Shum Financial Group, Inc. is an SEC registered investment adviser with a primary office location in Alameda, CA. Its latest Form ADV filing, dated February 23, 2026, reports $322M in regulatory assets under management, 4 employees, and 990 accounts.
Assets Under Management
$322M
Employees
4
Offices
--
Total Clients
330
Primary office
ALAMEDA, CA
2205 HARBOR BAY PARKWAY, ALAMEDA, CA, United States
Portfolio management for individuals and small businesses
Fee models offered
3 types reported
Asset based fees
Fixed fees
Hourly charges
Sources checked May 16, 2026
Client Coverage Demographics
Top client segmentIndividuals represent 60.6% of total clients.
Top client categories% of clientsClients
1
Individuals
60.6%
200
2
HNWI
36.7%
121
3
Pension Plans
1.2%
4
4
Corporations
0.9%
3
5
Charitable
0.6%
2
Categories with <5 clients
Charitable Organizations<5 clients
Corporations or other businesses not listed above<5 clients
Pension and profit sharing plans<5 clients
Regulatory Assets Under Management Breakdown
Total regulatory assets under management$322Mas of February 23, 2026
Discretionary100.0%
$322M
100% of total RAUM100.0%
Non-discretionary0.0%
$0
0% of total RAUM0.0%
All regulatory assets under management are discretionary.
Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total AUM$322M
Total Accounts990
10Y AUM Change+$192M (+147.5%)
Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total Employees4
Clients per Employee83:1
10Y Employee Change+2 (+100.0%)
* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.