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Shum Financial Group, Inc.

● SEC registered since 2017CRD 285426SEC# 801-110554Alameda, CA
Export (members)
Reg. AUM
$287.1M
Employees
4
Accounts
977
Location
Alameda, CA

Shum Financial Group, Inc. assets under management

Shum Financial Group, Inc. operates as an SEC-registered investment adviser based in Alameda, CA. The firm has been registered since 2017. It reports $287.1 million in regulatory assets under management and employs 4 people.
www.shumfinancial.comView on SEC.gov ↗

Shum Financial Group, Inc. owners & executives

2 reported
NameTitleOwnershipSince
Cliff Wingyin Shum ControlPresident/Chief Compliance OfficerOver 75%2016
Elyse Nicole SanchezShareholderUnder 5%2025

Frequently asked questions

How much does Shum Financial Group, Inc. manage?

Shum Financial Group, Inc. reports $287.1 million in regulatory assets under management on its Form ADV.

How many employees does Shum Financial Group, Inc. have?

Shum Financial Group, Inc. reports 4 employees.

Where is Shum Financial Group, Inc. located?

Shum Financial Group, Inc. is based in Alameda, CA and has been SEC-registered since 2017.

Does Shum Financial Group, Inc. disclose fund performance?

Shum Financial Group, Inc. is not required to publicly disclose fund returns. Form ADV filings include assets, ownership, and service providers, shown above.

Contact & registration

Address1402 Park Street, Suite E, Alameda, CA 94501
Phone510-748-7462
Fax510-769-4990
Office hours8:30a.m. - 5:00p.m.
SEC regionSan Francisco Regional Office (SFRO)
Discloses disciplinary historyNo

Assets under management

Discretionary$287.1M
Non-discretionary$0
Total (RAUM)$287.1M