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
Shp Wealth Management, LLC
Latest filing Jul 8, 2026
First filing on the tape Nov 9, 2016 · 69 filings
SEC status approved since Nov 29, 2016
RAUM
$1.9B
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
94%
$1.8B individuals and HNW
Advisors
32
registered through the firm on IAPD
RAUM per advisor
$60.0M
derived; firm RAUM over IAPD count
Employees
52
32 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
69 filings and snapshots on the tape
RAUM$1.9B as of Jul 8, 2026
Jan 30, 2017$117M then
HNW client RAUM$1.1B as of Jul 8, 2026
Jan 25, 2018$62.0M then
State-registered IARs (5.B.3)32 as of Jul 8, 2026
Jan 30, 20175 then
Employees (5.A)52 as of Jul 8, 2026
Jan 30, 201715 then
Private funds: no history
RAUM +28% over the last fiscal year+28% a year over threeIARs 29 to 32
Practice profile
derived from the filing of Jul 8, 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
- RAUM per advisor
- $60.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 71derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $257,468derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 5.3derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +15%derived
- Compensation
- percentage of assets, hourly, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $166M, 267 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.1B59%
- Individuals$662M34%
- Other investment advisers$98.6M5.1%
- Pension and profit-sharing plans$16.3M0.8%
- Corporations and businesses$4.4M0.2%
- Charitable organizations$1.6M0.1%
- Individual clients
- 1,778reported
- HNW clients
- 483reported
- Pension plan clients
- 8reported
- Charitable clients
- 1reported
- Accounts
- 7,457reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $166M for 267 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.05 institutional_share=0.01 related_bd=true related_bank=false bd_reps=0.0derived
Advisors registered through the firm
32 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Matthew Chapman PeckCertified Financial Planner | Plymouth, Ma | Oct 28, 2015 | 23 y | 1 |
| Derek L.(Mi Only) Gregoire | Plymouth, Ma | Oct 28, 2015 | 23 y | 1 |
| Keith Winslow Ellis | Plymouth, Ma | Oct 28, 2015 | 23 y | 1 |
| Nicholas Errold Nelson | Plymouth, Ma | Jun 20, 2016 | 12 y | 1 |
| Mark Stewart KenneyCertified Financial Planner | Plymouth, Ma | Apr 12, 2017 | 15 y | 1 |
| David A Hathaway | Plymouth, Ma | Jul 30, 2018 | 14 y | 3 |
| Patrick Michael Randall | Plymouth, Ma | Oct 10, 2018 | 18 y | 4 |
| Anthony J Finocchiaro | Plymouth, Ma | Dec 24, 2019 | 17 y | 0 |
| Chase Andrew Reardon | Plymouth, Ma | Jan 22, 2021 | 15 y | 1 |
| Marci Porter Lucier | Plymouth, Ma | Apr 27, 2021 | 26 y | 3 |
| Christopher Paul WillisCertified Financial Planner | Plymouth, Ma | Aug 31, 2021 | 15 y | 0 |
| Natalia C. Manning | Plymouth, Ma | Mar 10, 2022 | 18 y | 4 |
| Owen Michael Imparato | Plymouth, Ma | Jun 16, 2022 | 11 y | 0 |
| Kyle Britton | Plymouth, Ma | Oct 4, 2022 | 10 y | 1 |
| James Patrick Sferrazza | Plymouth, Ma | Feb 7, 2023 | 13 y | 0 |
| Cameron Joseph Iarrobino | Plymouth, Ma | Jul 14, 2023 | 13 y | 2 |
| Joshua Richard Kosinski | Plymouth, Ma | Jul 14, 2023 | 10 y | 0 |
| Rafael Gregory Reyes | Plymouth, Ma | Jul 18, 2023 | 10 y | 1 |
| Michael A Guthrie | Plymouth, Ma | Oct 26, 2023 | 28 y | 6 |
| Raphael Hanna | Plymouth, Ma | Nov 30, 2023 | 13 y | 1 |
| Aidan Vito AroneCertified Financial Planner | Plymouth, Ma | Jul 24, 2024 | 12 y | 1 |
| Laura Russo | Plymouth, Ma | Jul 24, 2024 | 11 y | 0 |
| Bradley Parillo | Plymouth, Ma | Sep 24, 2024 | 13 y | 1 |
| Zachary Scott PerkinsChartered Financial Analyst | Plymouth, Ma | Jan 27, 2025 | 12 y | 1 |
| Alina OsokhovskaCertified Financial Planner | Plymouth, Ma | Mar 24, 2025 | 11 y | 2 |
| Jonathan Francis Morrison | Plymouth, Ma | Apr 3, 2025 | 10 y | 2 |
| Jack Paul Bettle | Plymouth, Ma | Apr 10, 2025 | 13 y | 1 |
| Paul Michael Kittredge | Plymouth, Ma | Apr 10, 2025 | 13 y | 0 |
| Michael J Bagni | Plymouth, Ma | Jan 23, 2026 | 10 y | 0 |
