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.

Former SEC-registered adviser

Shoreline Wealth Advisors

Former SEC-registered adviserNew Castle, IndianaCRD 121764SEC 801-112736websiteIAPD
Legal name Shoreline Asset Management, LLC
Latest filing Mar 17, 2025
First filing on the tape Mar 14, 2012 · 24 filings
SEC status approved since Apr 2, 2018
RAUM
$245M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$243M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$245M as of Mar 17, 2025
Mar 14, 2012$57.7M then
HNW client RAUM$169M as of Mar 17, 2025
Feb 26, 2019$98.1M then
State-registered IARs (5.B.3)6 as of Mar 17, 2025
Feb 26, 20197 then
Employees (5.A)10 as of Mar 17, 2025
Feb 26, 201911 then
Private funds: no history
RAUM +11% over the last fiscal year+3.2% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 17, 2025; every figure names its basis
RAUM per advisor
$40.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
47derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.0MderivedHNW RAUM over HNW clients
Average account
$344,074derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
0.9derived7 offices incl. principal (1.F.5)
RAUM growth, one year
+11%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+6.4%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Custody
$2.2M, 1 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$169M69%
  • Individuals$74.7M31%
  • Pension and profit-sharing plans$1.0M0.4%
  • Corporations and businesses$437,5830.2%
  • Charitable organizations$150,7910.1%
Individual clients
224reported
HNW clients
57reported
Pension plan clients
3reported
Charitable clients
1reported
Accounts
712reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$2.2M for 1 clientsreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
6 left, 0 joined in 12 months
net -6 in 12 months0 left in 90 days0 joined in 90 days6 left over 36 months
Left, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Jay Robert Bumbalough · Membercontrol
      since 01/2002 · owns 50% to 75%
    • Eugene Marion Shore · Managing Member And Chief Compliance Officercontrol
      since 03/1998 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    • Josh Dee Brumbaugh
      insurancey
    • Marion Eugene Shore Jr
      insurancey
    • Robert Jay Bumalough
      insurancey
    • Shore & Company, P.C.
      insurancen
    • Vicki Jean Kelsey
      insurancey
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Carmel, In006
    Offices
    Schedule D 1.F, the 25 largest
    • Carmel, IN3 employees
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 680 to 712
      Jan 10, 2025 to Mar 17, 2025
    • HNW clients · 56 to 57
      Jan 10, 2025 to Mar 17, 2025
    • Individual clients · 208 to 224
      Jan 10, 2025 to Mar 17, 2025
    • Assets in custody · $1.6M to $2.2M
      Jan 10, 2025 to Mar 17, 2025
    • Financial planning clients · 101-250 to 101-250
      Jan 10, 2025 to Mar 17, 2025
    • Discretionary RAUM · $220M to $245M
      Jan 10, 2025 to Mar 17, 2025
    • HNW RAUM · $156M to $169M
      Jan 10, 2025 to Mar 17, 2025
    • Individual RAUM · $63.4M to $74.7M
      Jan 10, 2025 to Mar 17, 2025
    • Pension RAUM · $886,049 to $1.0M
      Jan 10, 2025 to Mar 17, 2025
    • RAUM · $220M to $245M
      Jan 10, 2025 to Mar 17, 2025
    • Accounts · 707 to 680
      Dec 18, 2023 to Mar 11, 2024
    • Advisory employees · 7 to 6
      Dec 18, 2023 to Mar 11, 2024
    • HNW clients · 46 to 56
      Dec 18, 2023 to Mar 11, 2024
    • Individual clients · 231 to 208
      Dec 18, 2023 to Mar 11, 2024
    • Pension plan clients · 21 to 3
      Dec 18, 2023 to Mar 11, 2024
    • Assets in custody · $1.5M to $1.6M
      Dec 18, 2023 to Mar 11, 2024
