Shum Financial Group, Inc.
● SEC registered since 2017CRD 285426SEC# 801-110554Alameda, CA
Reg. AUM
$322M
Employees
4
Accounts
990
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 $322 million in regulatory assets under management and employs 4 people.
Shum Financial Group, Inc. owners & executives
2 reported| Name | Title | Ownership | Since |
|---|---|---|---|
| Cliff Wingyin Shum Control | President/Chief Compliance Officer | Over 75% | 2016 |
| Elyse Nicole Sanchez | Shareholder | Under 5% | 2025 |
Frequently asked questions
How much does Shum Financial Group, Inc. manage?
Shum Financial Group, Inc. reports $322 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
| Address | 2205 Harbor Bay Parkway, Alameda, CA 94502 |
| Phone | 510-748-7462 |
| Fax | 510-769-4990 |
| Office hours | 8:30a.m. - 5:00p.m. |
| SEC region | San Francisco Regional Office (SFRO) |
| Discloses disciplinary history | No |
Regulatory AUM
$322M▲ 12%
Feb '25Form ADV, monthlyJun '26
How this firm compares
Regulatory AUMTop 60%
Larger than 40% of 16,271 advisers
EmployeesTop 69%
More than 31% of 16,825 advisers
Assets under management
$322Mregulatory AUM
Discretionary $322M