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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

NEW VERNON WEALTH MANAGEMENT LLC

CRD 164775

HIGHLAND PARK, IL

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:97fe86ea-95ba-de9c-7516-d02274703530

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 3
On other graphs: 0
Observed: Jan 30, 2013 to Mar 31, 2026
22 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=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=6.0 bank_owner=false
Regulatory AUM: $781MItem 5.F on the latest filing (2026-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $781M
Private client RAUM: $781MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $781Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 8
Advisory employees: 5
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 443
Individual clients: 90
High net worth clients: 97
SEC number: 801-77619
CRD: 164775
Filings on the tape: 22
First filed: Jan 30, 2013
Latest filed: Mar 31, 2026
Organised: Limited Liability Company, DE
Website: newvernonwealth.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
DANIEL MARK SHAPIRO	n/a	HIGHLAND PARK, IL	13	37	n/a	yes

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
DANIEL SHAPIRO GIFT TRUST	MEMBER - TRUSTEE IS A CONTROL PERSON	B	yes	01/2013	Jan 30, 2013	Mar 28, 2024
JUST, GARY, ALAN	CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER	Na	yes	01/2013	Jan 30, 2013	Mar 28, 2024
NV CAPITAL HOLDINGS II, LLC	Member	C	yes	01/2013	Jan 30, 2013	Mar 28, 2024
SHAPIRO, DANIEL, MARK	MEMBER, MANAGER, TRUSTEE OF DANIEL SHAPIRO GIFT TRUST	B	yes	01/2013	Jan 30, 2013	Mar 28, 2024
SHAPIRO, STEVEN, ARTHUR	MEMBER, MANAGER, CHIEF INVESTMENT OFFICER, TRUSTEE STEVEN SHAPIRO GIFT TRUST	B	yes	01/2013	Jan 30, 2013	Mar 28, 2024
STEVEN SHAPIRO GIFT TRUST	MEMBER - TRUSTEE IS A CONTROL PERSON	B	yes	01/2013	Jan 30, 2013	Mar 28, 2024
ZAKARIA, ARSHAD, RAFIQ	Member	C	yes	01/2013	Jan 30, 2013	Mar 28, 2024
ZAKARIA, ARSHAD, RAFIQ	MEMBER, MANAGER, CHAIRMAN OF BOARD	Na	yes	11/2020	Jan 30, 2013	Mar 28, 2024
ZAKARIA, MANSOOR, RAFIQ	MEMBER, MANAGER	C	yes	01/2013	Jan 30, 2013	Mar 28, 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
NEW VERNON ADVISERS LP	n/a	Asset manager	$902M	N	yes	n/a
SF INVESTMENTS, INC.	n/a	Former SEC adviser	$438M	N	yes	n/a
NEW VERNON INVESTMENT MANAGEMENT LLC	n/a	Asset manager	$116M	N	yes	n/a
NEW VERNON PARTNERS LLC	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	Offices	Private funds	Fund GAV
2025	Mar 31, 2026	$781M	$781M	8	5	0	n/a	n/a
2024	Mar 31, 2025	$628M	$628M	8	5	0	n/a	n/a
2023	Mar 28, 2024	$552M	$552M	8	5	0	n/a	n/a
2022	Mar 31, 2023	$431M	$431M	10	6	0	n/a	n/a
2021	Mar 30, 2022	$489M	$489M	11	6	0	n/a	n/a
2020	Mar 30, 2021	$439M	$439M	11	5	0	n/a	n/a
2019	Mar 30, 2020	$380M	$380M	12	6	0	n/a	n/a
2018	Mar 28, 2019	$421M	$421M	12	6	0	n/a	n/a
2017	Mar 23, 2018	$409M	$409M	13	6	0	n/a	n/a
2016	Mar 30, 2017	$414M	$414M	11	6	n/a	n/a	n/a
2015	Mar 30, 2016	$462M	$462M	11	6	n/a	n/a	n/a
2014	Mar 31, 2015	$420M	$420M	11	6	n/a	n/a	n/a
2013	Mar 31, 2014	$431M	$431M	11	6	n/a	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
0	0	0	0.0%	0	0	0	0	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	$781M	$628M	24.4%	$431M	21.9%	8	8	0	0

Relationships

Affiliated with (5)

← NEW VERNON CAPITALRegistered adviserother investment adviser, common control
factForm ADV
← NEW VERNON INVESTMENT MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV
→ NEW VERNON CAPITALRegistered adviserother investment adviser, common control
factForm ADV
→ NEW VERNON INVESTMENT MANAGEMENT LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ SF INVESTMENT ADVISERSRegistered adviserbroker-dealer, common control
factForm ADV

Registered with (2)

← DANIEL MARK SHAPIROAdvisorregistration: current employment
Mar 27, 2013 to presentfactForm ADV
← PETER HEXTER RISKINDAdvisorregistration: previous registration
Mar 27, 2013 to Nov 3, 2015factForm ADV

Controls (8)

