SHOPE ADVISORS GROUP
SHOPE FINANCIAL PLANNING, INC. Legal Name
Adviser information for SHOPE ADVISORS GROUP last updated from Form ADV on February 13th, 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 | New York, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 83 | $50.5M |
| Total | 83 | $50.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 66 | $26.1M |
| HNW Individuals | 17 | $24.4M |
| 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 | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planning |
|---|---|
| Compensation | % of AUMHourly charges |
| Other Business Activities | Registered representative of a broker-dealer |
Identifiers
| SEC RIA File Number | 801-123407 |
|---|---|
| SEC ERA File Number | 801-123407 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 144056 |
| Legal Entity Identifier | None |
Principal Office
SHOPE ADVISORS GROUP5014 W GENESEE ST
CAMILLUS
NY
United States
Monday - Friday, 8:30 AM - 4:00 PM
Tel: 315-701-5857, Fax: 315-701-5928
Chief Compliance Officer
JAMES R. SHOPE III
PRESIDENT
5015 W. GENESEE STREET
CAMILLUS
NY
United States
Tel:
315-701-5857
Fax:
315-701-5928
S**@***************M
(Full email address available in API data)
Regulatory Contact
MICHELLE L SHOPE
COMPLIANCE OFFICER
5014 W GENESEE ST
CAMILLUS
NY
United States
Tel:
315-701-5857
Fax:
315-701-5928
S**@***************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 |
|---|---|---|---|---|---|
| SHOPE, JAMES, RAY | Individual | – | CHIEF COMPLIANCE OFFICER | 11/2005 | > 75% |