| Colin Patrick Cronin | Plymouth, Ma | May 28, 2026 | 10 y | 2 |
| Katherine Patricia BakerCertified Financial Planner | Plymouth, Ma | May 28, 2026 | 11 y | 2 |
| Joshua Paul Santos | Plymouth, Ma | Jun 9, 2026 | 12 y | 0 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Left, latest
- Joshua Matthew Smith to Kelly Financial Services LLCSep 4, 2025 · RIA to RIA
- Joseph Arthur Anderson to Retirement Financial Group, LLCMar 19, 2025 · RIA to RIA
- Michael J Hatch to Kestra Advisory Services, LLCFeb 21, 2023 · RIA to affiliated broker-dealer or bank
- Ezekiel Waisel to Wealth Enhancement Advisory Services, LLCSep 30, 2022 · RIA to affiliated broker-dealer or bank
- Hudsen Walter Hagland to Afs Wealth Management LLCJun 27, 2022 · RIA to a state-registered adviser
- Bernard John Lynch to Fidelity Personal And Workplace AdvisorsAug 21, 2018 · RIA to affiliated broker-dealer or bank
Joined, latest
- Katherine Patricia Baker from PathstoneMay 28, 2026 · RIA to RIA
- Colin Patrick Cronin from Mayflower AdvisorsMay 28, 2026 · RIA to RIA
- Jack Paul Bettle from Fidelity Personal And Workplace AdvisorsApr 10, 2025 · Affiliated broker-dealer or bank to independent RIA
- Jonathan Francis Morrison from LPL Enterprise, LLCApr 3, 2025 · Other
- Alina Osokhovska from Crestwood AdvisorsMar 24, 2025 · RIA to RIA
- Zachary Scott Perkins from Eaton Vance ManagementJan 27, 2025 · Other
- Bradley Parillo from Florida Financial Advisors, LLCSep 24, 2024 · Affiliated broker-dealer or bank to independent RIA
- Aidan Vito Arone from Park Avenue Securities LLCJul 24, 2024 · Affiliated broker-dealer or bank to independent RIA
- Raphael Hanna from Wells Fargo AdvisorsNov 30, 2023 · Wirehouse to independent RIA
- Michael A Guthrie from Northwestern Mutual Investment Services,LLCOct 26, 2023 · Other
- Rafael Gregory Reyes from Rwa Wealth PartnersJul 18, 2023 · RIA to RIA
- Cameron Joseph Iarrobino from Twin Focus Capital Partners, LLCJul 14, 2023 · RIA to RIA
- Kyle Britton from Equitable Advisors, LLCOct 4, 2022 · Affiliated broker-dealer or bank to independent RIA
- Natalia C. Manning from Morgan StanleyMar 10, 2022 · Wirehouse to independent RIA
- Hudsen Walter Hagland from Fisher Financial Advisors LLCAug 31, 2021 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Global Financial Private Capital, Inc.Jul 5, 2016 · Sarasota, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Winslow Keith Ellis · Director/Membersince 12/2014 · owns less than 5%
- L.(Mi Only) Derek Gregoire · Vice President/Membersince 12/2014 · owns less than 5%
- Chapman Matthew Peck · President/Chief Compliance Officer/Membersince 12/2014 · owns less than 5%
Entity owners
- Shp Financial Holdco, LLC · Ownerdirect · owns 75% or more
- Shp Holding, LLC · Ownerdirect · owns 75% or more
- Gregoire & Associates, LLC · Owner/Memberindirect · owns 25% to 50% of Shp Holding, LLC
- Helicon Mtn Group, Inc · Owner/Memberindirect · owns 25% to 50% of Shp Holding, LLC
- Keith Ellis & Associates, LLC · Owner/Memberindirect · owns 25% to 50% of Shp Holding, LLC
Related persons
Schedule D 7.A
- Shp Financial, LLCreal estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Plymouth, Ma · principal | 32 | 4 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Woburn, MA5 employees
- Hyannis, MA3 employees
- Westborough,, MA2 employees
- Braintree, MA1 employees
- Marlborough, MA1 employees
What changed
consecutive filings, newest first
- Advisory employees · 29 to 32Feb 3, 2026 to Jun 1, 2026
- Employees · 49 to 52Feb 3, 2026 to Jun 1, 2026
- State-registered IARs · 29 to 32Feb 3, 2026 to Jun 1, 2026
- Accounts · 7,093 to 7,457Dec 24, 2025 to Jan 29, 2026
- Advisory employees · 27 to 29Dec 24, 2025 to Jan 29, 2026
- Charity clients · 2 to 1Dec 24, 2025 to Jan 29, 2026
- Corporate clients · 26 to 4Dec 24, 2025 to Jan 29, 2026
- HNW clients · 407 to 483Dec 24, 2025 to Jan 29, 2026
- Individual clients · 1,562 to 1,778Dec 24, 2025 to Jan 29, 2026
- Pension plan clients · 13 to 8Dec 24, 2025 to Jan 29, 2026
- Assets in custody · $136M to $166MDec 24, 2025 to Jan 29, 2026
