SHUSTER ADVISORY GROUP, LLC
Adviser information for SHUSTER ADVISORY GROUP, LLC last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 11 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 4 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 713 | $6.2B |
| Non-Discretionary | 17 | $70.1M |
| Total | 730 | $6.3B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 41 | $17.9M |
| HNW Individuals | 92 | $538.1M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 53 | $710.8M |
| Charitable organizations | 1 | $211,579 |
| State or municipal gov entities | 85 | $4.9B |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 33 | $53.3M |
| Other | <5 | $15.9M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 2 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers)Publication of periodicals or newsletters |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-106929 |
|---|---|
| SEC ERA File Number | 801-106929 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 170233 |
| Legal Entity Identifier | None |
Principal Office
155 N. LAKE AVE.SUITE 500
PASADENA
CA
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: (626) 578-0816, Fax: (626) 792-7567
Websites
Chief Compliance Officer
JOANN PARRINO
MEMBER
155 N. LAKE AVE.
SUITE 500
PASADENA
CA
United States
Tel:
(626) 578-0816
Fax:
(626) 792-7567
J*******@*********M
(Full email address available in API data)
Regulatory Contact
MARK SHUSTER
MANAGING MEMBER
155 N. LAKE AVE.
SUITE 500
PASADENA
CA
United States
Tel:
(626) 578-0816
Fax:
(626) 792-7567
M*******@*********M
(Full email address available in API data)
Industry Affiliates
| KOBO RETIREMENT STRATEGIES | Other investment adviser, including financial planners |
| KOBO WEALTH CONSERVANCY | Other investment adviser, including financial planners |
| SHUSTER FINANCIAL & INSURANCE SERVICES, INC., | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SHUSTER, MARK, ALLAN | Individual | – | MANAGING MEMBER | 02/2014 | > 75% |
| PARRINO, JOANN | Individual | – | MEMBER/CHIEF COMPLIANCE OFFICER | 10/2016 | < 5% |
| BORDEN, CRISTOPHER, JON | Individual | – | CHIEF INVESTMENT OFFICER | 04/2016 | < 5% |