Shea, Brian Michael provides financial planning, portfolio management for individuals and small businesses, and selecting other managers. Financial planning was provided to 26–50 clients last fiscal year.
Shea, Brian Michael reports 77 clients. They include 44 individual clients and 33 high-net-worth individuals. Of its assets, 100.0% ($119M across 215 accounts) are managed with discretion. It advised 2 clients without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 57% | 14% |
| High-net-worth individuals | 43% | 86% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 44 | $16.7M | 14.0% | $379K |
| High-net-worth individuals | 33 | $102M | 86.0% | $3.09M |
| Total | 77 | $119M | 100% | $1.54M |
- Clients
- 44
- Regulatory AUM
- $16.7M
- AUM share
- 14.0%
- Avg. per client
- $379K
- Clients
- 33
- Regulatory AUM
- $102M
- AUM share
- 86.0%
- Avg. per client
- $3.09M
Total
- Clients
- 77
- Regulatory AUM
- $119M
- AUM share
- 100%
- Avg. per client
- $1.54M
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 2
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 26–50
Shea, Brian Michael charges 0.50%–1.25% a year for its Investment Management Agreement Fee. Each asset band is charged at its own rate. The fee is billed in advance and is negotiable. The brochure also prices 3 other services, listed under fee details.
| Asset band | Annual rate |
|---|---|
| $0–$500K | 1.25% |
| $500K–$1M | 1.00% |
| $1M–$2M | 0.75% |
| $2M–$5M | 0.65% |
| $5M and above | 0.50% |
Fee details and sources
Other fees
- Financial planning fixed fee
- Financial planning under a Financial Services Agreement is a fixed annual fee of $2,000 to $80,000, payable quarterly in advance.
- Project retainer
- Project work is typically flat-fee; custom project requests may be hourly at $250 to $500, and a Financial Review is a flat fee of $2,500.
- Tax preparation
- Tax preparation outside any other agreement has a minimum fee of $250, and each amended tax return a minimum charge of $300.
Brian Shea owns 75% or more of Shea, Brian Michael. It has 2 employees.
Leadership
- Brian SheaOwner / Sole Proprietor / CCO
Investment adviser representatives
2 representatives listed in the SEC register as of 9 October 2026.
Staff
- 2 employees
- 2 in advisory functions
- 2 state-registered reps
- Owns 75% or more of Shea, Brian Michael
Brian Shea
Control person · since September 1993
Shea, Brian Michael’s regulatory assets went from $117M (May 2025) to $119M (March 2026); clients were 77 in both filings and employees were 2 in both filings.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $119M | 77 | 2 | 2 |
| May 2025 | $117M | 74 | 2 | 2 |
Besides its headquarters, Shea, Brian Michael has 1 office (1 private residence, listed without an address), with 1 listed address with no US state reported.
Contact and registration details
- Legal name
- Shea, Brian Michael
- Headquarters
- Not reported
- Website
- Not reported
- Phone
- 203-966-9651
- SEC file
- 801-132995
- Structure
- Connecticut sole proprietorship
- Fiscal year end
- December
Shea, Brian Michael uses Charles Schwab ($102M) as custodian for its separately managed accounts. Shea, Brian Michael has custody of $64.9M in client assets for 54 clients.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $102M100%
At year end, Shea, Brian Michael’s separately managed accounts were mostly in funds (72%) and stocks (13%).
What the accounts hold
- Stocks13%
- Funds72%
- Bonds12%
- Cash3%
How many clients does Shea, Brian Michael have?
Shea, Brian Michael has 77 clients and manages $119 million for them, as of March 2026. They include 44 individual clients and 33 high-net-worth individuals.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 23 March 2026
What services does Shea, Brian Michael offer?
Shea, Brian Michael provides financial planning, portfolio management for individuals and small businesses, and selecting other managers.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Shea, Brian Michael charge?
Shea, Brian Michael charges 0.50%–1.25% a year for its Investment Management Agreement Fee. Each asset band is charged at its own rate. The fee is billed in advance and is negotiable.
Source: SFA ADV PART 2A ANNUAL AMENDMENT V.03.23.26, filed 23 March 2026
Which custodians does Shea, Brian Michael use?
Shea, Brian Michael’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $102M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 23 March 2026
How many financial advisors does Shea, Brian Michael have?
Shea, Brian Michael has 2 investment adviser representatives registered with state securities authorities, out of 2 employees, and 2 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
What does Shea, Brian Michael invest in?
At the end of its last fiscal year, Shea, Brian Michael’s separately managed accounts held 72% registered funds (mutual funds, ETFs, BDCs), 13% exchange-traded equities, 12% U.S. government and agency bonds and 3% cash and equivalents.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Shea, Brian Michael?
Shea, Brian Michael’s direct owner is Brian Shea (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 23 March 2026
How does Shea, Brian Michael get paid?
Shea, Brian Michael is paid through a percentage of assets under management, hourly charges 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
How do I contact Shea, Brian Michael?
Its phone number is 203-966-9651.