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
Ferguson Shapiro LLC
Latest filing May 20, 2026
First filing on the tape Jun 8, 2018 · 30 filings
SEC status approved since Jul 6, 2018
RAUM
$415M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$411M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$69.2M
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$415M as of May 20, 2026
Mar 26, 2019$153M then
HNW client RAUM$303M as of May 20, 2026
Mar 26, 2019$109M then
State-registered IARs (5.B.3)5 as of May 20, 2026
Mar 26, 20190 then
Employees (5.A)9 as of May 20, 2026
Mar 26, 20195 then
Private funds: no history
RAUM +15% over the last fiscal year+13% a year over threeIARs 5 to 5
Practice profile
derived from the filing of May 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
- $69.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $416,863derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived3 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
- -7.3%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Wrap fee program
- $462,283reportedItem 5.I
- Custody
- $118M, 133 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)
- 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$303M73%
- Individuals$108M26%
- Corporations and businesses$2.9M0.7%
- Charitable organizations$1.0M0.3%
- Individual clients
- 193reported
- HNW clients
- 139reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 996reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $118M for 133 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Kevin Michael FergusonCertified Financial Planner | Decatur, Ga | Jul 23, 2018 | 30 y | 1 |
| James Boswell | Decatur, Ga | Jan 8, 2020 | 10 y | 1 |
| Maury Alan ShapiroChartered Financial Consultant | Decatur, Ga | Jan 10, 2020 | 33 y | 1 |
| Sarah Jane WyldeCertified Financial Planner | Decatur, Ga | Aug 24, 2020 | 11 y | 0 |
| Ryan James FlorenceCertified Financial Planner | Decatur, Ga | Mar 22, 2022 | 19 y | 2 |
| Karyn Mcmenamin CravensCertified Financial Planner | Lakewood Ranch, Fl | May 12, 2023 | 13 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 17% of current headcount1 left over 36 months
Left, latest
- Phillip Nelson to Persium Advisors, LLCMay 1, 2026 · RIA to RIA
Joined, latest
- Phillip Nelson from Meadow Creek Wealth Advisors, LLCApr 22, 2024 · RIA to RIA
- Ryan James Florence from Kiker Wealth Management, LLCMar 22, 2022 · RIA to RIA
- Maury Alan Shapiro from Equitable Advisors, LLCJan 10, 2020 · Affiliated broker-dealer or bank to independent RIA
- James Boswell from Equitable Advisors, LLCJan 8, 2020 · Affiliated broker-dealer or bank to independent RIA
- Kevin Michael Ferguson from Equitable Advisors, LLCJul 23, 2018 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Equitable Advisors, LLCJul 26, 2018 · Atlanta, Ga
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Michael Kevin Ferguson · Principal/Chief Compliance Officercontrolsince 07/2018 · owns 75% or more
- Alan Maury Shapiro · Partnercontrolsince 01/2019 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Decatur, Ga · principal | 5 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Alpharetta, GA1 employees
- Marietta, GA1 employees
What changed
consecutive filings, newest first
- Accounts · 968 to 996Aug 28, 2025 to Mar 25, 2026
- Advisory employees · 3 to 5Aug 28, 2025 to Mar 25, 2026
- HNW clients · 135 to 139Aug 28, 2025 to Mar 25, 2026
- Individual clients · 223 to 193Aug 28, 2025 to Mar 25, 2026
- Assets in custody · $126M to $118MAug 28, 2025 to Mar 25, 2026
- Employees · 10 to 9Aug 28, 2025 to Mar 25, 2026
- Discretionary RAUM · $360M to $415MAug 28, 2025 to Mar 25, 2026
- HNW RAUM · $265M to $303MAug 28, 2025 to Mar 25, 2026
- Individual RAUM · $93.1M to $108MAug 28, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $1.8M to $0Aug 28, 2025 to Mar 25, 2026
- RAUM · $362M to $415MAug 28, 2025 to Mar 25, 2026
- Financial planning clients · 101-250 to 101-250Apr 22, 2025 to May 6, 2025
- Accounts · 893 to 968Mar 12, 2024 to Apr 22, 2025
- HNW clients · 117 to 135Mar 12, 2024 to Apr 22, 2025
- Individual clients · 227 to 223Mar 12, 2024 to Apr 22, 2025
- Assets in custody · $110M to $126MMar 12, 2024 to Apr 22, 2025
- Financial planning clients · 0 to 101-250Mar 12, 2024 to Apr 22, 2025
- Discretionary RAUM · $326M to $360MMar 12, 2024 to Apr 22, 2025
- HNW RAUM · $240M to $265MMar 12, 2024 to Apr 22, 2025
- Individual RAUM · $83.2M to $93.1MMar 12, 2024 to Apr 22, 2025
- Non-discretionary RAUM · $357,441 to $1.8MMar 12, 2024 to Apr 22, 2025
- RAUM · $327M to $362MMar 12, 2024 to Apr 22, 2025
- Accounts · 826 to 893Sep 1, 2023 to Mar 11, 2024
- HNW clients · 110 to 117Sep 1, 2023 to Mar 11, 2024
- Individual clients · 204 to 227Sep 1, 2023 to Mar 11, 2024
- Assets in custody · $85.7M to $110MSep 1, 2023 to Mar 11, 2024
- Employees · 9 to 10Sep 1, 2023 to Mar 11, 2024
- State-registered IARs · 3 to 5Sep 1, 2023 to Mar 11, 2024
- Other offices · 1 to 2Sep 1, 2023 to Mar 11, 2024
- Discretionary RAUM · $289M to $326MSep 1, 2023 to Mar 11, 2024
- HNW RAUM · $225M to $240MSep 1, 2023 to Mar 11, 2024
- Individual RAUM · $62.4M to $83.2MSep 1, 2023 to Mar 11, 2024
- Non-discretionary RAUM · $109,731 to $357,441Sep 1, 2023 to Mar 11, 2024
- RAUM · $289M to $327MSep 1, 2023 to Mar 11, 2024
- Accounts · 576 to 826Apr 7, 2022 to Mar 9, 2023
- HNW clients · 85 to 110Apr 7, 2022 to Mar 9, 2023
- Individual clients · 120 to 204Apr 7, 2022 to Mar 9, 2023
- Assets in custody · $67.9M to $85.7MApr 7, 2022 to Mar 9, 2023
- Employees · 4 to 9Apr 7, 2022 to Mar 9, 2023
- State-registered IARs · 4 to 3Apr 7, 2022 to Mar 9, 2023
Signals
3 dated events
- Phillip Nelson left Ferguson Shapiro Llc for Persium Advisors, Llc (registered 2026-06-09)May 1, 2026 · Advisor changed firm · fact
- Alan Maury Shapiro (Partner) appeared on Schedule A of Ferguson Shapiro LlcMar 26, 2019 · Control person joined · fact
- Shiloh Advisors filed its initial SEC registration (Form ADV)Jun 8, 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.
How to reach
public business contact points only, each with its source
- Business email
- bethany@fergusonshapiro.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- kelsey@fergusonshapiro.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- lili@fergusonshapiro.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- patrice@fergusonshapiro.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 404-567-5998reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 404-567-6997reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 404-567-6998reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- fergusonshapiro.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (404) 567-6771reportedpublic record, Form ADV, May 20, 2026
- Contact form
- fergusonshapiro.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- fergusonshapiro.com/our-teamreportedpublished 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
- $69.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026