    • Employees · 11 to 10
      Dec 18, 2023 to Mar 11, 2024
    • State-registered IARs · 7 to 6
      Dec 18, 2023 to Mar 11, 2024
    • Other offices · 1 to 6
      Dec 18, 2023 to Mar 11, 2024
    • Discretionary RAUM · $212M to $220M
      Dec 18, 2023 to Mar 11, 2024
    • HNW RAUM · $132M to $156M
      Dec 18, 2023 to Mar 11, 2024
    • Individual RAUM · $69.4M to $63.4M
      Dec 18, 2023 to Mar 11, 2024
    • Pension RAUM · $10.4M to $886,049
      Dec 18, 2023 to Mar 11, 2024
    • RAUM · $212M to $220M
      Dec 18, 2023 to Mar 11, 2024
    • Accounts · 664 to 707
      May 3, 2022 to Mar 15, 2023
    • Corporate clients · 1 to 2
      May 3, 2022 to Mar 15, 2023
    • HNW clients · 52 to 46
      May 3, 2022 to Mar 15, 2023
    • Individual clients · 216 to 231
      May 3, 2022 to Mar 15, 2023
    • Pension plan clients · 20 to 21
      May 3, 2022 to Mar 15, 2023
    • Assets in custody · $1.8M to $1.5M
      May 3, 2022 to Mar 15, 2023
    • Employees · 10 to 11
      May 3, 2022 to Mar 15, 2023
    • Discretionary RAUM · $223M to $212M
      May 3, 2022 to Mar 15, 2023
    • HNW RAUM · $139M to $132M
      May 3, 2022 to Mar 15, 2023
    • Individual RAUM · $71.2M to $69.4M
      May 3, 2022 to Mar 15, 2023
    • Pension RAUM · $12.4M to $10.4M
      May 3, 2022 to Mar 15, 2023
    • RAUM · $223M to $212M
      May 3, 2022 to Mar 15, 2023
    • Advisory employees · 6 to 7
      Mar 11, 2022 to May 3, 2022
    • Employees · 9 to 10
      Mar 11, 2022 to May 3, 2022
    • State-registered IARs · 6 to 7
      Mar 11, 2022 to May 3, 2022
    • Accounts · 632 to 664
      Feb 1, 2022 to Mar 11, 2022
    Signals
    12 dated events
    • Shoreline Wealth Advisors no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $245.0M)
      Jan 2, 2026 · Left the SEC roster · derived
    • Joshua Dee Brumbaugh left Shoreline Wealth Advisors for Parkwoods Wealth Partners, Llc (registered 2025-08-01)
      Dec 10, 2025 · Advisor changed firm · fact
    • Edward Francis Lux left Shoreline Wealth Advisors for Parkwoods Wealth Partners, Llc (registered 2025-08-01)
      Dec 10, 2025 · Advisor changed firm · fact
    • Robert Jay Bumbalough left Shoreline Wealth Advisors for Parkwoods Wealth Partners, Llc (registered 2025-08-01)
      Dec 10, 2025 · Advisor changed firm · fact
    • Mark Edward Lux left Shoreline Wealth Advisors for Parkwoods Wealth Partners, Llc (registered 2025-08-01)
      Dec 10, 2025 · Advisor changed firm · fact
    • Marion Eugene Shore left Shoreline Wealth Advisors for Parkwoods Wealth Partners, Llc (registered 2025-08-01)
      Dec 10, 2025 · Advisor changed firm · fact
    • Vicki Jean Kelsey left Shoreline Wealth Advisors for Parkwoods Wealth Partners, Llc (registered 2025-08-01)
      Dec 10, 2025 · Advisor changed firm · fact
    • Shoreline Wealth Advisors's advisors moved to Parkwoods Wealth Partners, LLC (Carmel, IN): 6 of 6 registered, on the same day
      Dec 10, 2025 · Firm absorbed (people side) · derived
    • Shoreline Wealth Advisors reported 6 offices beyond its principal office, up from 1 (2023-12-18 to 2024-03-11)
      Mar 11, 2024 · Office count change · derived
    • Brenda Kay Baier left Shoreline Wealth Advisors for Fiduciary Financial Advisors (registered 2023-06-30)
      Jul 7, 2023 · Advisor changed firm · fact
    • Brad Timothy Woodward (Chief Compliance Officer) no longer on Schedule A of Shoreline Wealth Advisors (listed 2021-03-03, absent 2021-09-16)
      Sep 16, 2021 · Control person left · inference
    • Shoreline Asset Management, Llc filed its initial SEC registration (Form ADV)
      Mar 1, 2018 · 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.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026