Shearman, Ralston Inc.
State-registered
Broker-Dealer (Dually Registered) · Boutique (under $100M)
CRD 7320
· Greenwich, CT
· WWW.SHEARMANRALSTON.COM
☆ Save with Pro
ADV data as of Feb 06, 2026
- Regulatory AUM
- $97.7M
- Discretionary
- $24.2M
- Clients
- 20
- Avg AUM / client
- $4.9M
- Accounts
- 42
- Employees
- 4
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 5 | $4.5M | 4.59% |
| High net worth individuals | 15 | $93.2M | 95.4% |
People (2)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Nathaniel Louis Ralston | Registered representative | Jun 2018 (8y) | ||
| Daniel A Sullivan | Registered representative | Mar 2026 (0y) |
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) | 02/06/2026 | 988 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
- Apex Clearing $97.7M (100% of AUM) Feb 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having 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: Feb 06, 2026.
View current Form ADV (SEC/IAPD) ↗