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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

SHUM FINANCIAL GROUP, INC.

CRD 285426

ALAMEDA, CA

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:7bde70a3-2abf-f1ce-c63d-4bc2c2a286af

Data as of Feb 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 3
On other graphs: 0
Observed: May 2, 2017 to Feb 23, 2026
19 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: independent wealth managerderivedprivate_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $322MItem 5.F on the latest filing (2026-02-23); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $322M
Private client RAUM: $309MderivedItem 5.D individuals plus high net worth individuals
Private client share: 96%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $80.5Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 4
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 990
Individual clients: 200
High net worth clients: 121
Custody, client assets: $127M
SEC number: 801-110554
CRD: 285426
Filings on the tape: 19
First filed: May 2, 2017
Latest filed: Feb 23, 2026
Organised: Other (specify), CA
Website: shumfinancial.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
CLIFF WINGYIN SHUM	Certified Financial Planner	ALAMEDA, CA	6	28	3	no
Maria Juliana Valencia	n/a	ALAMEDA, CA	3	10	n/a	no
Stephanie Fisher	n/a	ALAMEDA, CA	3	22	n/a	no
ELYSE NICOLE SANCHEZ	Certified Financial Planner	ALAMEDA, CA	0	10	1	no

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
SHUM, CLIFF, WINGYIN	PRESIDENT/CHIEF COMPLIANCE OFFICER	E	yes	10/2016	May 2, 2017	Feb 8, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
CLIFF SHUM	n/a	n/a	n/a	N	yes	n/a

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	Private funds	Fund GAV
2025	Feb 23, 2026	$322M	$322M	4	4	n/a	n/a
2024	Feb 12, 2025	$287M	$287M	4	4	n/a	n/a
2023	Feb 8, 2024	$246M	$246M	4	4	n/a	n/a
2022	Feb 2, 2023	$211M	$211M	2	2	n/a	n/a
2021	Feb 8, 2022	$219M	$219M	2	2	n/a	n/a
2020	Feb 2, 2021	$189M	$189M	3	3	n/a	n/a
2019	Mar 10, 2020	$170M	$170M	3	3	n/a	n/a
2018	Mar 20, 2019	$149M	$149M	3	3	n/a	n/a
2017	Jan 18, 2018	$149M	$149M	3	3	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	0	0	0	1	0

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
2025	$322M	$287M	12.1%	$211M	15.2%	4	4	0	0

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
GIRARD SECURITIES, INC.	2	Apr 11, 2017	Oct 23, 2025	SAN DIEGO, CA	Team lift out	Other	2.2%

Relationships

Registered with (6)

← ELYSE NICOLE SANCHEZAdvisorregistration: current employment
Oct 23, 2025 to presentfactForm ADV
← Maria Juliana ValenciaAdvisorregistration: current employment
Sep 15, 2023 to presentfactForm ADV
← Stephanie FisherAdvisorregistration: current employment
Sep 15, 2023 to presentfactForm ADV
← CLIFF WINGYIN SHUMAdvisorregistration: current employment
Sep 25, 2019 to presentfactForm ADV
← CALVIN LEEAdvisorregistration: previous registration
Apr 22, 2021 to Feb 7, 2022factForm ADV
← ERIC JOHN OLNEYAdvisorregistration: previous registration
Jan 17, 2018 to Feb 7, 2022factForm ADV

Moved with (1)

← GIRARD SECURITIES, INC.Registered adviser2 advisors, team lift out, same day
Apr 11, 2017 to Oct 23, 2025factForm ADV

Controls (1)

← SHUM, CLIFF, WINGYINOwnerPRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code E, individual
May 2, 2017 to Feb 8, 2024factForm ADV

Dated events

Occurred
Feb 7, 2022
Advisor changed firm
Calvin Lee left Shum Financial Group, Inc. for Gamma Investing Llc (registered 2022-01-18)
Form ADVobserved 5 days ago
Occurred
Feb 7, 2022
Advisor changed firm
Eric John Olney left Shum Financial Group, Inc. for Integrated Advisors Network Llc (registered 2023-09-29)
Form ADVobserved 5 days ago
Occurred
May 2, 2017
First Form ADV filing
Shum Financial Group, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7bde70a3-2abf-f1ce-c63d-4bc2c2a286af
First observed: May 2, 2017
Last observed: Feb 23, 2026 6 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.

SHUM FINANCIAL GROUP, INC.

CRD 285426

ALAMEDA, CA

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:7bde70a3-2abf-f1ce-c63d-4bc2c2a286af

Data as of Feb 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:22 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

CLIFF WINGYIN SHUM

Certified Financial Planner

ALAMEDA, CA

Maria Juliana Valencia

n/a

ALAMEDA, CA

n/a

Stephanie Fisher

n/a

ALAMEDA, CA

n/a

ELYSE NICOLE SANCHEZ

Certified Financial Planner

ALAMEDA, CA

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

SHUM, CLIFF, WINGYIN

PRESIDENT/CHIEF COMPLIANCE OFFICER

yes

10/2016

May 2, 2017

Feb 8, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CLIFF SHUM

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Feb 23, 2026

$322M

n/a

2024

Feb 12, 2025

$287M

n/a

2023

Feb 8, 2024

$246M

n/a

2022

Feb 2, 2023

$211M

n/a

2021

Feb 8, 2022

$219M

n/a

2020

Feb 2, 2021

$189M

n/a

2019

Mar 10, 2020

$170M

n/a

2018

Mar 20, 2019

$149M

n/a

2017

Jan 18, 2018

$149M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$322M

$287M

12.1%

$211M

15.2%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

GIRARD SECURITIES, INC.

Apr 11, 2017

Oct 23, 2025

SAN DIEGO, CA

Team lift out

Other

2.2%