Shum Financial Group, Inc.
Firm details
- Headquarters
- Alameda, California
- CRD number
- 285426
- Registered since
- May 31, 2017
- Website
- www.shumfinancial.com
- Custodians
- CHARLES SCHWAB & CO., INC.
- Fee structure
- Percentage of AUM, Hourly Charges, Fixed Fees
- Client types
- HNWI76.85%
- Individuals19.11%
- Pension & Profit Sharing Plans2.17%
- Charitable Organizations1.68%
- Corporations / Businesses0.19%
- Services
- Financial PlanningPortfolio Management for IndividualsSelection of Other Advisers
Firm profile
FINTRXOverview
Shum Financial Group, Inc. is an independent, individual-owned registered investment adviser that has been SEC-registered since 2017. The firm acts as a capital allocator and serves both individual and family clients as well as institutional clients. Its advisory services center on financial planning, portfolio management for individuals and small businesses, and selecting third‑party advisers. Fee arrangements include a percentage of assets under management as well as hourly and fixed-fee engagements. The firm does not identify as an active ESG investor and does not advertise multi-state or pension consultant status. It also lists an affiliation with an insurance company.
Assets & Accounts
Public Holdings
Investments & Alternatives
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Exchange Traded Equities49%
- Public Funds/Mutual Funds37%
- Investment Grade Corp Bonds7%
- State & Local Bonds5%
- Non-Exchange Traded Equities1%
Contacts
3 of 4
Cliff Shum
Senior Financial PlannerCRD 2973780
Elyse Sanchez
Financial PlannerCRD 6012503
Maria Valencia
AssociateCRD 7810117
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 58Active vs passive
$117M in ETFs
95%
$111M
5%
$6.2M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| ISHARES MSCI EAFE VALUE ETF (EFV) | BlackRock | Passive | Foreign Large Value | $11.9M | 155,552 | 10.16% |
Location
Alameda, CA
Alameda
Location
Alameda, CA
Headquartered in Alameda, CA, anchoring the San Jose-San Francisco-Oakland, CA metro in the West.
- Metro area
- San Jose-San Francisco-Oakland, CA
- Region
- West
- County
- Alameda
- Address
- 2205 Harbor Bay Pkwy
- Time zone
- PT (UTC-8)
- Office locations
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