{"url":"https://nivawealth.com/firms/ferguson-shapiro-297555","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/297555","regulatoryAum":415195355,"crd":"297555","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6816944","suffix":null,"lastName":"Boswell","firstName":"James","middleName":null},{"crd":"2832983","suffix":null,"lastName":"Cravens","firstName":"Karyn","middleName":"McMenamin"},{"crd":"2658735","suffix":null,"lastName":"FERGUSON","firstName":"KEVIN","middleName":"MICHAEL"},{"crd":"5318297","suffix":null,"lastName":"Florence","firstName":"Ryan","middleName":"James"},{"crd":"1408322","suffix":null,"lastName":"SHAPIRO","firstName":"MAURY","middleName":"ALAN"},{"crd":"7095102","suffix":null,"lastName":"Wylde","firstName":"Sarah","middleName":"Jane"}],"total":6,"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":"2021-02-19","regulatoryAum":215208346,"clients":194,"employees":5,"offices":2},{"filedOn":"2022-04-07","regulatoryAum":274133860,"clients":205,"employees":4,"offices":2},{"filedOn":"2023-07-13","regulatoryAum":288888340,"clients":314,"employees":9,"offices":2},{"filedOn":"2024-03-12","regulatoryAum":326794056,"clients":344,"employees":10,"offices":3},{"filedOn":"2025-05-06","regulatoryAum":361798775,"clients":358,"employees":10,"offices":3},{"filedOn":"2026-05-20","regulatoryAum":415195355,"clients":332,"employees":9,"offices":3}],"secFileNumber":"801-113581","legalName":"Ferguson Shapiro LLC","displayName":"Ferguson Shapiro","slug":"ferguson-shapiro-297555","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":"2018","organization":"Georgia limited liability company","fiscalYearEnd":"December","headquarters":{"street":"120 N Candler St, #2","city":"Decatur","state":"GA","stateName":"Georgia","country":"United States","postalCode":"30030"},"tradeNames":[],"registration":{"secApproved":"6 July 2018","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1238703.1656626507,"staff":{"employees":9,"advisory":5,"brokerDealerReps":2,"insuranceAgents":3,"promoters":0},"aum":{"regulatory":415195355,"discretionary":415195355,"discretionaryAccounts":996,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":462283,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":193,"regulatoryAum":108251331},{"label":"High-net-worth individuals","clients":139,"regulatoryAum":302998120},{"label":"Charitable organizations","clients":null,"fewerThan5":true,"regulatoryAum":1047462},{"label":"Corporations and other businesses","clients":null,"fewerThan5":true,"regulatoryAum":2898442}],"feePrograms":[{"role":"main","program":"General Fee Schedule","feeBasis":"marginal","fee_tiers":[{"to":500000,"pct":1.25,"from":0},{"to":5000000,"pct":1,"from":500000},{"to":10000000,"pct":0.75,"from":5000000},{"to":null,"pct":0.5,"from":10000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1025777","versionId":1025777,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-25","documentName":"FIRM BROCHURE","fee_rate_low":0.5,"fee_rate_high":1.25,"fee_negotiable":true,"minimum_account":100000,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial Planning Services","summary":"Fixed fee generally between $1,500 and $5,000 depending on complexity and scope of the plan, or an hourly fee of $150 in some arrangements.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1025777","versionId":1025777,"submittedOn":"2026-03-25","documentName":"FIRM BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T10:29:05.047317+00:00","documents":[{"name":"FIRM BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1025777","versionId":1025777,"submittedOn":"2026-03-25"},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1025778","versionId":1025778,"submittedOn":null}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":414482469}],"custodyNote":"Ferguson Shapiro has custody of $118M for 133 clients.","otherCustodians":[],"leadership":[{"name":"Kevin Ferguson","title":"Principal/Chief Compliance Officer","crd":"2658735"},{"name":"Ryan Florence","title":"Principal","crd":"5318297"},{"name":"Maury Shapiro","title":"Partner","crd":"1408322"}],"ownership":[{"label":"Kevin Ferguson","detail":"Principal/chief compliance officer in the 75% or more ownership band and a control person, since July 2018."},{"label":"Maury Shapiro","detail":"Partner in the 10% to 25% ownership band and a control person, since January 2019."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":2,"privateResidences":0},"listedOfficeAddresses":3,"foreignOffices":[],"officesByState":[{"state":"Georgia","offices":3,"addresses":[{"street":"120 N Candler St, #2","city":"Decatur","headquarters":true},{"street":"4994 Lower Roswell Road Suite 13","city":"Marietta"},{"street":"2475 Northwinds Parkway","city":"Alpharetta"}]}],"brochureServices":["business succession planning","estate planning","insurance","tax planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"404-567-6771","stateRegisteredReps":5,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"101-250","assetMix":[{"label":"Exchange-traded equity securities","percent":76},{"label":"Securities issued by registered investment companies or business development companies","percent":16},{"label":"Cash and cash equivalents","percent":7},{"label":"Other","percent":1,"detail":"Private Placements, Fee Based Annuities"}],"privateFunds":0},"sources":{"adv1FilingDate":"20 May 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/297555/PDF/297555.pdf","brochureDate":"25 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1025777","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 Ferguson Shapiro have?","answer":"Ferguson Shapiro has 332 clients and manages $415 million for them, as of May 2026. They include 193 individual clients and 139 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 20 May 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Ferguson Shapiro offer?","answer":"Ferguson Shapiro provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, selecting other managers, business succession planning, estate planning, insurance, and tax planning.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Ferguson Shapiro charge?","answer":"Ferguson Shapiro charges 0.50%–1.25% a year for its General Fee Schedule. Each asset band is charged at its own rate. The fee is billed in advance, is negotiable and requires an account of at least $100,000.","source":"FIRM BROCHURE, filed 25 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Ferguson Shapiro use?","answer":"Ferguson Shapiro’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $414M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 20 May 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Ferguson Shapiro have?","answer":"Ferguson Shapiro has 5 investment adviser representatives registered with state securities authorities, out of 9 employees, and 5 perform investment advisory functions. 2 employees are registered representatives of a broker-dealer and 3 employees are 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 Ferguson Shapiro invest in?","answer":"At the end of its last fiscal year, Ferguson Shapiro’s separately managed accounts held 76% exchange-traded equities, 16% registered funds (mutual funds, ETFs, BDCs), 7% cash and equivalents and 1% other. The 1% other category is described as: Private Placements, Fee Based Annuities.","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 Ferguson Shapiro have a minimum investment?","answer":"Yes, Ferguson Shapiro’s minimum account size for its General Fee Schedule is $100K.","source":"FIRM BROCHURE, filed 25 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Ferguson Shapiro?","answer":"Ferguson Shapiro’s direct owners are Kevin Ferguson (75% or more) and Maury Shapiro (10% to 25%).","source":"Form ADV Part 1A, Schedules A and B, filed 20 May 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Ferguson Shapiro get paid?","answer":"Ferguson Shapiro is paid through a percentage of assets under management and hourly charges. 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":"How do I contact Ferguson Shapiro?","answer":"Ferguson Shapiro’s main office is at 120 N Candler St, #2, Decatur, GA 30030. Its phone number is 404-567-6771.","source":"Form ADV Part 1A, Item 1.F, filed 20 May 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. 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."}