SHINING ROCK ADVISORS LLC
Adviser information for SHINING ROCK ADVISORS LLC last updated from Form ADV on April 3rd, 2023. 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 | North Carolina, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| 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 | 38 | $93.4M |
| Non-Discretionary | 16 | $22.7M |
| Total | 54 | $116.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 5 | $4.2M |
| HNW Individuals | 10 | $111.9M |
| 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 | 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 | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-124819 |
|---|---|
| SEC ERA File Number | 801-124819 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 311295 |
| Legal Entity Identifier | None |
Principal Office
21 MURRAY DE BRUHL ROADALEXANDER
NC
United States
Monday - Friday, 9AM-5PM
Tel: 617-987-1307, Fax: None
Websites
Chief Compliance Officer
JULIE CLAIRE GUEST
CHIEF EXECUTIVE OFFICER
21 S OAKS CIR
ASHEVILLE
NC
United States
Tel:
828-301-4322
J******@**********************M
(Full email address available in API data)
Regulatory Contact
SAGE BARFIELD
CHIEF FINANCIAL OFFICER
21 MURRAY DE BRUHL ROAD
ALEXANDER
NC
United States
Tel:
617-987-1307
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 |
|---|---|---|---|---|---|
| Guest, Julie, Claire | Individual | – | CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER, TRUSTEE | 09/2020 | 25-50% |
| BARFIELD, SAGE, PROFFITT | Individual | – | CHIEF FINANCIAL OFFICER, TRUSTEE | 09/2020 | 25-50% |
| JULIE CLAIRE GUEST GIFT TRUST DTD 2/13/2021 | Domestic Entity | – | OWNER | 02/2021 | 10-25% |
| SAGE PROFFITT BARFIELD GIFT TRUST DTD 2/13/2021 | Domestic Entity | – | OWNER | 02/2021 | 10-25% |