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

Sheridan Road Advisors, LLC, A Hub International Company

Former SEC-registered adviserNorthbrook, IllinoisCRD 293807SEC 801-113426IAPD
Legal name Sheridan Road Advisors, LLC
Latest filing Apr 18, 2022
First filing on the tape May 14, 2018 · 41 filings
RAUM
$12B
reported, Item 5.F
Discretionary
6.8%
of RAUM
Private clients
1.0%
$125M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
16
16 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$12B as of Mar 30, 2022
Mar 18, 2019$447M then
HNW client RAUM$72.4M as of Mar 30, 2022
Mar 18, 2019$18.1M then
State-registered IARs (5.B.3)16 as of Mar 30, 2022
Mar 18, 201925 then
Employees (5.A)16 as of Mar 30, 2022
Mar 18, 201937 then
Private funds: no history
RAUM +15% over the last fiscal year+200% a year over threeIARs 16 to 16offices 8 to 4
Practice profile
derived from the filing of Apr 18, 2022; every figure names its basis
RAUM per advisor
$753MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
40derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.8MderivedHNW RAUM over HNW clients
Average account
$13.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
6.8%derivedof RAUM
Institutional
99%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.2derived5 offices incl. principal (1.F.5)
RAUM growth, one year
+15%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-48%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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
  • Pension and profit-sharing plans$12B99%
  • High-net-worth individuals$72.4M0.6%
  • Individuals$52.8M0.4%
Individual clients
616reported
HNW clients
19reported
Pension plan clients
247reported
Charitable clients
0reported
Accounts
882reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Left, latest
Joined, 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
  • Karen Campbell · Coo Sheridan Road Advisors, LLC, A Hub Companycontrol
    since 12/2018 · owns less than 5%
  • Fredrick Joseph Denoyior · President, Hub Retirement And Private Wealthcontrol
    since 02/2021 · owns less than 5%
  • Marie Elisabeth Mays · Chief Compliance Officercontrol
    since 09/2019 · owns less than 5%
  • Adam Sokolic · Vice President, Coo, Hub Retirement And Private Wealthcontrol
    since 01/2020 · owns less than 5%
  • Trevor James Oshaughnessy · President, Sheridan Road Advisors, LLC, A Hub Company
    since 12/2018 · owns less than 5%
Entity owners
  • Hub International Limited · Sole Shareholder
    direct · owns 75% or more
  • Hockey Intermediate Inc. · Shareholder
    indirect · owns 75% or more of Hub International Limited
  • Hockey Investments L.P. · Limited Partner
    indirect · owns 50% to 75% of Hockey Parent Holdings L.P.
  • Hockey Investments L.P. · Managing Member
    indirect · owns 75% or more of Hockey Parent Holdings Gp, LLC
  • Hockey Parent Holdings Gp, LLC · General Partner
    indirect · owns F of Hockey Parent Holdings L.P.
  • Hockey Parent Holdings L.P. · Shareholder
    indirect · owns 75% or more of Hockey Parent Inc.
  • Hockey Parent Inc. · Shareholder
    indirect · owns 75% or more of Hockey Intermediate Inc.
