SHUTTLEWORTH & COMPANY
Adviser information for SHUTTLEWORTH & COMPANY last updated from Form ADV on March 26th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Ohio, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 198 | $137.9M |
| Non-Discretionary | 0 | $0 |
| Total | 198 | $137.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 141 | $34.4M |
| HNW Individuals | 51 | $94.9M |
| 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 | 3 | $5.6M |
| Charitable organizations | <5 | $2.8M |
| 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 | <5 | $151,864 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-120895 |
|---|---|
| SEC ERA File Number | 801-120895 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 121382 |
| Legal Entity Identifier | None |
Principal Office
3807 ATTUCKS DRIVEPOWELL
OH
United States
Monday - Friday, 9:00 A.M. - 5:00 P.M.
Tel: 614-760-7738, Fax: 614-760-3736
Websites
Chief Compliance Officer
DAVID L. SHUTTLEWORTH
PRESIDENT & CHIEF COMPLIANCE OFFICER
3807 ATTUCKS DRIVE
POWELL
OH
United States
Tel:
614-760-7738
Fax:
614-760-3736
D***@***************M
(Full email address available in API data)
Regulatory Contact
ERIN MAYNARD
PARTNER/WEALTH MANAGER
3807 ATTUCKS DRIVE
POWELL
OH
United States
Tel:
614-760-7738
Fax:
614-760-3736
E***@***************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SHUTTLEWORTH, DAVID, LEE | Individual | – | PRESIDENT & CHIEF COMPLIANCE OFFICER | 03/1999 | < 5% |
| DAVID L. SHUTTLEWORTH TRUSTEE, DAVID L. SHUTTLEWORTH AMENDED AND RESTATED TRUST U/A/D 7/30/2015 | Domestic Entity | – | TRUST | 12/2001 | 25-50% |
| SHUTTLEWORTH, DAVID, LEE | Individual | DAVID L. SHUTTLEWORTH TRUSTEE, DAVID L. SHUTTLEWORTH AMENDED AND RESTATED TRUST U/A/D 7/30/2015 | TRUSTEE | 12/2001 | > 75% |
| MAYNARD, ERIN, M | Individual | – | SHAREHOLDER | 12/2021 | 25-50% |
| FREIBURGER, MATTHEW, RAYMOND | Individual | – | SHAREHOLDER | 12/2021 | 25-50% |