- State-registered IARs · 27 to 29Dec 24, 2025 to Jan 29, 2026
- Discretionary RAUM · $1.4B to $1.8BDec 24, 2025 to Jan 29, 2026
- HNW RAUM · $873M to $1.1BDec 24, 2025 to Jan 29, 2026
- Individual RAUM · $519M to $662MDec 24, 2025 to Jan 29, 2026
- Non-discretionary RAUM · $100M to $122MDec 24, 2025 to Jan 29, 2026
- Pension RAUM · $25.3M to $16.3MDec 24, 2025 to Jan 29, 2026
- RAUM · $1.5B to $1.9BDec 24, 2025 to Jan 29, 2026
- Related adviser · false to trueDec 24, 2025 to Jan 29, 2026
- Related broker-dealer · false to trueDec 24, 2025 to Jan 29, 2026
- Advisory employees · 28 to 27Nov 3, 2025 to Dec 24, 2025
- Employees · 50 to 49Nov 3, 2025 to Dec 24, 2025
- State-registered IARs · 28 to 27Nov 3, 2025 to Dec 24, 2025
- Advisory employees · 29 to 28Aug 20, 2025 to Nov 3, 2025
- Employees · 51 to 50Aug 20, 2025 to Nov 3, 2025
- State-registered IARs · 29 to 28Aug 20, 2025 to Nov 3, 2025
- Accounts · 5,758 to 7,093Feb 10, 2025 to Apr 24, 2025
- Advisory employees · 27 to 29Feb 10, 2025 to Apr 24, 2025
- Corporate clients · 23 to 26Feb 10, 2025 to Apr 24, 2025
- HNW clients · 199 to 407Feb 10, 2025 to Apr 24, 2025
- Individual clients · 1,990 to 1,562Feb 10, 2025 to Apr 24, 2025
- Pension plan clients · 42 to 13Feb 10, 2025 to Apr 24, 2025
- Assets in custody · $70.2M to $136MFeb 10, 2025 to Apr 24, 2025
- Employees · 49 to 51Feb 10, 2025 to Apr 24, 2025
- Financial planning clients · 1-10 to 1-10Feb 10, 2025 to Apr 24, 2025
- State-registered IARs · 27 to 29Feb 10, 2025 to Apr 24, 2025
- Discretionary RAUM · $1.1B to $1.4BFeb 10, 2025 to Apr 24, 2025
- HNW RAUM · $401M to $873MFeb 10, 2025 to Apr 24, 2025
- Individual RAUM · $624M to $519MFeb 10, 2025 to Apr 24, 2025
- Non-discretionary RAUM · $42.7M to $100MFeb 10, 2025 to Apr 24, 2025
Signals
13 dated events
- Shp Wealth Management, Llc reported RAUM $1.9B, up 28% from $1.5B (2025-12-24 to 2026-01-29)Jan 29, 2026 · RAUM change · derived
- Joshua Matthew Smith left Shp Wealth Management, Llc for Kelly Financial Services Llc (registered 2025-12-19)Sep 4, 2025 · Advisor changed firm · fact
- Shp Wealth Management, Llc reported RAUM $1.5B, up 36% from $1.1B (2025-02-10 to 2025-04-24)Apr 24, 2025 · RAUM change · derived
- Joseph Arthur Anderson left Shp Wealth Management, Llc for Retirement Financial Group, Llc (registered 2025-03-19)Mar 19, 2025 · Advisor changed firm · fact
- Winslow Keith Ellis (Owner/Member) no longer on Schedule A of Shp Wealth Management, Llc (listed 2023-03-13, absent 2023-03-17)Mar 17, 2023 · Control person left · inference
- Michael J Hatch left Shp Wealth Management, Llc for Kestra Advisory Services, Llc (registered 2024-08-21)Feb 21, 2023 · Advisor changed firm · fact
- Ezekiel Waisel left Shp Wealth Management, Llc for Wealth Enhancement Advisory Services, Llc (registered 2022-10-18)Sep 30, 2022 · Advisor changed firm · fact
- Hudsen Walter Hagland left Shp Wealth Management, Llc for Afs Wealth Management Llc (registered 2022-11-10)Jun 27, 2022 · Advisor changed firm · fact
- Shp Wealth Management, Llc reported RAUM $879.8M, up 40% from $629.7M (2021-03-20 to 2022-03-04)Mar 4, 2022 · RAUM change · derived
- Shp Wealth Management, Llc reported RAUM $629.7M, up 39% from $454.5M (2021-03-12 to 2021-03-20)Mar 20, 2021 · RAUM change · derived
- Shp Wealth Management, Llc reported RAUM $454.5M, up 56% from $292.0M (2020-02-05 to 2020-02-19)Feb 19, 2020 · RAUM change · derived
- Shp Wealth Management, Llc reported RAUM $220.2M, up 88% from $117.4M (2017-08-15 to 2018-01-25)Jan 25, 2018 · RAUM change · derived
- Shp Wealth Management, Llc filed its initial SEC registration (Form ADV)Nov 9, 2016 · 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 phone
- 508-746-2400reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/SHP-FINANCIALreportedpublic record, Form ADV, Sep 17, 2026
- Website
- SHPFINANCIAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 508-746-2400reportedpublic record, Form ADV, Jul 8, 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
- $60.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026