Shearman, Ralston Inc.

Broker-DealerFINRA MemberEst. 1976
Total AUM
$97.7M
Discretionary
$24.2M
25% of AUM
Accounts
42
Employees
4
Advisory reps
4
Brokerage reps
4

Firm details

Headquarters
Greenwich, Connecticut
CRD number
7320
Registered since
November 16, 1976
Website
shearmanralston.com
Custodians
APEX CLEARING CORPORATION
Fee structure
Percentage of AUM
Client types
  • HNWI95.41%
  • Individuals4.59%
Services
Portfolio Management for Individuals

Firm profile

FINTRX

Overview

Shearman, Ralston Inc. is a small, individually owned broker-dealer that also provides portfolio management services for individuals and small businesses. The firm charges fees as a percentage of assets under management and has been SEC-registered since 1976. Its client base is focused on individual and family relationships rather than institutional mandates. The firm does not position itself as an active ESG investor, is not multi-state as an adviser, and does not act as a capital allocator.

Assets & Accounts

Public Holdings

Investments & Alternatives

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Investment profile

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Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

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CRM & tech providers

TAMPs used

Clients

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Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 88%, Public Funds/Mutual Funds 10%, US Government Bonds 1%, Cash & Cash Equivalents 1%88%
  • Exchange Traded Equities88%
  • Public Funds/Mutual Funds10%
  • US Government Bonds1%
  • Cash & Cash Equivalents1%

Owners & executives

2 of 2
  • Nathaniel Ralston

    Nathaniel Ralston

    Chief Operating OfficerCRD 6076209

  • Douglas Ralston

    Douglas Ralston

    President, Chief Executive OfficerCRD 370414

Contacts

2 of 2
  • Daniel Sullivan

    Daniel Sullivan

    Vice PresidentCRD 707476

  • Mario Milio

    Mario Milio

    AssociateCRD 7370319

Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

FINTRX

Location

Primary office

Greenwich, CT

Fairfield

Location

Greenwich, CT

Headquartered in Greenwich, CT, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.

Metro area
New York-Newark, NY-NJ-CT-PA
Region
Northeast
County
Fairfield
Address
333 Greenwich Ave
Time zone
ET (UTC-5)
Office locations

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