← ZAKARIA, MANSOOR, RAFIQOwnerMEMBER, MANAGER, ownership code C, individual
Jan 30, 2013 to Mar 28, 2024factForm ADV
← SHAPIRO, DANIEL, MARKOwnerMEMBER, MANAGER, TRUSTEE OF DANIEL SHAPIRO GIFT TRUST, ownership code B, individual
Jan 30, 2013 to Mar 28, 2024factForm ADV
← JUST, GARY, ALANOwnerCHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 30, 2013 to Mar 28, 2024factForm ADV
← SHAPIRO, STEVEN, ARTHUROwnerMEMBER, MANAGER, CHIEF INVESTMENT OFFICER, TRUSTEE STEVEN SHAPIRO GIFT TRUST, ownership code B, individual
Jan 30, 2013 to Mar 28, 2024factForm ADV
← ZAKARIA, ARSHAD, RAFIQOwnerMEMBER, ownership code C, individual
Jan 30, 2013 to Mar 28, 2024factForm ADV
← DANIEL SHAPIRO GIFT TRUSTOwnerMEMBER - TRUSTEE IS A CONTROL PERSON, ownership code B, domestic entity
Jan 30, 2013 to Mar 28, 2024factForm ADV
← NV CAPITAL HOLDINGS II, LLCOwnerMEMBER, ownership code C, domestic entity
Jan 30, 2013 to Mar 28, 2024factForm ADV
← STEVEN SHAPIRO GIFT TRUSTOwnerMEMBER - TRUSTEE IS A CONTROL PERSON, ownership code B, domestic entity
Jan 30, 2013 to Mar 28, 2024factForm ADV

Dated events

Occurred
Mar 28, 2024
Regulatory AUM changed
New Vernon Wealth Management Llc reported RAUM $551.9M, up 28% from $430.8M (2023-03-31 to 2024-03-28)
Form ADVobserved 5 days ago
$121M
Occurred
Jan 30, 2013
Succession filed (Item 4)
New Vernon Wealth Management Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 5 days ago
Occurred
Jan 30, 2013
First Form ADV filing
New Vernon Wealth Management Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:97fe86ea-95ba-de9c-7516-d02274703530
First observed: Jan 30, 2013
Last observed: Mar 31, 2026 5 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.

NEW VERNON WEALTH MANAGEMENT LLC

CRD 164775

HIGHLAND PARK, IL

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:97fe86ea-95ba-de9c-7516-d02274703530

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:53 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

DANIEL MARK SHAPIRO

n/a

HIGHLAND PARK, IL

n/a

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DANIEL SHAPIRO GIFT TRUST

MEMBER - TRUSTEE IS A CONTROL PERSON

yes

01/2013

Jan 30, 2013

Mar 28, 2024

JUST, GARY, ALAN

CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER

yes

01/2013

Jan 30, 2013

Mar 28, 2024

NV CAPITAL HOLDINGS II, LLC

Member

yes

01/2013

Jan 30, 2013

Mar 28, 2024

SHAPIRO, DANIEL, MARK

MEMBER, MANAGER, TRUSTEE OF DANIEL SHAPIRO GIFT TRUST

yes

01/2013

Jan 30, 2013

Mar 28, 2024

SHAPIRO, STEVEN, ARTHUR

MEMBER, MANAGER, CHIEF INVESTMENT OFFICER, TRUSTEE STEVEN SHAPIRO GIFT TRUST

yes

01/2013

Jan 30, 2013

Mar 28, 2024

STEVEN SHAPIRO GIFT TRUST

MEMBER - TRUSTEE IS A CONTROL PERSON

yes

01/2013

Jan 30, 2013

Mar 28, 2024

ZAKARIA, ARSHAD, RAFIQ

Member

yes

01/2013

Jan 30, 2013

Mar 28, 2024

ZAKARIA, ARSHAD, RAFIQ

MEMBER, MANAGER, CHAIRMAN OF BOARD

yes

11/2020

Jan 30, 2013

Mar 28, 2024

ZAKARIA, MANSOOR, RAFIQ

MEMBER, MANAGER

yes

01/2013

Jan 30, 2013

Mar 28, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

NEW VERNON ADVISERS LP

n/a

Asset manager

$902M

yes

n/a

SF INVESTMENTS, INC.

n/a

Former SEC adviser

$438M

yes

n/a

NEW VERNON INVESTMENT MANAGEMENT LLC

n/a

Asset manager

$116M

yes

n/a

NEW VERNON PARTNERS LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 31, 2026

$781M

n/a

2024

Mar 31, 2025

$628M

n/a

2023

Mar 28, 2024

$552M

n/a

2022

Mar 31, 2023

$431M

n/a

2021

Mar 30, 2022

$489M

n/a

2020

Mar 30, 2021

$439M

n/a

2019

Mar 30, 2020

$380M

n/a

2018

Mar 28, 2019

$421M

n/a

2017

Mar 23, 2018

$409M

n/a

2016

Mar 30, 2017

$414M

n/a

2015

Mar 30, 2016

$462M

n/a

2014

Mar 31, 2015

$420M

n/a

2013

Mar 31, 2014

$431M

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

$781M

$628M

24.4%

$431M

21.9%