{"url":"https://nivawealth.com/firms/shining-rock-advisors-311295","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/311295","regulatoryAum":153800989,"crd":"311295","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7505679","suffix":null,"lastName":"Barfield","firstName":"Jacob","middleName":null},{"crd":"7309486","suffix":null,"lastName":"BARFIELD","firstName":"SAGE","middleName":"PROFFITT"}],"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":"2022-03-30","regulatoryAum":119278033,"clients":10,"employees":2,"offices":1},{"filedOn":"2023-04-03","regulatoryAum":116114926,"clients":15,"employees":2,"offices":1},{"filedOn":"2024-04-01","regulatoryAum":160643938,"clients":17,"employees":2,"offices":1},{"filedOn":"2025-03-28","regulatoryAum":129643224,"clients":20,"employees":2,"offices":1},{"filedOn":"2026-03-16","regulatoryAum":153800989,"clients":26,"employees":2,"offices":1}],"secFileNumber":"801-124819","legalName":"Shining Rock Advisors LLC","displayName":"Shining Rock Advisors","slug":"shining-rock-advisors-311295","website":"https://shiningrockadvisors.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"North Carolina limited liability company","fiscalYearEnd":"December","headquarters":{"street":"34 Wall Street","city":"Asheville","state":"NC","stateName":"North Carolina","country":"United States","postalCode":"28801"},"tradeNames":[],"registration":{"secApproved":"2 May 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Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":119389471}],"custodyNote":"Shining Rock Advisors does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Sage Barfield","title":"Chief Executive Officer, Chief Compliance Officer","crd":"7309486"},{"name":"Jacob Barfield","title":"Owner, Iar","crd":"7505679"}],"ownership":[{"label":"Sage Barfield","detail":"Chief executive officer, chief compliance officer, in the 50% to 75% ownership band and a control person, since September 2020."},{"label":"Jacob Barfield","detail":"Owner, iar in the 50% to 75% ownership band and a control person, since January 2026."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"North Carolina","offices":1,"addresses":[{"street":"34 Wall Street","city":"Asheville","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 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They include 23 high-net-worth individuals, 2 individual clients and 1 charitable organization.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 16 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Shining Rock Advisors offer?","answer":"Shining Rock Advisors provides 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":"How much does Shining Rock Advisors charge?","answer":"Shining Rock Advisors charges 0.50%–1.00% a year for its Investment Advisory Services Fees. Each asset band is charged at its own rate. The fee is billed in arrears and is negotiable.","source":"SHINING ROCK ADVISORS LLC FORM ADV PART 2A, filed 4 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Shining Rock Advisors use?","answer":"Shining Rock Advisors’ separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $119M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 16 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Shining Rock Advisors have?","answer":"Shining Rock Advisors 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 Shining Rock Advisors invest in?","answer":"At the end of its last fiscal year, Shining Rock Advisors’ separately managed accounts held 26% exchange-traded equities, 23% other, 12% state and local bonds, 12% registered funds (mutual funds, ETFs, BDCs), 10% investment grade corporate bonds, 9% U.S. government and agency bonds, 7% cash and equivalents and 1% high-yield corporate bonds. The 23% other category is described as: Non Publicly Traded Private Funds and Real Estate Investments.","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 Shining Rock Advisors?","answer":"Shining Rock Advisors’ direct owners are Sage Barfield (50% to 75%) and Jacob Barfield (50% to 75%).","source":"Form ADV Part 1A, Schedules A and B, filed 16 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Shining Rock Advisors get paid?","answer":"Shining Rock Advisors 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 Shining Rock Advisors?","answer":"Shining Rock Advisors’ main office is at 34 Wall Street, Asheville, NC 28801. Its phone number is 828-380-0071. Its website is shiningrockadvisors.com.","source":"Form ADV Part 1A, Item 1.F, filed 16 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."}