SHELLMAN INVESTMENT MANAGEMENT, LLC
Adviser information for SHELLMAN INVESTMENT MANAGEMENT, LLC last updated from Form ADV on March 21st, 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 | Delaware, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 135 | $139.4M |
| Non-Discretionary | 0 | $0 |
| Total | 135 | $139.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 63 | $23.0M |
| HNW Individuals | 39 | $116.5M |
| 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 | 98 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-123508 |
|---|---|
| SEC ERA File Number | 801-123508 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 316579 |
| Legal Entity Identifier | None |
Principal Office
2525 PONCE DE LEON BLVD#300
CORAL GABLES
FL
United States
Monday - Friday, 9:00AM - 5:00PM
Tel: (786) 655-6180, Fax: None
Websites
Chief Compliance Officer
RAJIV SHAH
2525 PONCE DE LEON BLVD
#300
CORAL GABLES
FL
United States
Tel:
954 383 1919
R****@*****************M
(Full email address available in API data)
Regulatory Contact
STEPHANIE SHELLMAN
CEO
2525 PONCE DE LEON BLVD
#300
CORAL GABLES
FL
United States
Tel:
305-563-1634
S*****************@*****************M
(Full email address available in API data)
Industry Affiliates
| INNOVA ADVISORS | Other investment adviser, including financial planners |
| SEMINARIO SECURITIES | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| SHELLMAN WEALTH MANAGEMENT | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SHELLMAN, STEPHANIE, LYNN | Individual | – | OWNER AND CHIEF EXECUTIVE OFFICER | 09/2008 | > 75% |
| Shah, Rajiv | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2022 | < 5% |