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SHUM FINANCIAL GROUP, INC.
CRD 285426File 801-110554
APPROVED
Retail clients
Custody
Filing as of Feb 23, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$322.0M
Below cohort median (national)
Discretionary AUM
$322.0M
Clients
330
990 accounts
Employees
4
Below cohort median in CA
Identity & registration
ADV Item 1- Organization form
- Other (specify)
- Firm type
- Registered
- SEC region
- SFRO
- Registration date
- May 31, 2017
- Principal office
- 2205 HARBOR BAY PARKWAY, ALAMEDA, CA, 94502
- Phone
- 510-748-7462
- Website
- HTTP://WWW.SHUMFINANCIAL.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $322.0M
- Discretionary AUM
- $322.0M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 990
- Non-discretionary accounts
- 0
- Total accounts
- 990
- AUM per client
- $976K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | Fewer than 5 | $623K |
| Charitable organizations | Fewer than 5 | $5.4M |
| High net worth individuals | 121 | $247.4M |
| Pension and profit sharing plans | Fewer than 5 | $7.0M |
| Individuals (other than high net worth individuals) | 200 | $61.5M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Other advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Mar 1, 2026 | Clients | 332 | 330 | decreased by2 |
| Mar 1, 2026 | AUM | $287,130,475 | $321,953,763 | increased by$34,823,288 |
| Mar 1, 2026 | Accounts | 977 | 990 | increased by13 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 2 | 4 | increased by2 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 377 | 332 | decreased by45 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $218,695,889 | $287,130,475 | increased by$68,434,586 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 806 | 977 | increased by171 |
| Mar 1, 2022 | Employees | 4 | 2 | decreased by2 |
| Mar 1, 2022 | Clients | 347 | 377 | increased by30 |
| Mar 1, 2022 | AUM | $188,574,104 | $218,695,889 | increased by$30,121,785 |
| Mar 1, 2022 | Accounts | 746 | 806 | increased by60 |
| May 1, 2021 | Employees | 3 | 4 | increased by1 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “SHUM FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“SHUM FINANCIAL” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.