Shelter Rock Management, Llc
- Regulatory AUM
- $232M
- Discretionary
- $171M
- Clients
- 142
- Avg AUM / client
- $1.6M
- Accounts
- 286
- Employees
- 6
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 20, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 42 | $20.7M | 8.91% |
| High net worth individuals | 91 | $147M | 63.3% |
| Pension and profit sharing plans | 1 | $3.7M | 1.6% |
| Corporations and other businesses | 8 | $60.8M | 26.2% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Nexfirm Llc & Member Firms' 401(k) Retirement Plan Nexfirm Llc | 2024 |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Sean Edward Chaitman | President/Ceo/Chief Compliance Officer | Nov 2006 (20y) | 75% or more | |
| Andrew Kerr Frank | Registered representative | Jul 2021 (5y) | ||
| Gregory Sam Zoraian | Registered representative | Aug 2021 (5y) | ||
| Daniel Daly Hickey | Registered representative | Oct 2022 (4y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Nexfirm Llc & Member Firms' 401(k) Retirement Plan | Nexfirm Llc | 296 | $27.2M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/20/2026 | 913 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Fidelity Brokerage Services $169M (73% of AUM) Mar 2026
- Charles Schwab & Co. $1.4M (1% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 20, 2026.
View current Form ADV (SEC/IAPD) ↗