Related persons
Schedule D 7.A
Advisers that list Sheridan Road Advisors, LLC, A Hub International Company as a related person
Offices
Schedule D 1.F, the 25 largest
  • Northbrook, IL11 employees
  • Milwaukee, WI4 employees
  • Cincinnati, OH2 employees
  • Greenwood Village, CO1 employees
What changed
consecutive filings, newest first
  • Other offices · 8 to 7
    Apr 13, 2022 to Apr 18, 2022
  • Other offices · 7 to 4
    Apr 18, 2022 to Apr 18, 2022
  • Accounts · 1,435 to 882
    Mar 28, 2022 to Mar 30, 2022
  • HNW clients · 78 to 19
    Mar 28, 2022 to Mar 30, 2022
  • Individual clients · 1,137 to 616
    Mar 28, 2022 to Mar 30, 2022
  • Pension plan clients · 220 to 247
    Mar 28, 2022 to Mar 30, 2022
  • Discretionary RAUM · $984M to $822M
    Mar 28, 2022 to Mar 30, 2022
  • HNW RAUM · $151M to $72.4M
    Mar 28, 2022 to Mar 30, 2022
  • Individual RAUM · $143M to $52.8M
    Mar 28, 2022 to Mar 30, 2022
  • Non-discretionary RAUM · $9.5B to $11B
    Mar 28, 2022 to Mar 30, 2022
  • Pension RAUM · $10B to $12B
    Mar 28, 2022 to Mar 30, 2022
  • RAUM · $11B to $12B
    Mar 28, 2022 to Mar 30, 2022
  • Accounts · 1,503 to 1,435
    Mar 16, 2021 to Mar 31, 2021
  • Advisory employees · 21 to 16
    Mar 16, 2021 to Mar 31, 2021
  • BD registered reps · 21 to 15
    Mar 16, 2021 to Mar 31, 2021
  • Business name · SHERIDAN ROAD to SHERIDAN ROAD ADVISORS, LLC, A HUB INTERNATIONAL COMPANY
    Mar 16, 2021 to Mar 31, 2021
  • HNW clients · 32 to 78
    Mar 16, 2021 to Mar 31, 2021
  • Individual clients · 1,218 to 1,137
    Mar 16, 2021 to Mar 31, 2021
  • Pension plan clients · 253 to 220
    Mar 16, 2021 to Mar 31, 2021
  • Employees · 33 to 16
    Mar 16, 2021 to Mar 31, 2021
  • Insurance-licensed employees · 22 to 1
    Mar 16, 2021 to Mar 31, 2021
  • State-registered IARs · 21 to 16
    Mar 16, 2021 to Mar 31, 2021
  • Discretionary RAUM · $741M to $984M
    Mar 16, 2021 to Mar 31, 2021
  • HNW RAUM · $96.9M to $151M
    Mar 16, 2021 to Mar 31, 2021
  • Individual RAUM · $257M to $143M
    Mar 16, 2021 to Mar 31, 2021
  • Non-discretionary RAUM · $8.6B to $9.5B
    Mar 16, 2021 to Mar 31, 2021
  • Pension RAUM · $8.9B to $10B
    Mar 16, 2021 to Mar 31, 2021
  • RAUM · $9.3B to $11B
    Mar 16, 2021 to Mar 31, 2021
  • Advisory employees · 22 to 21
    Mar 29, 2020 to Jun 30, 2020
  • Employees · 34 to 33
    Mar 29, 2020 to Jun 30, 2020
  • State-registered IARs · 22 to 21
    Mar 29, 2020 to Jun 30, 2020
  • Accounts · 1,405 to 1,503
    Jan 24, 2020 to Mar 29, 2020
  • HNW clients · 39 to 32
    Jan 24, 2020 to Mar 29, 2020
  • Individual clients · 1,120 to 1,218
    Jan 24, 2020 to Mar 29, 2020
  • Pension plan clients · 142 to 253
    Jan 24, 2020 to Mar 29, 2020
  • Financial planning clients · 1-10 to 11-25
    Jan 24, 2020 to Mar 29, 2020
  • Discretionary RAUM · $361M to $741M
    Jan 24, 2020 to Mar 29, 2020
  • HNW RAUM · $114M to $96.9M
    Jan 24, 2020 to Mar 29, 2020
  • Individual RAUM · $168M to $257M
    Jan 24, 2020 to Mar 29, 2020
  • Non-discretionary RAUM · $2.5B to $8.6B
    Jan 24, 2020 to Mar 29, 2020
Signals
19 dated events
  • Justin Douglas Fisk left Sheridan Road Advisors, Llc, A Hub International Company for Hub International Investment Services Inc. (registered 2020-04-08)
    Oct 25, 2022 · Advisor changed firm · fact
  • Brian Lynch Collins left Sheridan Road Advisors, Llc, A Hub International Company for Hub International Investment Services Inc. (registered 2022-06-27)
