DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Shikiar Asset Management Inc
Latest filing Mar 24, 2026
First filing on the tape Mar 28, 2012 · 24 filings
SEC status approved since Jun 3, 1993
RAUM
$564M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
91%
$516M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$282M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$564M as of Mar 24, 2026
Mar 28, 2012$245M then
HNW client RAUM$516M as of Mar 24, 2026
Mar 28, 2018$327M then
State-registered IARs (5.B.3)0 as of Mar 24, 2026
Mar 25, 20130 then
Employees (5.A)6 as of Mar 24, 2026
Mar 25, 20136 then
Private funds: no history
RAUM +6.0% over the last fiscal year+13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $282MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $2.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $233M, 60 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$516M91%
- Corporations and businesses$48.0M8.5%
- Individual clients
- n/areported
- HNW clients
- 135reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 238reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $233M for 60 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.91 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Samuel Max ShikiarChartered Financial Analyst | New York, Ny | Nov 16, 2021 | 19 y | 0 |
| Lockwood Talmage SloanChartered Financial Analyst | New York, Ny | Nov 16, 2021 | 31 y | 1 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount1 left over 36 months
Left, latest
- Daniel Iversen Galvin to Hightower Advisors, LLCFeb 4, 2026 · RIA to affiliated broker-dealer or bank
Joined, latest
- Daniel Iversen Galvin from MarinerJun 6, 2025 · Affiliated broker-dealer or bank to independent RIA
- Lockwood Talmage Sloan from Merrill Lynch, Pierce, Fenner & Smith IncorporatedNov 16, 2021 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Maria Diane Mcdermott · Chief Compliance Officercontrolsince 08/2004 · owns less than 5%
- Max Samuel Shikiar · Co-Chief Executive Officercontrolsince 12/2022 · owns less than 5%
- Alan Stuart Shikiar · President, Co-Chief Executive Officer, Secretary, Treasurercontrolsince 12/2022 · owns 75% or more
- Talmage Lockwood Sloan · Chief Operating Officercontrolsince 01/2022 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list Shikiar Asset Management Inc as a related person
- 172312 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 2 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 243 to 238Mar 25, 2025 to Mar 24, 2026
- Corporate clients · 11 to 13Mar 25, 2025 to Mar 24, 2026
- HNW clients · 130 to 135Mar 25, 2025 to Mar 24, 2026
- Assets in custody · $249M to $233MMar 25, 2025 to Mar 24, 2026
- Discretionary RAUM · $526M to $557MMar 25, 2025 to Mar 24, 2026
- HNW RAUM · $491M to $516MMar 25, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $6.0M to $7.0MMar 25, 2025 to Mar 24, 2026
- RAUM · $532M to $564MMar 25, 2025 to Mar 24, 2026
- Accounts · 231 to 243Mar 27, 2024 to Mar 25, 2025
- Corporate clients · 10 to 11Mar 27, 2024 to Mar 25, 2025
- Assets in custody · $233M to $249MMar 27, 2024 to Mar 25, 2025
- Employees · 7 to 6Mar 27, 2024 to Mar 25, 2025
- Financial planning clients · 1-10 to 1-10Mar 27, 2024 to Mar 25, 2025
- Discretionary RAUM · $472M to $526MMar 27, 2024 to Mar 25, 2025
- HNW RAUM · $444M to $491MMar 27, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $5.0M to $6.0MMar 27, 2024 to Mar 25, 2025
- RAUM · $477M to $532MMar 27, 2024 to Mar 25, 2025
- Accounts · 239 to 231Mar 29, 2023 to Mar 27, 2024
- Corporate clients · 9 to 10Mar 29, 2023 to Mar 27, 2024
- Assets in custody · $185M to $233MMar 29, 2023 to Mar 27, 2024
- Employees · 6 to 7Mar 29, 2023 to Mar 27, 2024
- Discretionary RAUM · $385M to $472MMar 29, 2023 to Mar 27, 2024
- HNW RAUM · $365M to $444MMar 29, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $4.0M to $5.0MMar 29, 2023 to Mar 27, 2024
- RAUM · $389M to $477MMar 29, 2023 to Mar 27, 2024
- Accounts · 225 to 239Mar 25, 2022 to Mar 29, 2023
- Corporate clients · 8 to 9Mar 25, 2022 to Mar 29, 2023
- HNW clients · 117 to 130Mar 25, 2022 to Mar 29, 2023
- Assets in custody · $261M to $185MMar 25, 2022 to Mar 29, 2023
- Discretionary RAUM · $512M to $385MMar 25, 2022 to Mar 29, 2023
- HNW RAUM · $540M to $365MMar 25, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $53.0M to $4.0MMar 25, 2022 to Mar 29, 2023
- RAUM · $565M to $389MMar 25, 2022 to Mar 29, 2023
- Accounts · 222 to 225Mar 29, 2021 to Mar 25, 2022
- Advisory employees · 3 to 4Mar 29, 2021 to Mar 25, 2022
- Corporate clients · unset to 8.0Mar 29, 2021 to Mar 25, 2022
- HNW clients · 116 to 117Mar 29, 2021 to Mar 25, 2022
- Assets in custody · $74.6M to $261MMar 29, 2021 to Mar 25, 2022
- Financial planning clients · 0 to 1-10Mar 29, 2021 to Mar 25, 2022
- Discretionary RAUM · $446M to $512MMar 29, 2021 to Mar 25, 2022
Signals
5 dated events
- Daniel Iversen Galvin left Shikiar Asset Management Inc for Hightower Advisors, Llc (registered 2026-01-27)Feb 4, 2026 · Advisor changed firm · fact
- Shikiar Asset Management Inc reported RAUM $389.0M, down 31% from $565.0M (2022-03-25 to 2023-03-29)Mar 29, 2023 · RAUM change · derived
- Israel Albert Sipzener (Partner) no longer on Schedule A of Shikiar Asset Management Inc (listed 2020-10-02, absent 2021-03-29)Mar 29, 2021 · Control person left · inference
- Shikiar Asset Management Inc reported RAUM $474.0M, up 37% from $347.0M (2019-09-06 to 2019-09-18)Sep 18, 2019 · RAUM change · derived
- Max Samuel Shikiar (Managing Director) appeared on Schedule A of Shikiar Asset Management IncMar 27, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 212-888-6565reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- SHIKIAR.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 212-888-6565reportedpublic record, Form ADV, Mar 24, 2026
- Contact form
- shikiar.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- shikiar.com/our-teamreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $282Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026