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••••••• S••••• A•••••••
Legal name S••••••• S••••• A••••••• L••
Latest filing Mar 10, 2026
First filing on the tape Mar 11, 2025 · 2 filings
SEC status approved since Apr 10, 2025
RAUM
$126M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$126M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$63.1M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$126M as of Mar 10, 2026
Mar 11, 2025$108M then
HNW client RAUM$122M as of Mar 10, 2026
Mar 11, 2025$104M then
State-registered IARs (5.B.3)2 as of Mar 10, 2026
Mar 11, 20252 then
Employees (5.A)2 as of Mar 10, 2026
Mar 11, 20252 then
Private funds: no history
RAUM +17% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 10, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $63.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 25derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $693,653derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.3%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 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$122M97%
- Individuals$3.8M3.0%
- Corporations and businesses$62,1920.0%
- Individual clients
- 11reported
- HNW clients
- 38reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 182reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• P•••••• S••••••••• | Larkspur, Ca | Nov 13, 2019 | 34 y | 5 |
| K•••••••• J••• M•••• | Larkspur, Ca | Sep 21, 2024 | 17 y | 0 |
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
none on the tape
Joined, latest
- A••• P•••••• S••••••••• from J••••• • C••••••• L••Nov 13, 2019 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••••• A•••• P•••••• · Managing Member/Chief Compliance Officercontrolsince 09/2019 · 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 |
|---|---|---|---|---|---|
| Larkspur, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 172 to 182Mar 11, 2025 to Mar 10, 2026
- HNW clients · 36 to 38Mar 11, 2025 to Mar 10, 2026
- Discretionary RAUM · $105M to $126MMar 11, 2025 to Mar 10, 2026
- HNW RAUM · $104M to $122MMar 11, 2025 to Mar 10, 2026
- Individual RAUM · $3.6M to $3.8MMar 11, 2025 to Mar 10, 2026
- Non-discretionary RAUM · $2.3M to $0Mar 11, 2025 to Mar 10, 2026
- RAUM · $108M to $126MMar 11, 2025 to Mar 10, 2026
Signals
No event on the tape.
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
- 415-780-8758reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/shepherd-street-advisors-llc/?viewAsMemreportedpublic record, Form ADV, Sep 18, 2026
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415-780-8758reportedpublic record, Form ADV, Mar 10, 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
- $63.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026