    Oct 25, 2022 · Advisor changed firm · fact
  • 2 advisors left Sheridan Road Advisors, LLC, A Hub International Company (Northbrook, IL) for Hub International Investment Services Inc. on the same day
    Oct 25, 2022 · Team lift-out · derived
  • Sheridan Road Advisors, LLC, A Hub International Company's advisors moved to Global Retirement Partners LLC (Northbrook, IL): 11 of 14 registered, within 14 days
    Oct 11, 2022 · Firm absorbed (people side) · derived
  • Eric Dennis Boldger left Sheridan Road Advisors, Llc, A Hub International Company for Independent Financial Partners (registered 2022-07-01)
    Jul 7, 2022 · Advisor changed firm · fact
  • Matthew J Bruce left Sheridan Road Advisors, Llc, A Hub International Company for Independent Financial Partners (registered 2022-06-01)
    Jun 24, 2022 · Advisor changed firm · fact
  • 2 advisors left Sheridan Road Advisors, LLC, A Hub International Company (Northbrook, IL) for Independent Financial Partners within 13 days
    Jun 24, 2022 · Team lift-out · derived
  • Kathleen A Dalton left Sheridan Road Advisors, Llc, A Hub International Company for Stancorp Investment Advisers, Inc. (registered 2022-04-05)
    Feb 23, 2022 · Advisor changed firm · fact
  • Fredrick Joseph Denoyior (President, Hub Retirement And Private Wealth) appeared on Schedule A of Sheridan Road Advisors, Llc, A Hub International Company
    Mar 16, 2021 · Control person joined · fact
  • Karen Campbell (Coo Sheridan Road Advisors, Llc, A Hub Company) appeared on Schedule A of Sheridan Road Advisors, Llc, A Hub International Company
    Jul 24, 2020 · Control person joined · fact
  • Sheridan Road Advisors, Llc, A Hub International Company reported RAUM $9.3B, up 225% from $2.9B (2020-01-24 to 2020-03-29)
    Mar 29, 2020 · RAUM change · derived
  • Adam Sokolic (Vice President) appeared on Schedule A of Sheridan Road Advisors, Llc, A Hub International Company
    Jan 9, 2020 · Control person joined · fact
  • Marie Elisabeth Mays (Chief Compliance Officer) appeared on Schedule A of Sheridan Road Advisors, Llc, A Hub International Company
    Sep 19, 2019 · Control person joined · fact
  • Shaw Kimberly Elliott (General Counsel & Chief Compliance Officer) no longer on Schedule A of Sheridan Road Advisors, Llc, A Hub International Company (listed 2019-09-12, absent 2019-09-19)
    Sep 19, 2019 · Control person left · inference
  • Sheridan Road Advisors, Llc, A Hub International Company reported RAUM $2.9B, up 540% from $447.2M (2019-03-18 to 2019-04-30)
    Apr 30, 2019 · RAUM change · derived
  • Sheridan Road Advisors, Llc, A Hub International Company reported RAUM $447.2M, up 120% from $203.3M (2019-02-20 to 2019-03-18)
    Mar 18, 2019 · RAUM change · derived
  • Rees Daniel Bryant (Chief Executive Officer) no longer on Schedule A of Sheridan Road Advisors, Llc, A Hub International Company (listed 2019-01-10, absent 2019-01-14)
    Jan 14, 2019 · Control person left · inference
  • Abe Christopher Karam (Chief Investment Officer) no longer on Schedule A of Sheridan Road Advisors, Llc, A Hub International Company (listed 2019-01-10, absent 2019-01-14)
    Jan 14, 2019 · Control person left · inference
  • Sheridan Road Financial, Llc filed its initial SEC registration (Form ADV)
    May 14, 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