{"url":"https://nivawealth.com/firms/shea-brian-michael-125606","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/125606","regulatoryAum":118601474,"crd":"125606","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2558739","suffix":null,"lastName":"SHEA","firstName":"BRIAN","middleName":"MICHAEL"},{"crd":"4547403","suffix":null,"lastName":"YERKES","firstName":"MATTHEW","middleName":"ALBERT"}],"total":2,"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":"2025-05-14","regulatoryAum":116521879,"clients":74,"employees":2,"offices":2},{"filedOn":"2026-03-23","regulatoryAum":118601474,"clients":77,"employees":2,"offices":2}],"secFileNumber":"801-132995","legalName":"Shea, Brian Michael","displayName":"Shea, Brian Michael","slug":"shea-brian-michael-125606","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Connecticut sole proprietorship","fiscalYearEnd":"December","headquarters":{"street":"","city":"","state":"","stateName":"","country":"","postalCode":null},"tradeNames":[],"registration":{"secApproved":"13 June 2025","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1540278.8831168832,"staff":{"employees":2,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":118601474,"discretionary":118601474,"discretionaryAccounts":215,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":2},"clientTypes":[{"label":"Individuals (other than HNW)","clients":44,"regulatoryAum":16656395},{"label":"High-net-worth individuals","clients":33,"regulatoryAum":101945079}],"feePrograms":[{"role":"main","program":"Investment Management Agreement Fee","feeBasis":"marginal","fee_tiers":[{"to":500000,"pct":1.25,"from":0},{"to":1000000,"pct":1,"from":500000},{"to":2000000,"pct":0.75,"from":1000000},{"to":5000000,"pct":0.65,"from":2000000},{"to":null,"pct":0.5,"from":5000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1023344","versionId":1023344,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-23","documentName":"SFA ADV PART 2A ANNUAL AMENDMENT V.03.23.26","fee_rate_low":0.5,"fee_rate_high":1.25,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial planning fixed fee","summary":"Financial planning under a Financial Services Agreement is a fixed annual fee of $2,000 to $80,000, payable quarterly in advance.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1023344","versionId":1023344,"submittedOn":"2026-03-23","documentName":"SFA ADV PART 2A ANNUAL AMENDMENT V.03.23.26"},{"role":"other","program":"Project retainer","summary":"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.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1023344","versionId":1023344,"submittedOn":"2026-03-23","documentName":"SFA ADV PART 2A ANNUAL AMENDMENT V.03.23.26"},{"role":"other","program":"Tax preparation","summary":"Tax preparation outside any other agreement has a minimum fee of $250, and each amended tax return a minimum charge of $300.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1023344","versionId":1023344,"submittedOn":"2026-03-23","documentName":"SFA ADV PART 2A ANNUAL AMENDMENT V.03.23.26"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T12:48:00.258471+00:00","documents":[{"name":"SFA ADV PART 2A ANNUAL AMENDMENT V.03.23.26","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1023344","versionId":1023344,"submittedOn":"2026-03-23"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":102399841}],"custodyNote":"Shea, Brian Michael has custody of $64.9M in client assets for 54 clients.","otherCustodians":[],"leadership":[{"name":"Brian Shea","title":"Owner / Sole Proprietor / CCO","crd":"2558739"}],"ownership":[{"label":"Brian Shea","detail":"Owner / sole proprietor / cco in the 75% or more ownership band and a control person, since September 1993."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":1},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"203-966-9651","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"26-50","assetMix":[{"label":"Exchange-traded equity securities","percent":13},{"label":"U.S. government/agency bonds","percent":12},{"label":"Securities issued by registered investment companies or business development companies","percent":72},{"label":"Cash and cash equivalents","percent":3}],"privateFunds":0},"sources":{"adv1FilingDate":"23 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/125606/PDF/125606.pdf","brochureDate":"23 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1023344","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 Shea, Brian Michael have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Shea, Brian Michael offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Shea, Brian Michael charge?","answer":"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","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Shea, Brian Michael use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Shea, Brian Michael have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Shea, Brian Michael invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Shea, Brian Michael?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Shea, Brian Michael get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Shea, Brian Michael?","answer":"Its phone number is 203-966-9651.","source":"Form ADV Part 1A, Item 1.F, filed 23 March 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."}