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.
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SEC-registered adviser
S•••••• R••• M••••••••• L••
Latest filing Mar 20, 2026
First filing on the tape Feb 8, 2013 · 28 filings
SEC status approved since Feb 19, 2013
RAUM
$232M
reported, Item 5.F
Discretionary
74%
of RAUM
Private clients
72%
$167M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$58.0M
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
28 filings and snapshots on the tape
RAUM$232M as of Mar 20, 2026
Apr 1, 2013$27.4M then
HNW client RAUM$147M as of Mar 20, 2026
Jan 30, 2018$45.8M then
State-registered IARs (5.B.3)1 as of Mar 20, 2026
Apr 1, 20131 then
Employees (5.A)6 as of Mar 20, 2026
Apr 1, 20131 then
Private funds: no history
RAUM +12% over the last fiscal year+14% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $58.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $811,116derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 74%derivedof RAUM
- Institutional
- 1.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.9%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$147M63%
- Corporations and businesses$60.8M26%
- Individuals$20.7M8.9%
- Pension and profit-sharing plans$3.7M1.6%
- Individual clients
- 42reported
- HNW clients
- 91reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 286reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.72 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••• E••••• C••••••• | Jericho, Ny | Oct 25, 2010 | 30 y | 0 |
| A••••• K••• F•••• | Jericho, Ny | Jul 22, 2021 | 16 y | 0 |
| G•••••• S•• Z•••••• | Jericho, Ny | Aug 12, 2021 | 29 y | 0 |
| D••••• D••• H••••• | Bronx, Ny | Oct 6, 2022 | 36 y | 1 |
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
- A••• R••••• S•••••••• to M•••••• G••••• A••••••• L••May 25, 2023 · RIA to RIA
Joined, latest
- D••••• D••• H••••• from S••••••• S••••• M••••••••• L••Oct 6, 2022 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• S•••• E••••• · President/Ceo/Chief Compliance Officercontrolsince 11/2006 · 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 |
|---|---|---|---|---|---|
| Jericho, Ny · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 278 to 286Jul 17, 2025 to Mar 20, 2026
- Advisory employees · 5 to 4Jul 17, 2025 to Mar 20, 2026
- HNW clients · 73 to 91Jul 17, 2025 to Mar 20, 2026
- Individual clients · 48 to 42Jul 17, 2025 to Mar 20, 2026
- Employees · 7 to 6Jul 17, 2025 to Mar 20, 2026
- Discretionary RAUM · $148M to $171MJul 17, 2025 to Mar 20, 2026
- HNW RAUM · $123M to $147MJul 17, 2025 to Mar 20, 2026
- Individual RAUM · $21.4M to $20.7MJul 17, 2025 to Mar 20, 2026
- Non-discretionary RAUM · $58.4M to $60.8MJul 17, 2025 to Mar 20, 2026
- Pension RAUM · $3.4M to $3.7MJul 17, 2025 to Mar 20, 2026
- RAUM · $206M to $232MJul 17, 2025 to Mar 20, 2026
- Financial planning clients · 11-25 to 11-25Mar 26, 2025 to Jul 17, 2025
- Accounts · 272 to 278Feb 26, 2024 to Mar 4, 2025
- Corporate clients · 7 to 8Feb 26, 2024 to Mar 4, 2025
- HNW clients · 70 to 73Feb 26, 2024 to Mar 4, 2025
- Individual clients · 51 to 48Feb 26, 2024 to Mar 4, 2025
- Pension plan clients · 2 to 1Feb 26, 2024 to Mar 4, 2025
- Discretionary RAUM · $130M to $148MFeb 26, 2024 to Mar 4, 2025
- HNW RAUM · $104M to $123MFeb 26, 2024 to Mar 4, 2025
- Individual RAUM · $22.5M to $21.4MFeb 26, 2024 to Mar 4, 2025
- Non-discretionary RAUM · $43.2M to $58.4MFeb 26, 2024 to Mar 4, 2025
- Pension RAUM · $3.0M to $3.4MFeb 26, 2024 to Mar 4, 2025
- RAUM · $173M to $206MFeb 26, 2024 to Mar 4, 2025
- Accounts · 266 to 272Jul 7, 2023 to Feb 26, 2024
- Advisory employees · 6 to 5Jul 7, 2023 to Feb 26, 2024
- Individual clients · 48 to 51Jul 7, 2023 to Feb 26, 2024
- Discretionary RAUM · $127M to $130MJul 7, 2023 to Feb 26, 2024
- HNW RAUM · $105M to $104MJul 7, 2023 to Feb 26, 2024
- Individual RAUM · $19.3M to $22.5MJul 7, 2023 to Feb 26, 2024
- Non-discretionary RAUM · $31.0M to $43.2MJul 7, 2023 to Feb 26, 2024
- Pension RAUM · $2.5M to $3.0MJul 7, 2023 to Feb 26, 2024
- RAUM · $158M to $173MJul 7, 2023 to Feb 26, 2024
- Accounts · 256 to 266Jan 24, 2022 to Mar 15, 2023
- Advisory employees · 4 to 6Jan 24, 2022 to Mar 15, 2023
- Advisory activities · 1 to 2Jan 24, 2022 to Mar 15, 2023
- Corporate clients · 8 to 7Jan 24, 2022 to Mar 15, 2023
- HNW clients · 73 to 70Jan 24, 2022 to Mar 15, 2023
- Individual clients · 39 to 48Jan 24, 2022 to Mar 15, 2023
- Employees · 6 to 7Jan 24, 2022 to Mar 15, 2023
- Financial planning clients · 0 to 11-25Jan 24, 2022 to Mar 15, 2023
Signals
2 dated events
- A••• R••••• S•••••••• left S•••••• R••• M••••••••• L•• for M•••••• G••••• A••••••• L•• (registered 2023-04-11)May 25, 2023 · Advisor changed firm · fact
- S•••••• R••• M••••••••• L•• filed its initial SEC registration (Form ADV)Feb 8, 2013 · 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
- i•••@s•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- d••@s•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- j••••@s•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- s••••@s•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 516-605-2215reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/shelter-rock-management-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- S••••••R•••MANAGEMENT.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 516-605-2215reportedpublic record, Form ADV, Mar 20, 2026
- Team page
- s•••••••••.comreportedpublished 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
- $58.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026