{"url":"https://nivawealth.com/firms/dudley-and-shanley-157515","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/157515","regulatoryAum":746831687,"crd":"157515","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4339253","suffix":null,"lastName":"DUDLEY","firstName":"HENRY","middleName":"CLAYPOOL"},{"crd":"2164030","suffix":null,"lastName":"GREENE","firstName":"GREGORY","middleName":"RICHARD"},{"crd":"4339247","suffix":null,"lastName":"SHANLEY","firstName":"FRANK","middleName":"EMMETT"}],"total":3,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-10","regulatoryAum":707558883,"clients":47,"employees":5,"offices":3},{"filedOn":"2022-03-16","regulatoryAum":690496362,"clients":47,"employees":5,"offices":3},{"filedOn":"2023-03-17","regulatoryAum":610775812,"clients":47,"employees":5,"offices":3},{"filedOn":"2024-03-13","regulatoryAum":659939975,"clients":47,"employees":5,"offices":3},{"filedOn":"2025-03-11","regulatoryAum":713024963,"clients":49,"employees":5,"offices":3},{"filedOn":"2026-03-05","regulatoryAum":746831687,"clients":51,"employees":5,"offices":3}],"secFileNumber":"801-72572","legalName":"Dudley & Shanley, Inc.","displayName":"Dudley & Shanley","slug":"dudley-and-shanley-157515","website":"https://dudleyco.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Delaware corporation","fiscalYearEnd":"December","headquarters":{"street":"205 Worth Avenue, #311","city":"Palm Beach","state":"FL","stateName":"Florida","country":"United States","postalCode":"33480-4618"},"tradeNames":[],"registration":{"secApproved":"7 July 2011","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":9403537.8,"staff":{"employees":5,"advisory":3,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":746831687,"discretionary":746831687,"discretionaryAccounts":51,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":2,"nonAumClients":1},"clientTypes":[{"label":"High-net-worth individuals","clients":45,"regulatoryAum":423159201},{"label":"Pooled investment vehicles","clients":3,"regulatoryAum":261137287},{"label":"Charitable organizations","clients":3,"regulatoryAum":62535199}],"feePrograms":[{"role":"main","program":"Separately-managed accounts","feeBasis":"marginal","fee_tiers":[{"to":5000000,"pct":1,"from":0},{"to":15000000,"pct":0.75,"from":5000000},{"to":null,"pct":0.5,"from":15000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1014856","versionId":1014856,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-03-05","documentName":"BROCHURE (MARCH 2026)","fee_rate_low":0.5,"fee_rate_high":1,"fee_negotiable":null,"minimum_account":5000000,"feeMinimumPeriod":null,"fee_minimum_annual":null}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T06:58:51.017039+00:00","documents":[{"name":"BROCHURE (MARCH 2026)","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1014856","versionId":1014856,"submittedOn":"2026-03-05"}]},"custodians":[{"name":"The Bank of New York Mellon Company","shortName":"The Bank of New York Mellon","location":"Jersey City, NJ","smaAssets":320314586},{"name":"JPMorgan Chase Bank, N.A.","shortName":"J.P. Morgan","location":"New York, NY","smaAssets":165379814}],"custodyNote":"Dudley & Shanley has custody of $154M in client assets for 2 clients.","leadership":[{"name":"Gregory Greene","title":"Senior Vice President, Treasurer, Chief Compliance Officer","crd":"2164030"},{"name":"Christiane McNamara","title":"Vice President, Secretary and Assistant Treasurer","crd":"1567685"},{"name":"Frank Shanley","title":"President","crd":"4339247"},{"name":"Henry Dudley","title":"Chairman","crd":"4339253"}],"ownership":[{"label":"Henry Dudley","detail":"Chairman in the 10% to 25% ownership band and a control person, since January 2018."},{"label":"Frank Shanley","detail":"President in the 25% to 50% ownership band and a control person, since January 2018."},{"label":"Gregory Greene","detail":"Senior vice president, treasurer, chief compliance officer in the 25% to 50% ownership band and a control person, since January 2018."},{"label":"Christiane McNamara","detail":"Vice president, secretary and assistant treasurer in the 10% to 25% ownership band, since January 2018."}],"filedOffices":{"otherThanPrincipal":2,"privateResidences":1},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Florida","offices":1,"addresses":[{"street":"205 Worth Avenue, #311","city":"Palm Beach","headquarters":true}]},{"state":"New Jersey","offices":1,"addresses":[{"street":"54 Shrewsbury Avenue","city":"Red Bank"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"561-855-4742","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for pooled investment vehicles (other than investment companies)","Other"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":87},{"label":"Cash and cash equivalents","percent":12},{"label":"Other","percent":1,"detail":"The 'Other' Investments Are Private Investments (Buffalo Group, Chester Co & Congdon Orchards) Or Venture Capital (Altira Technology). These Investments Are Not Widely Held and Limited to A Few Accounts."