Shelter Rock Management provides financial planning and portfolio management for individuals and small businesses. Financial planning was provided to 11–25 clients last fiscal year.
Shelter Rock Management reports 142 clients. They include 91 high-net-worth individuals, 42 individual clients, and 8 corporations and other businesses. Of its assets, 73.8% ($171M across 278 accounts) are managed with discretion; $60.8M across 8 accounts are not.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 30% | 9% |
| High-net-worth individuals | 64% | 63% |
| Pension and profit-sharing plans | <1% | 2% |
| Corporations and other businesses | 6% | 26% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 42 | $20.7M | 8.9% | $492K |
| High-net-worth individuals | 91 | $147M | 63.3% | $1.61M |
| Pension and profit-sharing plans | 1 | $3.71M | 1.6% | $3.71M |
| Corporations and other businesses | 8 | $60.8M | 26.2% | $7.6M |
| Total | 142 | $232M | 100% | $1.63M |
- Clients
- 42
- Regulatory AUM
- $20.7M
- AUM share
- 8.9%
- Avg. per client
- $492K
- Clients
- 91
- Regulatory AUM
- $147M
- AUM share
- 63.3%
- Avg. per client
- $1.61M
- Clients
- 1
- Regulatory AUM
- $3.71M
- AUM share
- 1.6%
- Avg. per client
- $3.71M
- Clients
- 8
- Regulatory AUM
- $60.8M
- AUM share
- 26.2%
- Avg. per client
- $7.6M
Total
- Clients
- 142
- Regulatory AUM
- $232M
- AUM share
- 100%
- Avg. per client
- $1.63M
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 11–25
Shelter Rock Management is paid through a percentage of assets under management. The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure.
Sean Chaitman owns 75% or more of Shelter Rock Management. The leadership team of Shelter Rock Management includes President Sean Chaitman. It has 6 employees, 4 of them in advisory roles.
Staff
- 6 employees
- 4 in advisory functions
- 1 state-registered rep
- 1 soliciting firm
- Owns 75% or more of Shelter Rock Management, LLC
Sean Chaitman
Control person · since November 2006
Shelter Rock Management’s regulatory assets grew 1.9× from $124M (April 2021) to $232M (March 2026); clients rose from 121 to 142 and employees were 6 in both filings.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Mar 2026March 2026 | $232M | 142 | 6 | 1 |
| Jul 2025July 2025 | $206M | 130 | 7 | 1 |
| Feb 2024February 2024 | $173M | 130 | 7 | 1 |
| Jul 2023July 2023 | $158M | 127 | 7 | 1 |
| Jan 2022January 2022 | $147M | 122 | 6 | 1 |
| Apr 2021April 2021 | $124M | 121 | 6 | 1 |
Besides its headquarters, Shelter Rock Management has 0 offices, with 1 listed address in 1 state.
New York · 1 listed address
- 375 North Broadway, Suite 207, JerichoHQ
Contact and registration details
- Legal name
- Shelter Rock Management, LLC
- Headquarters
- 375 North Broadway, Suite 207, Jericho, NY 11753
- Website
- shelterrockmanagement.com
- Phone
- 516-605-2215
- @shelter-rock-management-llc
- SEC file
- 801-77651
- Structure
- New York LLC
- Fiscal year end
- December
Shelter Rock Management’s named custodians for separately managed accounts are Fidelity ($169M, 99%) and Charles Schwab ($1.4M, 1%). Shelter Rock Management does not have custody of client assets.
- FidelityFidelity Brokerage Services LLC · Boston, MA · $169M99%
- Charles SchwabCharles Schwab & Co., Inc. · Omaha, NE · $1.4M1%
At year end, Shelter Rock Management’s separately managed accounts were mostly in stocks (68%) and bonds (28%). Its reported 13F holdings for the quarter ended 30 June 2026 total $103M across 37 positions; the largest are Taiwan Semiconductor Manufac (10.9%), Alphabet Inc. (9.8%) and Transdigm Group Inc. (7.9%).
What the accounts hold
- Stocks68%
- Bonds28%
- Investment grade corporate bonds16%
- High-yield corporate bonds7%
- U.S. government and agency bonds5%
- Cash4%
How many clients does Shelter Rock Management have?
Shelter Rock Management has 142 clients and manages $232 million for them, as of March 2026. They include 91 high-net-worth individuals, 42 individual clients, and 8 corporations and other businesses.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 20 March 2026
What services does Shelter Rock Management offer?
Shelter Rock Management provides financial planning and portfolio management for individuals and small businesses.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does Shelter Rock Management use?
Shelter Rock Management’s separately managed account assets are held at Fidelity Brokerage Services LLC (Boston, MA), with $169M and Charles Schwab & Co., Inc. (Omaha, NE), with $1.4M. 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 March 2026
How many financial advisors does Shelter Rock Management have?
Shelter Rock Management has 1 investment adviser representative registered with state securities authorities, out of 6 employees, and 4 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 Shelter Rock Management invest in?
At the end of its last fiscal year, Shelter Rock Management’s separately managed accounts held 68% exchange-traded equities, 16% investment grade corporate bonds, 7% high-yield corporate bonds, 5% U.S. government and agency bonds and 4% 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 Shelter Rock Management?
Shelter Rock Management’s direct owner is Sean Chaitman (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 20 March 2026
How does Shelter Rock Management get paid?
Shelter Rock Management is paid through a percentage of assets under management. 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 Shelter Rock Management?
Shelter Rock Management’s main office is at 375 North Broadway, Suite 207, Jericho, NY 11753. Its phone number is 516-605-2215. Its website is shelterrockmanagement.com.