{"url":"https://nivawealth.com/firms/shelter-rock-management-142739","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/142739","regulatoryAum":231979085,"crd":"142739","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2499707","suffix":null,"lastName":"CHAITMAN","firstName":"SEAN","middleName":"EDWARD"},{"crd":"2199115","suffix":null,"lastName":"FRANK","firstName":"ANDREW","middleName":"KERR"},{"crd":"2076001","suffix":null,"lastName":"HICKEY","firstName":"DANIEL","middleName":"DALY"},{"crd":"3239798","suffix":null,"lastName":"ZORAIAN","firstName":"GREGORY","middleName":"SAM"}],"total":4,"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":"2021-04-08","regulatoryAum":123908741,"clients":121,"employees":6,"offices":1},{"filedOn":"2022-01-24","regulatoryAum":147321909,"clients":122,"employees":6,"offices":1},{"filedOn":"2023-07-07","regulatoryAum":157788005,"clients":127,"employees":7,"offices":1},{"filedOn":"2024-02-26","regulatoryAum":173048385,"clients":130,"employees":7,"offices":1},{"filedOn":"2025-07-17","regulatoryAum":206212472,"clients":130,"employees":7,"offices":1},{"filedOn":"2026-03-20","regulatoryAum":231979085,"clients":142,"employees":6,"offices":1}],"secFileNumber":"801-77651","legalName":"Shelter 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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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Shelter Rock Management offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Shelter Rock Management use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Shelter Rock Management have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Shelter Rock Management invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Shelter Rock Management?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Shelter Rock Management get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Shelter Rock Management?","answer":"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.","source":"Form ADV Part 1A, Item 1.F, filed 20 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":{"url":"https://nivawealth.com/firms/shelter-rock-management-142739/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-07-13","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/2109305/000210930526000003/0002109305-26-000003-index.html","totalValue":103121726,"positionCount":37,"top10Share":0.7064933823935414,"top10":[{"issuer":"TAIWAN SEMICONDUCTOR MANUFAC","titleOfClass":"SPONSORED ADS","cusip":"874039100","value":11210299,"shares":23474,"shareType":"SH","priorValue":7984858,"priorShares":23590},{"issuer":"ALPHABET INC","titleOfClass":"CAP STK CL A","cusip":"02079K305","value":10093367,"shares":28243,"shareType":"SH","priorValue":8068568,"priorShares":28059},{"issuer":"TRANSDIGM GROUP 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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."}