Shining Rock Advisors Llc
- Regulatory AUM
- $154M
- Discretionary
- $118M
- Clients
- 26
- Avg AUM / client
- $5.9M
- Accounts
- 93
- Employees
- 2
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 16, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 2 | $1.3M | 0.84% |
| High net worth individuals | 23 | $149M | 96.6% |
| Charitable organizations | 1 | $4.0M | 2.58% |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Guest, Julie, Claire | Chief Executive Officer, Chief Compliance Officer, Trustee | Sep 2020 (6y) | 25% – 50% | |
| Sage Proffitt Barfield | Chief Financial Officer, Trustee | Sep 2020 (6y) | 25% – 50% | |
| Jacob Barfield | Registered representative | Feb 2026 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Julie Claire Guest Gift Trust Dtd 2/13/2021 | Owner | Feb 2021 | A | 10% – 25% |
| Sage Proffitt Barfield Gift Trust Dtd 2/13/2021 | Owner | Feb 2021 | A | 10% – 25% |
Undisclosed: 0% – 30% 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.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/16/2026 | 907 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
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Charles Schwab & Co. $119M (78% 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 16, 2026.
View current Form ADV (SEC/IAPD) ↗