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•••• C•••••• M••••••••• L••
Latest filing Mar 28, 2025
First filing on the tape Aug 29, 2022 · 6 filings
SEC status approved since Sep 27, 2022
RAUM
$165M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$165M as of Mar 28, 2025
Mar 31, 2023$232M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2025
Mar 31, 20230 then
Employees (5.A)11 as of Mar 28, 2025
Mar 31, 202312 then
Private funds3 as of Mar 28, 2025
Mar 31, 20233 then
RAUM +3.8% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2025; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $54.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$165M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
12 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••• C•••••• Q• L•• | Venture Capital Fund | $89.5M | 192 | Aug 29, 2022 |
| S•••• C•••••• B•••••• L•• | Venture Capital Fund | $61.6M | 99 | Aug 29, 2022 |
| S•••• 1•••• S•• L••no longer reported | Venture Capital Fund | $7.8M | 30 | Aug 29, 2022 |
| S•••• C•••••• A• L•• | Venture Capital Fund | $7.5M | 58 | Aug 29, 2022 |
| S•••• T••••• S•• L••no longer reported | Venture Capital Fund | $7.4M | 23 | Aug 29, 2022 |
| S•••• G• S••••• S•• L••no longer reported | Venture Capital Fund | $6.8M | 37 | Aug 29, 2022 |
| S•••• C•••••• L••no longer reported | Venture Capital Fund | $6.0M | 16 | Aug 29, 2022 |
| S•••• Z•••• S•• L••no longer reported | Venture Capital Fund | $3.5M | 17 | Aug 29, 2022 |
| S•••• W••••• S•• L••no longer reported | Venture Capital Fund | $2.7M | 35 | Aug 29, 2022 |
| S•••• P•••• S•• L••no longer reported | Venture Capital Fund | $1.7M | 8 | Aug 29, 2022 |
| L••••••••• S•• L••no longer reported | Venture Capital Fund | $1.5M | 5 | Aug 29, 2022 |
| N••••• S••• S•• L••no longer reported | Venture Capital Fund | $1.3M | 6 | Aug 29, 2022 |
Owners and control persons
Schedule A and B, latest filing
- G••• Y•••• N•• · Managing Directorcontrolsince 12/2021 · owns less than 5%
- S••••• B••••••• H••••• · Chief Compliance Officercontrolsince 03/2023 · owns less than 5%
- G••• Y•••• N•• · Managercontrolsince 12/2021 · owns 75% or more of S•••• C•••••• A••••••• H••••••• L••
Entity owners
- S•••• C•••••• A••••••• H••••••• L•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- S••• H••• A••••••• P• L••pooled vehicle sponsorn
- S•••• C•••••• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 8 to 6Apr 19, 2024 to Mar 28, 2025
- Employees · 13 to 11Apr 19, 2024 to Mar 28, 2025
- Financial planning clients · unset to Apr 19, 2024 to Mar 28, 2025
- HQ city · SAN JUAN to IRVINEApr 19, 2024 to Mar 28, 2025
- HQ state · PR to CAApr 19, 2024 to Mar 28, 2025
- Discretionary RAUM · $159M to $165MApr 19, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $159M to $165MApr 19, 2024 to Mar 28, 2025
- RAUM · $159M to $165MApr 19, 2024 to Mar 28, 2025
- Advisory employees · 6 to 8May 2, 2023 to Mar 28, 2024
- Employees · 12 to 13May 2, 2023 to Mar 28, 2024
- Discretionary RAUM · $228M to $159MMay 2, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $228M to $159MMay 2, 2023 to Mar 28, 2024
- RAUM · $228M to $159MMay 2, 2023 to Mar 28, 2024
- Discretionary RAUM · $232M to $228MMar 31, 2023 to May 2, 2023
- Pooled vehicle RAUM · $232M to $228MMar 31, 2023 to May 2, 2023
- RAUM · $232M to $228MMar 31, 2023 to May 2, 2023
- Accounts · 12 to 3Aug 29, 2022 to Mar 31, 2023
- Pooled vehicle clients · 12 to 3Aug 29, 2022 to Mar 31, 2023
- Employees · 8 to 12Aug 29, 2022 to Mar 31, 2023
- Private funds · 12 to 3Aug 29, 2022 to Mar 31, 2023
- Discretionary RAUM · $191M to $232MAug 29, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $191M to $232MAug 29, 2022 to Mar 31, 2023
- RAUM · $191M to $232MAug 29, 2022 to Mar 31, 2023
Signals
3 dated events
- H••••• B•••••• S•••• (Chief Compliance Officer) appeared on Schedule A of S•••• C•••••• M••••••••• L••Mar 31, 2023 · Control person joined · fact
- Adnan Assiraj (Chief Compliance Officer / Chief Financial Officer) no longer on Schedule A of S•••• C•••••• M••••••••• L•• (listed 2022-08-29, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- S•••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Aug 29, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•••• C•••••• M••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/shima-capitalreportedpublic record, Form ADV, Sep 18, 2026
- Website
- shima.capitalreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 808-301-2963reportedpublic record, Form ADV, Mar 28, 2025
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
- Asset manager (funds and pooled vehicles)deriveda 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