2018	Mar 27, 2019	$107M	$107M	4	3	0	n/a	n/a
2017	Mar 29, 2018	$128M	$128M	6	3	0	n/a	n/a
2016	Mar 30, 2017	$539M	$436M	7	4	n/a	n/a	n/a
2015	Jan 25, 2016	$836M	$444M	8	5	n/a	n/a	n/a
2014	Mar 2, 2015	$914M	$818M	8	5	n/a	n/a	n/a
2013	Jan 28, 2014	$3.1B	$2.7B	14	7	n/a	n/a	n/a
2012	Feb 7, 2013	$2.5B	$2.2B	14	7	n/a	n/a	n/a
2011	Jan 20, 2012	$2.2B	$1.9B	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
2022	$109M	$133M	-17.9%	$121M	-3.4%	3	4	0	0

Relationships

Controls (2)

← SHAW, JEFFREY, MITCHELLOwnerPRINCIPAL/CHAIRMAN/DIRECTOR, ownership code E, individual
Jan 20, 2012 to presentfactForm ADV
← GRADY, MONICA, CAROLOwnerPRINCIPAL/CHIEF COMPLIANCE OFFICER/DIRECTOR, ownership code A, individual
Jan 20, 2012 to presentfactForm ADV

Registered with (5)

← JEFFREY MITCHELL SHAWAdvisorregistration: previous registration
Aug 23, 1991 to Jan 31, 2024factForm ADV
← CRAIG DAN JENSENAdvisorregistration: previous registration
Jul 6, 2015 to Mar 29, 2017factForm ADV
← JENNIFER THOMAS BECKERAdvisorregistration: previous registration
Mar 9, 2012 to May 13, 2014factForm ADV
← STEPHAN JAN WEINBERGERAdvisorregistration: previous registration
Feb 5, 1997 to Mar 28, 2011factForm ADV
← TODD WILLIAM CRYSTALAdvisorregistration: previous registration
Feb 5, 1997 to Jan 26, 2004factForm ADV

Dated events

Occurred
Jan 31, 2024
Advisor changed firm
Jeffrey Mitchell Shaw left Armstrong Shaw Associates Inc. for Round Rock Advisors Llc (registered 2023-09-21)
Form ADVobserved 6 days ago
Occurred
Apr 20, 2022
Control person left
Jacqueline Lindenbaum (Principal) no longer on Schedule A of Armstrong Shaw Associates Inc. (listed 2022-03-16, absent 2022-04-20)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2c45b858-9d56-c5b6-a966-15bcaf58c7eb
First observed: Jan 20, 2012
Last observed: Dec 5, 2023 34 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.

ARMSTRONG SHAW ASSOCIATES INC.

CRD 107957

WILTON, CT

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:2c45b858-9d56-c5b6-a966-15bcaf58c7eb

Data as of Dec 5, 2023 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:46 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

GRADY, MONICA, CAROL

PRINCIPAL/CHIEF COMPLIANCE OFFICER/DIRECTOR

yes

12/1986

Jan 20, 2012

Dec 5, 2023

SHAW, JEFFREY, MITCHELL

PRINCIPAL/CHAIRMAN/DIRECTOR

yes

12/1986

Jan 20, 2012

Dec 5, 2023

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2022

Mar 22, 2023

$109M

n/a

2021

Mar 16, 2022

$133M

n/a

2020

Mar 30, 2021

$110M

n/a

2019

Mar 12, 2020

$121M

n/a

2018

Mar 27, 2019

$107M

n/a

2017

Mar 29, 2018

$128M

n/a

2016

Mar 30, 2017

$539M

$436M

n/a

2015

Jan 25, 2016

$836M

$444M

n/a

2014

Mar 2, 2015

$914M

$818M

n/a

2013

Jan 28, 2014

$3.1B

$2.7B

n/a

2012

Feb 7, 2013

$2.5B

$2.2B

n/a

2011

Jan 20, 2012

$2.2B

$1.9B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2022

$109M

$133M

-17.9%

$121M

-3.4%