}],"privateFunds":3},"sources":{"adv1FilingDate":"5 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/157515/PDF/157515.pdf","brochureDate":"5 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1014856","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Dudley & Shanley have?","answer":"Dudley & Shanley has 51 clients and manages $747 million for them, as of March 2026. They include 45 high-net-worth individuals, 3 pooled investment vehicles and 3 charitable organizations.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 5 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Dudley & Shanley offer?","answer":"Dudley & Shanley provides portfolio management for individuals and small businesses and portfolio management for pooled vehicles.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Dudley & Shanley charge?","answer":"Dudley & Shanley charges 0.50%–1.00% a year for its Separately-managed accounts. Each asset band is charged at its own rate. The fee is billed in arrears and requires an account of at least $5,000,000.","source":"BROCHURE (MARCH 2026), filed 5 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Dudley & Shanley use?","answer":"Dudley & Shanley’s separately managed account assets are held at The Bank of New York Mellon Company (Jersey City, NJ), with $320M and JPMorgan Chase Bank, N.A. (New York, NY), with $165M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 5 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Dudley & Shanley have?","answer":"Dudley & Shanley has 3 investment adviser representatives registered with state securities authorities, out of 5 employees, and 3 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Dudley & Shanley invest in?","answer":"At the end of its last fiscal year, Dudley & Shanley’s separately managed accounts held 87% exchange-traded equities, 12% cash and equivalents and 1% other. The 1% other category is described as: The 'Other' Investments Are Private Investments (Buffalo Group, Chester Co & Congdon Orchards) Or Venture Capital (Altira Technology). These Investments Are Not Widely Held and Limited to A Few Accounts. It advises 3 private funds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Does Dudley & Shanley have a minimum investment?","answer":"Yes, Dudley & Shanley’s minimum account size for its Separately-managed accounts is $5M.","source":"BROCHURE (MARCH 2026), filed 5 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Dudley & Shanley?","answer":"Dudley & Shanley’s direct owners are Henry Dudley, Frank Shanley, Gregory Greene and Christiane McNamara, each holding 50% or less.","source":"Form ADV Part 1A, Schedules A and B, filed 5 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Dudley & Shanley get paid?","answer":"Dudley & Shanley is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is Dudley & Shanley registered with the SEC?","answer":"Yes, Dudley & Shanley has been registered with the SEC as an investment adviser since 7 July 2011. Its CRD number is 157515 and its SEC file number is 801-72572.","source":"Form ADV Part 1A, Item 1, filed 5 March 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Dudley & Shanley?","answer":"Dudley & Shanley’s main office is at 205 Worth Avenue, #311, Palm Beach, FL 33480-4618. Its phone number is 561-855-4742. Its website is dudleyco.com.","source":"Form ADV Part 1A, Item 1.F, filed 5 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":{"url":"https://nivawealth.com/firms/dudley-and-shanley-157515/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-07-09","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/883511/000088351126000003/0000883511-26-000003-index.html","totalValue":662286267,"positionCount":37,"top10Share":0.4982393134840587,"top10":[{"issuer":"Wheaton Precious Mtls","titleOfClass":"COM","cusip":"962879102","value":51065165,"shares":454640,"shareType":"SH","priorValue":60184029,"priorShares":459385},{"issuer":"Amphenol Corp.","titleOfClass":"COM","cusip":"032095101","value":41338400,"shares":234451,"shareType":"SH","priorValue":31050639,"priorShares":245751},{"issuer":"Ametek Inc.","titleOfClass":"COM","cusip":"031100100","value":33806518,"shares":139731,"shareType":"SH","priorValue":29955953,"priorShares":139746},{"issuer":"Visa Inc.","titleOfClass":"COM","cusip":"92826C839","value":33269780,"shares":96971,"shareType":"SH","priorValue":29367452,"priorShares":97166},{"issuer":"Watsco, Inc.","titleOfClass":"COM","cusip":"942622200","value":32509941,"shares":78012,"shareType":"SH","priorValue":20260193,"priorShares":55692},{"issuer":"Aon plc","titleOfClass":"COM","cusip":"G0403H108","value":29456394,"shares":88807,"shareType":"SH","priorValue":28657054,"priorShares":88782},{"issuer":"Ecolab Inc.","titleOfClass":"COM","cusip":"278865100","value":29168517,"shares":104693,"shareType":"SH","priorValue":27934228,"priorShares":105008},{"issuer":"Service Corp. 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Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}