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••••••• I••••••••• M••••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Feb 18, 2022 · 14 filings
SEC status approved since Nov 25, 2022
RAUM
$210M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
88%
$185M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$69.9M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$210M as of Mar 24, 2026
Feb 1, 2023$145M then
HNW client RAUM$148M as of Mar 24, 2026
Feb 1, 2023$13.0M then
State-registered IARs (5.B.3)3 as of Mar 24, 2026
Feb 1, 20230 then
Employees (5.A)4 as of Mar 24, 2026
Feb 1, 20233 then
Private funds: no history
RAUM +33% over the last fiscal year+13% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 24, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $69.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 44derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +33%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +21%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- 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$148M71%
- Individuals$36.7M18%
- Corporations and businesses$24.8M12%
- Individual clients
- 40reported
- HNW clients
- 93reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 178reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=1.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••••• E••••••••• | Coral Gables, Fl | Sep 25, 2023 | 14 y | 0 |
| I••• M•••• T••••• B••••••••• | Montevideo | Mar 4, 2025 | 23 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
- R•••• S••• from I••••• A•••••••Feb 12, 2024 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••• R•••• · Chief Compliance Officercontrolsince 06/2022 · owns less than 5%
- S•••••••• S••••••••• L••• · Owner And Chief Executive Officercontrolsince 09/2008 · owns 75% or more
Related persons
Schedule D 7.A
- I••••• A•••••••investment advisernRAUM $265M
- S•••••••• S••••••••• L••broker-dealern
- S••••••• S•••investment advisern
Advisers that list S••••••• I••••••••• M••••••••• L•• as a related person
- 318958 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Coral Gables, Fl · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 146 to 178Mar 20, 2025 to Mar 24, 2026
- Advisory employees · 2 to 3Mar 20, 2025 to Mar 24, 2026
- Corporate clients · 0 to 1Mar 20, 2025 to Mar 24, 2026
- HNW clients · 42 to 93Mar 20, 2025 to Mar 24, 2026
- Individual clients · 68 to 40Mar 20, 2025 to Mar 24, 2026
- Discretionary RAUM · $157M to $210MMar 20, 2025 to Mar 24, 2026
- HNW RAUM · $132M to $148MMar 20, 2025 to Mar 24, 2026
- Individual RAUM · $25.4M to $36.7MMar 20, 2025 to Mar 24, 2026
- RAUM · $157M to $210MMar 20, 2025 to Mar 24, 2026
- Accounts · 135 to 146Jun 24, 2024 to Mar 20, 2025
- Advisory employees · 1 to 2Jun 24, 2024 to Mar 20, 2025
- HNW clients · 39 to 42Jun 24, 2024 to Mar 20, 2025
- Individual clients · 63 to 68Jun 24, 2024 to Mar 20, 2025
- Assets in custody · 182350.0 to unsetJun 24, 2024 to Mar 20, 2025
- Custody of client assets · true to falseJun 24, 2024 to Mar 20, 2025
- Employees · 3 to 4Jun 24, 2024 to Mar 20, 2025
- Financial planning clients · unset to Jun 24, 2024 to Mar 20, 2025
- State-registered IARs · 2 to 3Jun 24, 2024 to Mar 20, 2025
- Discretionary RAUM · $139M to $157MJun 24, 2024 to Mar 20, 2025
- HNW RAUM · $116M to $132MJun 24, 2024 to Mar 20, 2025
- Individual RAUM · $23.0M to $25.4MJun 24, 2024 to Mar 20, 2025
- RAUM · $139M to $157MJun 24, 2024 to Mar 20, 2025
- Related broker-dealer · false to trueMar 18, 2024 to Mar 21, 2024
- Accounts · 133 to 135Apr 3, 2023 to Mar 18, 2024
- BD registered reps · 0 to 1Apr 3, 2023 to Mar 18, 2024
- HNW clients · 35 to 39Apr 3, 2023 to Mar 18, 2024
- Individual clients · 54 to 63Apr 3, 2023 to Mar 18, 2024
- Assets in custody · $246,285 to $182,350Apr 3, 2023 to Mar 18, 2024
- State-registered IARs · 0 to 2Apr 3, 2023 to Mar 18, 2024
- Discretionary RAUM · $129M to $139MApr 3, 2023 to Mar 18, 2024
- HNW RAUM · $132M to $116MApr 3, 2023 to Mar 18, 2024
- Individual RAUM · $13.0M to $23.0MApr 3, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $16.0M to $0Apr 3, 2023 to Mar 18, 2024
- RAUM · $145M to $139MApr 3, 2023 to Mar 18, 2024
- HNW RAUM · $13.0M to $132MFeb 1, 2023 to Feb 3, 2023
- Individual RAUM · $132M to $13.0MFeb 1, 2023 to Feb 3, 2023
- Accounts · 19 to 133Nov 25, 2022 to Feb 1, 2023
- HNW clients · 18 to 35Nov 25, 2022 to Feb 1, 2023
- Individual clients · 1 to 54Nov 25, 2022 to Feb 1, 2023
- Assets in custody · unset to 246285.0Nov 25, 2022 to Feb 1, 2023
Signals
2 dated events
- R•••• S••• (Chief Compliance Officer) appeared on Schedule A of S••••••• I••••••••• M••••••••• L••Jun 23, 2022 · Control person joined · fact
- S••••••• W••••• filed its initial SEC registration (Form ADV)Feb 18, 2022 · 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
- info@shellmaninvest.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 786-655-6180reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 789-441-5282reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 789-655-6180reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- shellmaninvest.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (786) 655-6180reportedpublic record, Form ADV, Mar 24, 2026
- Team page
- shellmaninvest.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $69.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026