SHIELD WEALTH ADVISORS
SHIELD WEALTH ADVISORS, LLC. Legal Name
Adviser information for SHIELD WEALTH ADVISORS last updated from Form ADV on February 2nd, 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 | New York, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 268 | $50.9M |
| Non-Discretionary | 0 | $0 |
| Total | 268 | $50.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 96 | $33.0M |
| HNW Individuals | 13 | $17.8M |
| 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 | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 7 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly charges |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-119094 |
|---|---|
| SEC ERA File Number | 801-119094 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 309538 |
| Legal Entity Identifier | None |
Principal Office
2809 WEHRLE DRIVESUITE 9
WILLIAMSVILLE
NY
United States
Monday - Friday, 9:00 TO 5:00
Tel: 833-457-1040, Fax: None
Websites
Chief Compliance Officer
DAWN M. ROBINSON
2809 WEHRLE DRIVE
SUITE 9
WILLIAMSVILLE
NY
United States
Tel:
833-457-1040
R**********@************M
(Full email address available in API data)
Regulatory Contact
JOHN W. HABERSTRO
PRESIDENT
2809 WEHRLE DRIVE
SUITE 9
WILLIAMSVILLE
NY
United States
Tel:
833-457-1040
J*********@************M
(Full email address available in API data)
Industry Affiliates
| ROBINSON TAX SERVICE | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HABERSTRO, JOHN, WILLIAM | Individual | – | PRESIDENT | 06/2020 | > 75% |
| Robinson, Dawn, M | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2020 | < 5% |