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
Shapiro Financial Security Group, Inc.
Latest filing Mar 24, 2026
First filing on the tape Mar 19, 2012 · 10 filings
SEC status approved since May 4, 2021
RAUM
$153M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
100%
$153M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$76.3M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$153M as of Mar 24, 2026
Mar 19, 2012$44.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2026
Mar 30, 20220 then
Employees (5.A)5 as of Mar 24, 2026
Mar 30, 20226 then
Private funds: no history
RAUM +16% 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
- RAUM per advisor
- $76.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $270,597derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%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 assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$153M100%
- Individual clients
- 137reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 564reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 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 |
|---|---|---|---|---|
| Devon Jacob Shapiro | Hazlet, Nj | Jul 24, 2024 | 12 y | 0 |
| Kenneth Bart ShapiroCertified Financial Planner | Hazlet, Nj | Jan 1, 2026 | 43 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Diane Kathrine Taylor to Freedom Wealth Advisors, LLCFeb 28, 2011 · Other
Joined, latest
- Diane Kathrine Taylor from Hamel Associates,Inc.May 26, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Bart Kenneth Shapiro · President/Chief Compliance Officercontrolsince 12/1982 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Hazlet, Nj · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 526 to 564Mar 27, 2025 to Mar 24, 2026
- Individual clients · 139 to 137Mar 27, 2025 to Mar 24, 2026
- Discretionary RAUM · $124M to $141MMar 27, 2025 to Mar 24, 2026
- Individual RAUM · $131M to $153MMar 27, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $7.4M to $12.0MMar 27, 2025 to Mar 24, 2026
- RAUM · $131M to $153MMar 27, 2025 to Mar 24, 2026
- Accounts · 528 to 526Mar 29, 2024 to Mar 27, 2025
- Advisory employees · 1 to 2Mar 29, 2024 to Mar 27, 2025
- Individual clients · 127 to 139Mar 29, 2024 to Mar 27, 2025
- Employees · 4 to 5Mar 29, 2024 to Mar 27, 2025
- Financial planning clients · 11-25 to 26-50Mar 29, 2024 to Mar 27, 2025
- Discretionary RAUM · $113M to $124MMar 29, 2024 to Mar 27, 2025
- Individual RAUM · $122M to $131MMar 29, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $9.1M to $7.4MMar 29, 2024 to Mar 27, 2025
- RAUM · $122M to $131MMar 29, 2024 to Mar 27, 2025
- Accounts · 525 to 528Mar 31, 2023 to Mar 29, 2024
- Advisory employees · 2 to 1Mar 31, 2023 to Mar 29, 2024
- Employees · 6 to 4Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $93.2M to $113MMar 31, 2023 to Mar 29, 2024
- Individual RAUM · $105M to $122MMar 31, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $12.0M to $9.1MMar 31, 2023 to Mar 29, 2024
- RAUM · $105M to $122MMar 31, 2023 to Mar 29, 2024
- Accounts · 533 to 525Mar 30, 2022 to Mar 31, 2023
- Individual clients · 103 to 127Mar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $97.8M to $93.2MMar 30, 2022 to Mar 31, 2023
- Individual RAUM · $127M to $105MMar 30, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $29.0M to $12.0MMar 30, 2022 to Mar 31, 2023
- RAUM · $127M to $105MMar 30, 2022 to Mar 31, 2023
- Accounts · 562 to 533Jun 29, 2021 to Mar 30, 2022
- Financial planning clients · 1-10 to 11-25Jun 29, 2021 to Mar 30, 2022
- Discretionary RAUM · $68.1M to $97.8MJun 29, 2021 to Mar 30, 2022
- Individual RAUM · $113M to $127MJun 29, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $44.5M to $29.0MJun 29, 2021 to Mar 30, 2022
- RAUM · $113M to $127MJun 29, 2021 to Mar 30, 2022
- Other offices · 2 to 1Mar 31, 2021 to Jun 29, 2021
- Accounts · 357 to 562Sep 14, 2012 to Mar 31, 2021
- Advisory employees · unset to 2.0Sep 14, 2012 to Mar 31, 2021
- Individual clients · unset to 103.0Sep 14, 2012 to Mar 31, 2021
- Employees · unset to 6.0Sep 14, 2012 to Mar 31, 2021
- Insurance-licensed employees · 1 to 0Sep 14, 2012 to Mar 31, 2021
Signals
1 dated events
- Shapiro Financial Security Group, Inc. filed its initial SEC registration (Form ADV)Mar 31, 2021 · First SEC registration · 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 email
- mboncada@shapirofsg.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 732-739-8667reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 732-739-8991reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- SHAPIROFSG.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 732-739-8991reportedpublic record, Form ADV, Mar 24, 2026
- Team page
- SHAPIROFSG.COM/team-memberreportedpublished by the firm, firm site, Sep 16, 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
- $76.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026